Index 
Texts adopted
Wednesday, 12 December 2018 - StrasbourgFinal edition
Draft Amending Budget No 6/2018: Reduction of payment and commitment appropriations (own resources)
 Mobilisation of the Flexibility Instrument to finance immediate budgetary measures to address the on-going challenges of migration, refugee inflows and security threats
 Mobilisation of the European Union Solidarity Fund to provide for the payment of advances in the EU general budget for 2019
 General budget of the European Union for the financial year 2019
 EU‑Japan Economic Partnership Agreement ***
 EU-Japan Economic Partnership Agreement (resolution)
 EU‑Japan Strategic Partnership Agreement ***
 EU-Japan Strategic Partnership Agreement (resolution)
 EU-Jordan Euro-Mediterranean Aviation Agreement (accession of Croatia) ***
 Establishing Horizon Europe – laying down its rules for participation and dissemination ***I
 Programme implementing Horizon Europe***I
 Single Market package
 Findings and recommendations of the Special Committee on Terrorism
 Annual report on the implementation of the Common Foreign and Security Policy
 Annual report on the implementation of the Common Security and Defence Policy
 Annual report on human rights and democracy in the world 2017 and the European Union’s policy on the matter
 Establishing the European Defence Fund ***I
 Establishing the Connecting Europe Facility ***I
 EU-Ukraine Association Agreement

Draft Amending Budget No 6/2018: Reduction of payment and commitment appropriations (own resources)
PDF 122kWORD 45k
European Parliament resolution of 12 December 2018 on the Council position on Draft amending budget No 6/2018 of the European Union for the financial year 2018: Reduction of payment and commitment appropriations in line with updated forecasts of expenditure and update of revenue (own resources) (13961/2018 – C8-0488/2018 – 2018/2244(BUD))
P8_TA(2018)0500A8-0399/2018

The European Parliament,

–  having regard to Article 314 of the Treaty on the Functioning of the European Union,

–  having regard to Article 106a of the Treaty establishing the European Atomic Energy Community,

–  having regard to Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002(1), and in particular Article 41 thereof,

–  having regard to Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012(2), and in particular Article 44 thereof,

–  having regard to the general budget of the European Union for the financial year 2018, as definitively adopted on 30 November 2017(3),

–  having regard to Council Regulation (EU, Euratom) No 1311/2013 of 2 December 2013 laying down the multiannual financial framework for the years 2014-2020(4),

–  having regard to the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management(5),

–  having regard to Council Decision 2014/335/EU, Euratom of 26 May 2014 on the system of own resources of the European Union(6),

–  having regard to Draft amending budget No 6/2018, which the Commission adopted on 12 October 2018 (COM(2018)0704),

–  having regard to the position on Draft amending budget No 6/2018, which the Council adopted on 26 November 2018 and forwarded to Parliament on the same day (13961/2018 – C8-0488/2018),

–  having regard to Rules 88 and 91 of its Rules of Procedure,

–  having regard to the report of the Committee on Budgets (A8-0399/2018),

A.  whereas Draft amending budget No 6/2018 aims to update both the expenditure and the revenue sides of the budget to take account of the latest developments;

B.  whereas, on the expenditure side, Draft amending budget No 6/2018 decreases the commitment and payment appropriations of budget lines by EUR 48,7 million and EUR 44,7 million respectively, in heading 1a "Competitiveness for growth and jobs" and heading 2 "Sustainable growth – natural resources";

C.  whereas, on the revenue side, Draft amending budget No 6/2018 concerns a revision of the forecast of traditional own resources (i.e. customs duties and sugar sector levies), value-added tax (VAT) and gross national income (GNI) bases, and of the budgeting of the relevant UK corrections and their financing, which all affect the distribution of own resources contributions from Member States to the Union budget;

1.  Welcomes the fact that implementation of 2014-2020 programmes is finally reaching cruising speed and results in only a minor adjustment to the expenditure side compared to the very significant amending budgets adopted in 2016 and 2017; encourages the Commission and the Member States to make up for the major delays accumulated in the last three years;

2.  Takes note of the technical process of rebalancing of own resources made necessary by the revision of the forecast of Traditional Own Resources and VAT and by updates to the UK correction;

3.  Approves the Council position on Draft amending budget No 6/2018;

4.  Instructs its President to declare that Amending budget No 6/2018 has been definitively adopted and arrange for its publication in the Official Journal of the European Union;

5.  Instructs its President to forward this resolution to the Council, the Commission and the national parliaments.

(1) OJ L 298, 26.10.2012, p. 1.
(2) OJ L 193, 30.7.2018, p. 1.
(3) OJ L 57, 28.2.2018, p. 1.
(4) OJ L 347, 20.12.2013, p. 884.
(5) OJ C 373, 20.12.2013, p. 1.
(6) OJ L 168, 7.6.2014, p. 105.


Mobilisation of the Flexibility Instrument to finance immediate budgetary measures to address the on-going challenges of migration, refugee inflows and security threats
PDF 126kWORD 44k
Resolution
Annex
European Parliament resolution of 12 December 2018 on the proposal for a decision of the European Parliament and of the Council on the mobilisation of the Flexibility Instrument to finance immediate budgetary measures to address the on-going challenges of migration, refugee inflows and security threats (COM(2018)0901 – C8-0492/2018 – 2018/2274(BUD))
P8_TA(2018)0501A8-0455/2018

The European Parliament,

–  having regard to the Commission proposal to the European Parliament and the Council (COM(2018)0901 – C8‑0492/2018),

–  having regard to Council Regulation (EU, Euratom) No 1311/2013 of 2 December 2013 laying down the multiannual financial framework for the years 2014-2020(1), and in particular Article 11 thereof,

–  having regard to the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management(2), and in particular point 12 thereof,

–  having regard to the new draft general budget of the European Union for the financial year 2019, which the Commission adopted on 30 November 2018 (COM(2018)0900), in accordance with Article 314(8) TFEU,

–  having regard to the conclusions of the budgetary trilogue of 4 December 2018,

–  having regard to the position on the second draft general budget of the European Union for the financial year 2019, which the Council adopted on 11 December 2018 and forwarded to Parliament on the same day (15205/2018 – C8-0499/2018),

–  having regard to the report of the Committee on Budgets (A8-0455/2018),

A.  whereas the Flexibility Instrument is intended to allow the financing, for a given financial year, of clearly identified expenditure which could not be financed within the limits of the ceilings available for one or more other headings,

B.  whereas the Commission had proposed to mobilise the Flexibility Instrument to supplement the financing available in the general budget of the Union for the financial year 2019 beyond the ceiling of heading 3 by the amount of EUR 985 629 138 to finance measures in the field of migration, refugees and security,

C.  whereas representatives of the Parliament and the Council agreed, at the budgetary trilogue of 4 December 2018, to further mobilise the Flexibility Instrument by EUR 178 715 475 as a result of reinforcements of Horizon 2020 and Erasmus+ programmes in subheading 1a;

1.  Agrees with the mobilisation of the Flexibility Instrument for an amount of EUR 1 164 344 613 in commitment appropriations;

2.  Reiterates that the mobilisation of this instrument, as provided for in Article 11 of the MFF Regulation, shows, once more, the crucial need for the Union budget to be more flexible;

3.  Reiterates its long-standing view that the payments stemming from commitments previously mobilised through the Flexibility Instrument can only be counted over and above the MFF ceilings;

4.  Approves the decision annexed to this resolution;

5.  Instructs its President to sign the decision with the President of the Council and arrange for its publication in the Official Journal of the European Union;

6.  Instructs its President to forward this resolution, including its annex, to the Council and the Commission.

ANNEX

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the mobilisation of the Flexibility Instrument to reinforce key programmes for the competitiveness of the EU and to finance immediate budgetary measures to address the on-going challenges of migration, refugee inflows and security threats

(The text of this annex is not reproduced here since it corresponds to the final act, Decision (EU) 2019/276.)

(1) OJ L 347, 20.12.2013, p. 884.
(2) OJ C 373, 20.12.2013, p. 1.


Mobilisation of the European Union Solidarity Fund to provide for the payment of advances in the EU general budget for 2019
PDF 121kWORD 43k
Resolution
Annex
European Parliament resolution of 12 December 2018 on the proposal for a decision of the European Parliament and of the Council on the mobilisation of the European Union Solidarity Fund to provide for the payment of advances in the general budget of the Union for 2019 (COM(2018)0281 – C8-0221/2018 – 2018/2074(BUD))
P8_TA(2018)0502A8-0453/2018

The European Parliament,

–  having regard to the Commission proposal to the European Parliament and the Council (COM(2018)0281 – C8‑0221/2018),

–  having regard to Council Regulation (EC) No 2012/2002 of 11 November 2002 establishing the European Union Solidarity Fund(1),

–  having regard to Council Regulation (EU, Euratom) No 1311/2013 of 2 December 2013 laying down the multiannual financial framework for the years 2014-2020(2), and in particular Article 10 thereof,

–  having regard to the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management(3), and in particular point 11 thereof,

–  having regard to the results of the trilogue of 4 December 2018,

–  having regard to the report of the Committee on Budgets (A8-0453/2018),

A.  whereas, in line with Regulation (EU) No 661/2014 which amended Regulation (EC) No 2012/2002, an amount of EUR 50 000 000 is made available for the payment of advances through appropriations in the general budget of the Union;

1.  Approves the decision annexed to this resolution;

2.  Instructs its President to sign the decision with the President of the Council and arrange for its publication in the Official Journal of the European Union;

3.  Instructs its President to forward this resolution, including its annex, to the Council and the Commission.

ANNEX

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the mobilisation of the European Union Solidarity Fund to provide for the payment of advances in the general budget of the Union for 2019

(The text of this annex is not reproduced here since it corresponds to the final act, Decision (EU) 2019/277.)

(1) OJ L 311, 14.11.2002, p. 3.
(2) OJ L 347, 20.12.2013, p. 884.
(3) OJ C 373, 20.12.2013, p. 1.


General budget of the European Union for the financial year 2019
PDF 187kWORD 52k
Resolution
Annex
European Parliament resolution of 12 December 2018 on the Council position on the second draft general budget of the European Union for the financial year 2019 (15205/2018 – C8-0499/2018 – 2018/2275(BUD))
P8_TA(2018)0503A8-0454/2018

The European Parliament,

–  having regard to Article 314 of the Treaty on the Functioning of the European Union,

–  having regard to Article 106a of the Treaty establishing the European Atomic Energy Community,

–  having regard to Council Decision 2014/335/EU, Euratom of 26 May 2014 on the system of own resources of the European Union(1),

–  having regard to Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002(2),

–  having regard to Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU, and repealing Regulation (EU, Euratom) No 966/2012(3),

–  having regard to Council Regulation (EU, Euratom) No 1311/2013 of 2 December 2013 laying down the multiannual financial framework for the years 2014-2020(4) (the “MFF Regulation”),

–  having regard to the Interinstitutional Agreement of 2 December 2013 between the European Parliament, the Council and the Commission on budgetary discipline, on cooperation in budgetary matters and on sound financial management(5),

–  having regard to its resolution of 15 March 2018 on general guidelines for the preparation of the budget(6),

–  having regard to its resolution of 19 April 2018 on Parliament’s estimates of revenue and expenditure for the financial year 2019(7),

–  having regard to the draft general budget of the European Union for the financial year 2019, which the Commission adopted on 21 June 2018 (COM(2018)0600),

–  having regard to the position on the draft general budget of the European Union for the financial year 2019, which the Council adopted on 4 September 2018 and forwarded to Parliament on 13 September 2018 (11737/2018 – C8‑0410/2018),

–  having regard to its resolution of 5 July 2018 on the mandate for the trilogue on the 2019 draft budget(8),

–  having regard to its resolution of 24 October 2018 on the Council position on the draft general budget of the European Union for the financial year 2019(9),

–  having regard to the fact that the Conciliation Committee did not agree on a joint text within the twenty-one days referred to in Article 314(6) of Treaty on the Functioning of the European Union,

–  having regard to the second draft general budget of the European Union for the financial year 2019, which the Commission adopted on 30 November 2018 (COM(2018)0900), in accordance with Article 314(8) TFEU,

–  having regard to the conclusions of the budgetary trilogue on 4 December 2018,

–  having regard to the position on the second draft general budget of the European Union for the financial year 2019, which the Council adopted on 11 December 2018 (15205/2018 – C8‑0499/2018),

–  having regard to Rule 88 of its Rules of Procedure,

–  having regard to the report of the Committee on Budgets (A8-0454/2018),

1.  Recalls that the "draft package" agreed, after difficult and intense negotiations, by Parliament and Council during the trilogue of 4 December 2018 consists of two elements: the Union Budget for the year 2019 set at a level of EUR 165 795,6 million and EUR 148 198,9 million, respectively in commitment and payment appropriations, and four joint statements as well as one unilateral statement;

2.  Underlines that, although the Draft Budget (DB) as modified by Council does not entirely meet the real need for a sustainable, coherent and efficient Union budget, Parliament's objective is to provide the Union with a budget that can deliver tangible benefits to the citizens and companies;

3.  Welcomes the overall level of commitment appropriations agreed, which represents an increase of EUR 1 728 million compared to the original reading of the Council; is pleased that the increases obtained in the negotiations worth EUR 943 million correspond to Parliament’s main political priorities, namely in support of researchers, young people, SMEs, tackling root causes of migration, climate change, increasing the security of Union citizens, and defence;

4.  Welcomes that the overall level of payment appropriations agreed for 2019 increases by 2,4 % compared to Budget 2018; notes however that the payments level represents merely 0,9 % of the Union’s GNI; underlines the importance of the joint statement on the payments appropriations in which the Parliament and the Council commit to take the necessary decisions to cover any duly justified needs;

5.  Regrets that the Council, under the pretext that it did not have the necessary time to analyse it, refused as a matter of principle, in the context of the 2019 budgetary procedure, any discussion on the use of the new Article 15(3) of the Financial Regulation, allowing de-committed amounts from research to be made available again in the framework of the annual budgetary procedure; invites therefore the Commission to report at least on a biannual basis specifically on the amounts de-committed for research programmes and provide all relevant information and elements on Article 15(3) and to propose its use in the context of the 2020 budgetary procedure;

6.  Regrets once again that Parliament, being one of the two arms of the budgetary authority, was not duly involved by the Council and the Commission in the discussions on the extension of the Facility for Refugees in Turkey (FRT); regrets the uncompromising position of the Council on the financing of the second tranche of the FRT, to which the Union budget will contribute EUR 2 billion, while the Member States will contribute EUR 1 billion; reiterates its longstanding position that new initiatives must not be financed to the detriment of existing Union external projects; recalls that because of the unwillingness of the Council, the ceilings of the current MFF have not been risen on the occasion of the mid-term revision and the MFF has been lacking sufficient flexibility to respond to unforeseen circumstances; underlines that lessons must be learnt for the post-2021 MFF in order to avoid, inter alia, the creation of budgetary satellites such as the FRTs;

7.  In line with the joint statement agreed between the Parliament, the Council and the Commission, insists that the agreed reinforcement of Horizon 2020 and Erasmus+ programmes of EUR 100 million in an amending budget in 2019 will not be financed through redeployments from other programmes but through fresh appropriations;

8.  In view of the increased support that Europol provides to the Member States in the framework of the law enforcement cooperation and its involvement in the fight against terrorism and cybercrime, welcomes the creation of 10 additional posts and the related increase of appropriations for Europol;

9.  Welcomes the creation of 5 posts and the related increase of appropriations by the Commission in the 2019 DB to prevent any bottleneck that might be detrimental to the productivity of the courts in the context of new activities taken up by the Court and of continuous increase of the workload especially due to Brexit; points out, however, that the real need for the ECJ was 16 new permanent posts for the support services;

10.  Welcomes the reinforcement to the EEAS budget line on Strategic Communication Capacity, to deliver a stronger coordinated Union response to the challenge of disinformation;

11.  Approves the Council position on the second draft general budget of the European Union for the financial year 2019 as well as the joint statements annexed to this resolution;

12.  Instructs its President to declare that the general budget of the European Union for the financial year 2019 has been definitively adopted and to arrange for its publication in the Official Journal of the European Union;

13.  Instructs its President to forward this resolution to the Council, the Commission, the other institutions and bodies concerned and the national parliaments.

ANNEX

DRAFT PACKAGE

Budget 2019 – Joint conclusions

These joint conclusions cover the following sections:

1.  Budget 2019

2.  Statements

Summary overview

According to the elements for joint conclusions:

—  The overall level of commitment appropriations in the 2019 budget is set at EUR 165 795,6 million. Overall, this leaves a margin below the MFF ceilings for 2019 of EUR 1 291,1 million in commitment appropriations.

—  The overall level of payment appropriations in the 2019 budget is set at EUR 148 198,9 million.

—  The Flexibility Instrument for 2019 is mobilised in commitment appropriations for an amount of EUR 1 164,3 million for heading 1a Competitiveness for Growth and Jobs and heading 3 Security and Citizenship.

—  The Global margin for commitments is used at a level of EUR 1 476,0 million for heading 1a Competitiveness for Growth and Jobs, heading1b Economic, Social and Territorial Cohesion and heading 4 Global Europe.

—  The Contingency margin mobilised in 2017 is offset for EUR 253,9 million against the unallocated margins under heading 5 Administration.

—  The 2019 payment appropriations related to the mobilisation of the Flexibility Instrument in 2016, 2017, 2018 and 2019 are estimated by the Commission at EUR 961,9 million.

1.  Budget 2019

The European Parliament and the Council have agreed on the conclusions included in sections 1.1 to 1.6 below.

1.1.  Horizontal issues

Decentralised agencies

The EU contribution (in commitment and payment appropriations) and the number of posts for decentralised agencies are set at the level proposed by the Commission in the second Draft Budget (second DB).

Executive agencies

The EU contribution (in commitment and payment appropriations) and the number of posts for executive agencies are set at the level proposed by the Commission in the second DB.

Pilot Projects/Preparatory Actions

A comprehensive package of 75 pilot projects/preparatory actions (PP/PA) is agreed, as proposed by the Commission in the second DB. When a pilot project or a preparatory action appears to be covered by an existing legal basis, the Commission may propose the transfer of appropriations to the corresponding legal basis in order to facilitate the implementation of the action.

This package, proposed by the European Parliament in its reading of the original Draft Budget, fully respects the ceilings for pilot projects and preparatory actions provided in the Financial Regulation.

1.2.  Expenditure headings of the financial framework - commitment appropriations

Heading 1a

Commitment appropriations are set at the level proposed by the Commission in the second DB, but with the adjustments detailed in the following table.

 

 

 

 

In EUR

Budget line / Programme

Name

Variation in commitment appropriations

Second Draft Budget 2019

Budget 2019

Difference

1.1.31

Horizon 2020

 

 

150 000 000

08 02 03 04

Achieving a European transport system that is resource-efficient, environmentally friendly, safe and seamless

252 946 905

260 946 905

8 000 000

08 02 08

SME instrument

541 589 527

641 589 527

100 000 000

09 04 01 01

Strengthening research in future and emerging technologies

429 937 089

442 937 089

13 000 000

15 03 01 01

Marie Skłodowska-Curie actions — generating, developing and transferring new skills, knowledge and innovation

916 586 364

945 586 364

29 000 000

1.1.5

Education, Training and Sport (Erasmus+)

 

 

40 000 000

15 02 01 01

Promoting excellence and cooperation in the European education and training area and its relevance to the labour market

2 411 836 200

2 441 036 200

29 200 000

15 02 01 02

Promoting excellence and cooperation in the European youth area and the participation of young people in European democratic life

175 070 000

185 870 000

10 800 000

 

Total

 

 

190 000 000

As a consequence, the agreed level of commitment appropriations is set at EUR 23 335,4 million, with no margin left under the expenditure ceiling of heading 1a, the use of the Global Margin for Commitments for an amount of EUR 74,7 million and the mobilisation of EUR 178,7 million through the Flexibility Instrument.

Heading 1b

Commitment appropriations are set at the level proposed by the Commission in the second DB.

As a consequence, the agreed level of commitment appropriations is set at EUR 57 192,0 million, with no margin left under the expenditure ceiling of heading 1b and the use of the Global Margin for Commitments for an amount of EUR 350,0 million.

Heading 2

Commitment appropriations are set at the level proposed by the Commission in the second DB.

As a consequence, the agreed level of commitment appropriations is set at EUR 59 642,1 million, leaving a margin of EUR 701,9 million.

Heading 3

Commitment appropriations are set at the level proposed by the Commission in the second DB.

As a consequence, the agreed level of commitment appropriations is set at EUR 3 786,6 million, with no margin left under the expenditure ceiling of heading 3, and the mobilisation of EUR 985,6 million through the Flexibility Instrument.

Heading 4

Commitment appropriations are set at the level proposed by the Commission in the second DB.

As a consequence, the agreed level of commitment appropriations is set at EUR 11 319,3 million, with no margin left under the expenditure ceiling of heading 4 and the use of the Global Margin for Commitments for an amount of EUR 1 051,3 million.

Heading 5

The number of posts in the establishment plans of the Institutions and the appropriations are set at the level proposed by the Commission in the second DB.

As a consequence, and after taking into account pilot projects and preparatory actions (EUR 4,1 million) proposed under section 1.1 above, the agreed level of commitment appropriations is set at EUR 9 943,0 million, leaving a margin of EUR 589,1 million under the expenditure ceiling of heading 5, after the use of EUR 253,9 million of the margin to offset the mobilisation of the Contingency margin in 2017.

Special instruments: EGF, EAR and EUSF

Commitment appropriations for the European Globalisation Adjustment Fund (EGF), for the Emergency Aid Reserve (EAR) and for the European Union Solidarity Fund (EUSF) are set at the level proposed by the Commission in the second DB.

1.3.  Payment appropriations

The overall level of payment appropriations in the 2019 Budget is set at the level proposed by the Commission in the second DB.

1.4.  Budgetary remarks

Budgetary remarks as proposed by the Commission in the second DB are approved, except for the following budget lines:

—  Article 08 02 08 — SME Instrument of the section of the European Commission, for which the text as proposed in the original Draft Budget is approved;

—  item  2 2 1 4 — Strategic Communication Capacity of the section of the European External Action Service, for which the text included in the reading of the European Parliament of the original Draft Budget is approved.

1.5.  Nomenclature

The nomenclature as proposed by the Commission in the second DB is approved.

1.6.  Reserves

The reserves as proposed by the Commission in the second DB are approved. In addition, an amount of EUR 19 321 000 is put in reserve in both commitment and payment appropriations pending the adoption of the Commission's proposal COM(2018)0632 of 12 September 2018 for Article 18 03 02 European Border and Coast Guard Agency (Frontex).

2.  Statements

2.1.  Joint statement by the European Parliament, Council and Commission on the payment appropriations

The European Parliament and the Council recall the need to ensure, in the light of implementation, an orderly progression of payments in relation to the appropriations for commitments so as to avoid any abnormal level of unpaid invoices at year-end.

The European Parliament and the Council call on the Commission to continue monitoring closely and actively the implementation of the 2014-2020 programmes. To that end, they invite the Commission to present, in a timely manner, updated figures concerning the state of implementation and estimates regarding payment appropriations requirements in 2019.

If the figures show that the appropriations entered in the 2019 budget are insufficient to cover the needs, the European Parliament and the Council invite the Commission to present as soon as possible an appropriate solution, inter alia amending budget, with a view to allow the Budgetary Authority to take any necessary decisions in due time for duly justified needs. Where applicable, the European Parliament and the Council will take account the urgency of the matter.

2.2.  Joint statement by the European Parliament, Council and Commission on the Youth Employment Initiative

The European Parliament, the Council and the Commission recall that reducing youth unemployment remains a high and shared political priority and reaffirm their determination to make the best possible use of budgetary resources to reach this goal, and in particular through the Youth Employment Initiative (YEI).

The European Parliament and the Council take note of the past experience in the context of the increase of the resources of the specific allocation for the YEI, which triggered extensive amendments to programmes to provide amounts from the European Social Fund (ESF) to match the support from the YEI specific allocation.

Therefore, the European Parliament and the Council invite the Commission to present a legislative proposal for smooth implementation of the increased budgetary resources for YEI. The European Parliament and the Council agree to swiftly examine this proposal, taking into account the upcoming European Parliament elections, to make the re-programming exercise in 2019 as smooth as possible.

2.3.  Unilateral statement by the Commission on the Youth Employment Initiative

Without prejudice to the powers of the budgetary authority, the Commission confirms that the increase of the Youth Employment Initiative agreed for 2019 will not be considered as a frontloading of the amount currently foreseen for 2020 when it presents the updated financial programming and the legislative proposal to revise the Common Provisions Regulation.

2.4.  Joint statement by the European Parliament, Council and Commission on the climate mainstreaming

The European Parliament, the Council and the Commission recall the importance of building a low-carbon, resource-efficient and climate resilient economy. To this end, the Council and the EP agreed to invest at least 20% of the EU budget in climate-related expenditure over the period 2014-20. On average - and even though the 2019 budget alone does reach the 20% target - the current forecast for the whole 2014-20 period indicates that 19.3% of the EU budget will be allocated to climate action, mainly due to the delays in the implementation of the European Structural Investment Funds at the beginning of the period.

The Council and the European Parliament take note of this evolution and invite the Commission to make every effort to reach the 20% target for the whole 2014-20 period.

2.5.  Joint statement by the European Parliament, Council and Commission on the reinforcement of heading 1a through an Amending budget

Due to the limited availabilities of the Flexibility Instrument and the Global margin for commitments, the European Parliament and the Council have agreed to budget EUR 100 million in an amending budget in 2019 to reinforce H2020 and Erasmus+. The Commission will present this amending budget, which will not contain any other elements, as soon as the technical adjustment of the Multiannual Financial Framework for 2020 including the calculation of the Global margin for commitments is completed in the spring of 2019. This is without prejudice to any normal technical corrections the Commission will be called upon to make to ensure an orderly execution of the 2019 budget.

The Council and the European Parliament undertake to process swiftly the draft amending budget for 2019 put forward by the Commission.

(1) OJ L 168, 7.6.2014, p. 105.
(2) OJ L 298, 26.10.2012, p. 1.
(3) OJ L 193, 30.7.2018, p. 1.
(4) OJ L 347, 20.12.2013, p. 884.
(5) OJ C 373, 20.12.2013, p. 1.
(6) Texts adopted of that date, P8_TA(2018)0089.
(7) Texts adopted of that date, P8_TA(2018)0182.
(8) Texts adopted of that date, P8_TA(2018)0311.
(9) Texts adopted of that date, P8_TA(2018)0404.


EU‑Japan Economic Partnership Agreement ***
PDF 113kWORD 42k
European Parliament legislative resolution of 12 December 2018 on the draft Council decision on the conclusion of the Agreement between the European Union and Japan for an Economic Partnership (07964/2018 – C8‑0382/2018 – 2018/0091(NLE))
P8_TA(2018)0504A8-0366/2018

(Consent)

The European Parliament,

–  having regard to the draft Council decision (07964/2018),

–  having regard to the draft Agreement between the European Union and Japan for an Economic Partnership (07965/2018),

–  having regard to the request for consent submitted by the Council in accordance with Article 91, Article 100(2), the first subparagraph of Article 207(4), point (a)(v) of the second subparagraph of Article 218(6), and Article 218(7), of the Treaty on the Functioning of the European Union (C8‑0382/2018),

–  having regard to its non-legislative resolution of 12 December 2018(1) on the draft decision,

–  having regard to Rule 99(1) and (4) and Rule 108(7) of its Rules of Procedure,

–  having regard to the recommendation of the Committee on International Trade and the opinion of the Committee on the Environment, Public Health and Food Safety and the opinion in letter form of the Committee on Agriculture and Rural Development (A8‑0366/2018),

1.  Gives its consent to conclusion of the agreement;

2.  Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of Japan.

(1) Texts adopted, P8_TA(2018)0505.


EU-Japan Economic Partnership Agreement (resolution)
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European Parliament non-legislative resolution of 12 December 2018 on the draft Council decision on the conclusion of the Agreement between the European Union and Japan for an Economic Partnership (07964/2018 – C8-0382/2018 – 2018/0091M(NLE))
P8_TA(2018)0505A8-0367/2018

The European Parliament,

–  having regard to the draft Council decision (07964/2018),

–  having regard to the draft Agreement between the European Union and Japan for an Economic Partnership (07965/2018),

–  having regard to the request for consent submitted by the Council in accordance with Article 91, Article 100(2), the first subparagraph of Article 207(4), point (a) (v) of the second subparagraph of Article 218(6), and Article 218(7) of the Treaty on the Functioning of the European Union (TFEU) (C8‑0382/2018),

–  having regard to the joint statement of the 25th EU-Japan summit of 17 July 2018,

–  having regard to the EU-Japan Strategic Partnership Agreement which was signed on 17 July 2018,

–  having regard to the negotiating directives for a Free Trade Agreement with Japan, adopted by the Council on 29 November 2012 and published on 14 September 2017,

–  having regard to its resolution of 25 October 2012 on EU trade negotiations with Japan(1),

–  having regard to its resolutions of 3 February 2016 containing the European Parliament’s recommendations to the Commission on the negotiations for the Trade in Services Agreement (TiSA)(2), and of 12 December 2017 entitled ‘Towards a digital trade strategy’(3),

–  having regard to the Final Report of the Trade Sustainability Impact Assessment of the Free Trade Agreement between the EU and Japan of April 2016 and to the analysis on the economic impact of the EU-Japan Economic Partnership Agreement published by the Commission’s Directorate-General for Trade in June 2018,

–  having regard to the joint statement of the 38th EU-Japan interparliamentary meeting of 10 May 2018,

–  having regard to the 2030 Agenda for Sustainable Development adopted at the United Nations Sustainable Development Summit in New York in September 2015,

–  having regard to the Commission communication entitled ‘Trade for All – Towards more responsible trade and investment policy’ of October 2015,

–  having regard to the non-paper of the Commission services of 26 February 2018 entitled ‘Feedback and way forward on improving the implementation and enforcement of Trade and Sustainable Development chapters in EU Free Trade Agreements’,

–  having regard to the opinions of the European Economic and Social Committee of 15 October 2014 on the role of civil society in the EU-Japan Free Trade Agreement and of 14 February 2018 on trade and sustainable development chapters in EU Free Trade Agreements,

–  having regard to the Commission’s 15-point plan to make EU trade and sustainable development chapters more effective of 26 February 2018;

–  having regard to Opinion 2/15 of the Court of Justice of the European Union of 16 May 2017, pursuant to Article 218(11) (TFEU, requested by the Commission on 10 July 2015,

–  having regard to Protocol 26 to the TFEU on services of general interest,

–  having regard to Articles 2 and 21 of the Treaty on European Union (TEU),

–  having regard to Articles 168 to 191 TFEU and, in particular, Article 191(2) TFEU,

–  having regard to Articles 91, 100(2) and 207 TFEU, and to Article 218 TFEU, in particular paragraph 10 thereof,

–  having regard to its legislative resolution of 12 December 2018(4) on the draft Council decision,

–  having regard to Rule 99(2) of its Rules of Procedure,

–  having regard to the report of the Committee on International Trade (A8-0367/2018),

A.  whereas the Union and Japan share fundamental values such as respect for human rights, democracy and the rule of law, and a strong commitment to sustainable development and a rules-based World Trade Organisation (WTO) system;

B.  whereas the EU-Japan Economic Partnership Agreement (EPA) has a strategic dimension and is the most important bilateral trade agreement ever concluded by the Union as it covers nearly a third of world GDP, almost 40 % of world trade and over 600 million people;

C.  whereas Japan is the world’s third largest consumer market but only the sixth export market for the Union, showing the untapped potential of bilateral trade;

D.  whereas several ex ante studies and analyses on the impact of the EU-Japan EPA indicate that the deal has the potential to deliver positive effects in terms of GDP growth, income, trade, productivity and employment for both the Union and Japan, while adhering to the objective of ‘smart, sustainable and inclusive growth’; whereas the agreement also has the potential to bring benefits to consumers by lowering prices and increasing consumer choice with regard to goods and services; whereas the EU and its Member States should improve the existing tools to help workers and companies adapt to new opportunities and to the potential negative effects of globalisation and trade agreements; whereas the success of the agreement should also be assessed on the basis of its contribution to the achievement of the Sustainable Development Goals (SDGs) by 2030;

E.  whereas Parliament has monitored these negotiations from the start and has called, inter alia, for negotiators to meet the interests of citizens, civil society and businesses and for transparency, which has led to better access to documents, regular reporting on negotiations and improved communication; whereas further improvements could be made to the trade agreement procedure in the future, notably by sharing EU proposals and ensuring that the Council systematically publishes the negotiating directives before the negotiations;

F.  whereas it is crucial for the trade preferences and opportunities opened up by the agreement to be accessible and for full use to be made of them;

1.  Considers this agreement to be of major bilateral and global strategic importance and that it represents a timely signal in support of open, fair, values- and rules-based trade, while promoting high standards, namely in the field of the environment, food safety, consumer protection and labour rights, at a time of serious protectionist challenges to the international order; warns that such protectionism is not an option and that the status quo in trade policy is no longer tenable;

2.  Welcomes the ambitious and comprehensive nature of the EPA, which delivers on the priorities set out in Parliament’s resolution of 25 October 2012 on EU trade negotiations with Japan;

3.  Notes in particular the high level of tariff liberalisation agreed in the EPA, which once fully implemented will see 99 % of EU tariff lines and 97 % of Japanese tariff lines liberalised, including for industrial products in sectors in which the EU is very competitive, combined with measures to safeguard the most sensitive products through duty-free quotas, reduced duties or staging periods; underlines that the EPA includes an anti-fraud clause, which makes it possible for the EU to withdraw trade preferences in cases of fraud and refusal to cooperate on customs matters, while ensuring that legitimate traders are not adversely affected;

4.  Points out that the EU tariff on automobiles will be phased out over seven years; calls on the Commission to keep an eye on trends in automobile trade flows over this period in order to predict any destabilisation of the European market and address the situation in these cases; highlights, however, that a significant number of Japanese vehicle brands sold in the EU are manufactured in the EU;

5.  Points out that Japan has addressed unnecessary non-tariff measures (NTMs) in a variety of sectors such as vehicles, food additives, sanitary and phytosanitary regulations, food labelling and cosmetics, thereby reducing compliance costs and creating a more predictable regulatory framework; recalls a country’s right to set national standards at a level that is higher than international ones when it is justified for the sake of adequate health, safety or consumer protection; takes note, in addition, of Japan’s commitment to align its automotive standards with UN Economic Commission for Europe international standards, also used by EU car manufacturers;

6.  Welcomes the fact that Japan will, notably, grant non-discriminatory access for EU suppliers to the procurement markets of 54 core cities, and may increase the number of cities covered even further, remove the ‘operational safety clause’, which has in practice prevented EU rail suppliers from accessing the Japanese market, and maximise transparency in tendering for public contracts; calls on the Commission to monitor the implementation of this point closely to ensure that the commitments made in the areas of openness and equal access to public procurement are fulfilled; stresses that social and environmental criteria should also be taken into account when awarding public procurement contracts; highlights that in both the EU and Japan public procurement must continue to serve the best interests of citizens;

7.  Considers that Japan is a highly valuable export market for EU farmers and food producers, and notes that around 85 % of agri-food products will be allowed to enter Japan duty-free; points out that processed agricultural products will also enjoy duty-free entry to the Japanese market after a transitional period; welcomes the fact that the agreement provides significant export opportunities for EU agri-food products, such as wine, beef, pig meat and cheese, and that it protects 205 European geographical indications (GIs), with the possibility of adding further GIs, which constitutes a further improvement in comparison to previous trade agreements and is particularly important for small and medium-sized enterprises (SMEs) in the food sector; calls for the continuation of talks after three years in order to evaluate the options for expanding the list of protected GIs, and expects both parties to pay the utmost attention to sustainable agriculture, including small-scale food production and rural development;

8.  Highlights the fact that the agreement promotes best practices for providing safe and high-quality food and products for consumers; stresses that nothing in the agreement prevents the application of the precautionary principle in the EU as set out in the TFEU; welcomes the inclusion of a clear reference to the precautionary approach in the agreement; stresses that the agreement must under no circumstances jeopardise precise, understandable and EU-compliant food labelling; calls on both partners to enhance consumer protection, consumer welfare and food safety in the implementation of the agreement and on the Commission to include specific and strong provisions on consumer protection in all future EU trade agreements;

9.  Stresses that both parties are committed to ensuring high levels of environmental and labour protection and that those high standards should not be regarded as trade barriers, while noting that the agreement also makes it clear that labour and environmental standards cannot be relaxed or lowered to attract trade and investment; recalls SDG 5 of the UN’s 2030 Agenda for Sustainable Development; welcomes the fact that both Japan and the EU have adhered to the Buenos Aires Declaration on Women and Trade and calls on both parties to strongly reinforce commitments on gender and trade in the context of this agreement, including the right to equal pay; expects the EU and Japan to take all necessary steps to implement the SDGs in all their activities, including through this agreement; asks the Commission to carry out an ex-post sustainability impact assessment of the implementation of the agreement;

10.  Welcomes the commitment to the effective implementation of the Paris Agreement to combat climate change and of other multilateral environmental agreements, as well as to the sustainable management of forests (including fighting illegal logging) and fisheries (combating illegal, unreported and unregulated fishing); underlines that EU legislation and standards remain applicable to products imported into the EU market and that, in particular, the EU Timber Regulation (Regulation (EU) No 995/2010) prohibits the placing of illegal timber on the EU market and establishes a mandatory due diligence system; calls on both parties to cooperate closely under the sustainable development chapter to exchange best practices and to strengthen the enforcement of legislation in these matters, including on the most effective measures to combat illegal logging and on paying particular attention to preventing exports of illegally logged timber from the EU to Japan;

11.  Highlights the fact that the agreement includes the clear commitment to pursue the ratification of fundamental International Labour Organization (ILO) conventions; underlines that Japan has yet to ratify two ILO core conventions (on discrimination and on the abolition of forced labour) and expects concrete progress within a reasonable timeframe on the part of Japan towards the ratification and effective implementation of these conventions, in accordance with the provisions laid down in the EPA;

12.  Welcomes the fact that Japan has established an interministerial framework to deal with the implementation of sustainable development commitments, including the ratification of the ILO core conventions, and that the trade and sustainable development committee provided for in the agreement is tasked with interacting with civil society on the subject of the implementation of the sustainable development chapter;

13.  Recalls that the Court of Justice of the European Union has stated, in paragraph 161 of its Opinion 2/15 of 16 May 2017 on the EU-Singapore Free Trade Agreement, that trade and sustainable development chapters have a direct and immediate effect on trade and that a breach of sustainable development provisions authorises the other party to terminate or suspend the liberalisation provided for in the other provisions of the Free Trade Agreement; welcomes the inclusion of a review clause in the chapter on trade and sustainable development and calls on both parties to make good and timely use of this clause in order to uphold the commitments made and improve the enforceability and effectiveness of labour and environmental provisions, including the consideration of, among various enforcement methods, a sanctions-based mechanism as a last resort; calls on both parties not to wait until the review clause is triggered to take steps towards effective implementation, so as to ensure that this EPA is a front-running agreement providing the highest protection possible; calls on the Commission to monitor the commitments undertaken in the trade and sustainable development chapter and to cooperate with Japan on their implementation, building on the Commission’s 15-point non-paper on trade and sustainable development implementation;

14.  Underlines the fact that the EPA reasserts the right of Member State authorities to fully define, provide and regulate public services at local, regional or national level and that a negative list as provided for in this agreement does not prevent governments from bringing any privatised services back into the public sector or from freely developing new public utilities; believes that as a principle, the use of a positive list approach as per the WTO General Agreement on Trade and Services (GATS) is preferable; notes the commitment made by both parties in the EPA to protecting public water management as part of the general public services exemption;

15.  Believes that market access commitments in cross-border services, including e-commerce, maritime transport, postal services, energy and telecommunications, have the potential to give a significant boost to trade in services; considers that the agreement will make it easier for EU firms to provide services on the Japanese market by ensuring fairer treatment; recalls that public policy objectives must be safeguarded, including in the field of cybersecurity, and that policy space must be preserved to address future regulatory challenges;

16.  Points out that the EPA provides for the temporary movement of professionals across borders (‘mode 4’), committing both sides to intra-corporate transfers in roughly 40 sectors and for independent professionals in roughly 20 sectors, thereby facilitating EU-Japan foreign direct investment ties;

17.  Stresses that the agreement preserves the sovereign right to regulate the financial and banking sectors for prudential and supervisory reasons; calls on both partners to use the financial regulatory forum to improve the global financial system;

18.  Welcomes key innovative elements such as dedicated chapters or provisions on the Paris Agreement, on SMEs and on corporate governance, aiming to promote corporate social responsibility based on the principles of the G20 and the Organisation for Economic Co-operation and Development (OECD); urges both parties to work actively towards corporate social responsibility and towards the conclusion of the UN Binding Treaty on Business and Human Rights;

19.  Stresses that regulatory cooperation is voluntary and that it by no means limits the right to regulate; recalls that corresponding provisions must be implemented in full respect of the prerogatives of the co-legislators; welcomes the fact that the regulatory cooperation chapter clearly states that the principles established in the TFEU, such as the precautionary principle, must be fully respected;

20.  Calls for transparency on the functioning of the regulatory cooperation committee and for the adequate involvement of all stakeholders, notably trade unions and civil society organisations, which should be regarded as a prerequisite for continuing to build public trust in the agreement and its implications; stresses that Parliament should be kept informed on a regular basis about the decisions taken in the regulatory cooperation committee;

21.  Notes that negotiations continue on a separate investment agreement, which Parliament will monitor closely; notes that the Commission has introduced an investment court system in agreements with other partners, pending the establishment of a multilateral investment court; reiterates that the old, private investor-state dispute settlement (ISDS) mechanism is unacceptable and that there is no mandate to return to it;

22.  Welcomes the fact that the EU and Japan successfully concluded their talks on a reciprocal adequacy decision on 17 July 2018 and that they agreed to recognise each other’s data protection systems as ‘equivalent’, which will enable data to flow more safely between the EU and Japan; highlights the important role of the respective data protection authorities in safeguarding an adequate level of data protection; notes that the agreement includes a rendez-vous clause providing for an assessment of the issue of cross-border transfer of data provisions within three years and recognises the increasing importance of the digital economy for growth and jobs; recalls that all trade agreements must fully respect the EU acquis on data protection and the protection of privacy, including the General Data Protection Regulation (Regulation (EU) 2016/679), and stresses that any future outcome must be subject to the consent of Parliament and safeguard EU citizens’ fundamental rights;

23.  Calls on the Commission to enhance cooperation and coordination with Japan on multilateral issues, in close cooperation with other strategic partners, in order to defend and develop further international standards and an open, fair and strong multilateral trading system based on respect for WTO rules and other international norms;

24.  Highlights that 78 % of the EU companies exporting to Japan are smaller companies and welcomes the fact that the EPA includes a separate chapter on SMEs to enable them to gain maximum benefits from the agreement, namely through clauses committing both parties to transparency with regard to market access and to sharing relevant information; calls for the prompt establishment of the SME contact points and website to make sure that relevant information on market access is made available to SMEs;

25.  Calls on the Commission to monitor closely the proper implementation of the agreed removal of the NTMs, as well as the management of tariff-rate quotas for agricultural products, and to report back to Parliament;

26.  Urges both partners to ensure the active involvement of social partners and civil society, notably through the joint dialogue with civil society and the domestic advisory group; calls on the Commission to actively establish and share best practices with Japan on the functioning of domestic advisory groups and the joint dialogue; calls on both parties to ensure the swift establishment of well-functioning, effective and balanced domestic advisory groups with a proper code of conduct and to ensure that their views are taken into account in a transparent manner in the government-to-government consultations provided for in the agreement;

27.  Calls on the Commission to ensure that the EU delegation to Japan is involved in the process of implementing the agreement from start to finish; points out that EU delegations make it possible to take swift and direct action to ensure the proper implementation of trade provisions and that issues and obstacles are detected quickly and dealt with effectively;

28.  Expects full transparency vis-à-vis the functioning of the sectoral committees to be established under the agreement, with regard to both Parliament and the general public;

29.  Commits to monitoring the implementation of the agreement closely, in close cooperation with the Commission, the stakeholders and the Japanese partners;

30.  Instructs its President to forward this resolution to the Council, the Commission, the governments and parliaments of the Member States, and the government and parliament of Japan.

(1) OJ C 72 E, 11.3.2014, p. 16.
(2) OJ C 35, 31.1.2018, p. 21.
(3) OJ C 369, 11.10.2018, p. 22.
(4) Texts adopted, P8_TA(2018)0504.


EU‑Japan Strategic Partnership Agreement ***
PDF 113kWORD 42k
European Parliament legislative resolution of 12 December 2018 on the draft Council decision on the conclusion, on behalf of the European Union, of the Strategic Partnership Agreement between the European Union and its Member States, of the one part, and Japan, of the other part (08462/2018 – C8‑0417/2018 – 2018/0122(NLE))
P8_TA(2018)0506A8-0383/2018

(Consent)

The European Parliament,

–  having regard to the draft Council decision (08462/2018),

–  having regard to the draft Strategic Partnership Agreement between the European Union and its Member States, of the one part, and Japan, of the other part (08463/2018),

–  having regard to the request for consent submitted by the Council in accordance with Article 37 of the Treaty on European Union and Article 212(1), Article 218(6), second subparagraph, point (a) and Article 218(8), second subparagraph, of the Treaty on the Functioning of the European Union (C8‑0417/2018),

–  having regard to its non-legislative resolution of 12 December 2018(1) on the draft decision,

–  having regard to Rule 99(1) and (4) and Rule 108(7) of its Rules of Procedure,

–  having regard to the recommendation of the Committee on Foreign Affairs (A8‑0383/2018),

1.  Gives its consent to conclusion of the agreement;

2.  Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of Japan.

(1) Texts adopted, P8_TA(2018)0507.


EU-Japan Strategic Partnership Agreement (resolution)
PDF 145kWORD 56k
European Parliament non-legislative resolution of 12 December 2018 on the draft Council decision on the conclusion, on behalf of the European Union, of the Strategic Partnership Agreement between the European Union and its Member States, of the one part, and Japan, of the other part (08462/2018 – C8-0417/2018 – 2018/0122M(NLE))
P8_TA(2018)0507A8-0385/2018

The European Parliament,

–  having regard to the draft Council decision (08462/2018),

–  having regard to the draft Strategic Partnership Agreement between the European Union and its Member States, on the one part, and Japan, on the other part(1) (08463/2018),

–  having regard to the request for consent submitted by the Council in accordance with Article 37 of the Treaty on European Union and Article 212(1), Article 218(6), second subparagraph, point (a) and Article 218(8), second subparagraph, of the Treaty on the Functioning of the European Union (C8-0417/2018),

–  having regard to the EU-Japan strategic partnership agreement (SPA), signed in Tokyo on 17 July 2018,

–  having regard to the EU-Japan economic partnership agreement (EPA), signed in Tokyo on 17 July 2018,

–  having regard to the 25th bilateral summit held in Tokyo on 17 July 2018 and to its joint statement,

–  having regard to the first bilateral summit held in the Hague in 1991 and to the adoption of a joint declaration on EC-Japan relations,

–  having regard to the 20th EU-Japan Summit held in 2010,

–  having regard to the joint communication of 19 September 2018 of the Vice-President of the Commission / High Representative of the EU for Foreign Affairs and Security Policy (VP/HR) to the European Parliament, the Council, the European Economic and Social Committee, the Committee of the Regions and the European Investment Bank on ‘Connecting Europe and Asia - Building blocks for an EU Strategy’,

–  having regard to the global strategy for the foreign and security policy of the European Union published by the VP/HR in June 2016,

–  having regard to the Guidelines on the EU’s Foreign and Security Policy in East Asia, approved by the Council on 15 June 2012,

–  having regard to the agreement between the European Community and Japan on cooperation in science and technology signed in 2009(2),

–  having regard to the EU-Japan Action Plan of 2001,

–  having regard to the visit of an ad hoc delegation of the Committee on Foreign Affairs to Tokyo, Japan and South Korea of 3-6 April 2018,

–  having regard to the 38th EU-Japan Interparliamentary Meeting, held in Tokyo on 9-10 May 2018,

–  having regard to the visit of an ad hoc delegation of the Subcommittee on Defence and Security to Tokyo of 22-25 May 2017,

–  having regard to its resolution of 17 April 2014 containing its recommendations to the Council, the Commission and the European External Action Service on the negotiations of the EU-Japan Strategic Partnership agreement(3),

–  having regard to its legislative resolution of 12 December 2018 on the draft decision(4),

–  having regard to Rule 99(2) of its Rules of Procedure,

–  having regard to the report of the Committee on Foreign Affairs (A8-0385/2018),

A.  whereas the EU and Japan have been strategic partners since 2003 and continue to cooperate closely in numerous multilateral fora;

B.  whereas the EU and Japan as like-minded global partners share a special responsibility for fostering peace, stability, multilateralism, respect for human rights, prosperity and defending rules-based order in a rapidly changing world;

C.  whereas around one third of global economic production will be covered by the EU-Japan SPA/FTA;

D.  whereas the Japanese government has launched security policy reforms which include bolstering defence capabilities, revamping the US alliance and cooperating with other democracies in the region and beyond;

E.  whereas Japan’s contribution to international security and stability has increased; whereas Japan’s 2013 National Security Strategy refers to the policy of ‘Proactive Contribution to Peace’ based on the principle of international cooperation;

F.  whereas Japan is NATO’s longest-standing partner and has signed cooperation agreements on classified information, cybersecurity, anti-piracy, disaster relief and humanitarian assistance;

G.  whereas Japan has over the last decades won international acclaim for its policy of military restraint, which has by no means stood in the way of its rise to become one of the most important economic and political players in the world;

H.  whereas Japan led the efforts to revise the Trans-Pacific Partnership (TPP) following the withdrawal of the US, and ratified the revised agreement, the Comprehensive and Progressive Agreement for Trans-Pacific Partnership (CPTPP or TPP-11), in July 2018; whereas Japan has also shown interest in the Regional Comprehensive Economic Partnership (RCEP), which includes China;

I.  whereas Japan is an active member of the Asian Development Bank (ADB), the African Development Bank (AFDB), the Inter-American Development Bank (IADB), the United Nations Economic and Social Commission for Asia and the Pacific (UNESCAP) and other specialised UN agencies, as well as of the Asia-Europe Meeting (ASEM) and the Asia Cooperation Dialogue (ACD); whereas Japan is a member of the World Trade Organisation (WTO), the Organisation for Economic Cooperation and Development (OECD), the European Bank for Reconstruction and Development (EBRD), the International Bank for Reconstruction and Development (IBRD), the International Monetary Fund (IMF), the Group of Seven (G7) and the Group of Twenty (G20);

J.  whereas the Japanese government approved a new Development Cooperation Charter in February 2015;

The agreement and EU-Japan relations

1.  Welcomes the conclusion of the draft SPA, which provides a legally binding framework, strengthens EU-Japan bilateral relations and increases cooperation in more than 40 areas, such as foreign policy and security issues including promotion of peace and stability, emergency relief operations, global development and humanitarian aid, economic matters, research, innovation, education, food safety, agricultural policy, ICT policy, space technology, culture and sport, as well as on global challenges that require global coordination such as climate change, migration, cyberthreats, public health, cross-border crime, peace-building operations, crisis and disaster management and the fight against terrorism;

2.  Highlights the linkages between the SPA and the EPA, the world’s largest bilateral free trade agreement; considers the conclusion of the two agreements as an upgrade in partnership with the objective of providing concrete benefits for the people of EU and Japan, and supports further cooperation in multilateral fora; welcomes the mutual respect and confidence that were strengthened during the negotiation process;

3.  Welcomes the reference in Article 1(3) of the SPA to a parliamentary dimension aimed at strengthening the partnership through dialogue and cooperation in the areas of political issues, foreign and security policies and other sectoral cooperation; suggests, in this connection, that the Diet and the European Parliament continue to develop parliamentary oversight and dialogue with the aim of ensuring that the contractually agreed cooperation is implemented; calls for the European Parliament to oversee Joint Committee meetings and their documentation; urges further involvement and promotion of ownership by civil society in the implementation of the SPA; reiterates its conviction that the concrete form of general and sectoral cooperation should, in principle, be based on the sustainability objectives and targets to be implemented by 2030, jointly adopted by the UN and also endorsed by the contracting parties;

4.  Stresses the need to work together at multilateral level to promote accession to the Arms Trade Treaty and the implementation of the Non-Proliferation Treaty, preventing proliferation of weapons of mass destruction, combating terrorism and fighting impunity of the most serious crimes against international law and violations of human rights;

5.  Recalls that a comprehensive and coherent diplomatic, economic, cultural and security approach is needed in the developing world where security and development go hand in hand, a vision shared by the EU and Japan;

Human rights and fundamental freedoms

6.  Reaffirms the shared commitment to respect for human rights, democracy, fundamental freedoms, good governance and the rule of law, and common values enshrined in the Universal Declaration of Human Rights, and to working together for the global promotion and protection of these values and the rules-based international order;

7.  Notes that Japan has not ratified two ILO core conventions (on Discrimination and the Abolition of Forced Labour) and welcomes Japan’s decision to establish an inter-ministerial framework to deal with the implementation of sustainable development commitments under the EPA, including the ratification of such conventions;

8.  Stresses the need for further cooperation on women´s rights in order to ensure that the achievement of gender equality is one of the key objectives of the partnership; encourages the Japanese Diet to further work on legislation to address discrimination based on sexual orientation and gender identity;

9.  Condemns the fact that capital punishment is still a legal penalty in Japan, and that executions are carried out without inmates being given any advance warning; stresses that the UN Committee against Torture has criticised this practice for the psychological strain it places on the inmates and their families; supports the efforts of the UN on the phasing-out of capital punishment; calls for the EU to enter into a dialogue with the Japanese Government on a moratorium on capital punishment with a view to its eventual abolition;

Regional and international relations

10.  Recalls that the 2016 EU Global Strategy identified a direct connection between European prosperity and Asian security, and called for the EU to make greater practical contributions and work with partners like Japan to promote peace in the Korean peninsula and the highly important peaceful settlement of maritime and territorial disputes in the East and South China Seas, on the basis of international law and conventions; underlines the importance of confidence-building and preventive diplomacy; stresses that the freedom of international navigation must be respected; welcomes the meeting of Prime Minister Abe and President Xi in Beijing on 26 October 2018 and the announcement of a commitment to open a new chapter of relations, as a step towards improving bilateral ties and reducing regional tensions;

11.  Recognises that Chinese and Russian influence in the Asia-Pacific region is a major security challenge for Japan, as well as for EU interests, and therefore welcomes the commitments of the SPA to deepen EU-Japan security cooperation as a bulwark against such threats;

12.  Welcomes the establishment of the Mission of Japan to NATO on 1 July 2018;

13.  Welcomes the EU’s new strategy for improving connectivity with Asia through promoting dialogue, stability, regional and international cooperation, interoperable transport, energy and digital networks, and people-to-people links; underlines the opportunities connectivity brings for stepping up exchanges in the fields of education, science, research and culture;

14.  Calls for the expansion of bilateral EU-Japan and plurilateral cooperation with South Korea, the DPRK, the US and China in support of efforts to secure peace and maintain stability in the region, peaceful coexistence in the Korean peninsula, and the complete, irreversible and verifiable denuclearisation of the DPRK; expresses the importance of further Japan-South Korea cooperation and good neighbourly relations which could contribute to regional stability and address security risks such as the DPRK; pledges to support continued international pressure on the DPRK to ensure that concrete steps are taken towards denuclearisation; supports international cooperation on how to resolve the issue of missing Japanese citizens feared abducted by the North Korean regime; emphasises that stability in north-east Asia corresponds to Europe’s core interests;

15.  Suggests that the EU and Japan work together to increase the capacities of the Association of Southeast Asian Nations (ASEAN) regarding the regional integration and cooperation agenda and the capacity to resolve conflicts in the region collectively and strengthen the present centrality of ASEAN in the South-east Asian multilateral order; supports the decision taken at the 33rd ASEAN-Japan Forum in Tokyo to further strengthen ties and address regional and international issues of common interest and to work together to promote peace and stability; believes that the promotion and protection of human rights contributes effectively to these two objectives; calls for synergies between Japan’s Free and Open Indo-Pacific strategy and EU initiatives, including the EU Investment Plan and the extended EU Trans-European Transport Networks, in order to promote global cooperation in connectivity;

16.  Notes Japan’s ambition to become a non-permanent member of the UN Security Council for 2023-2024, and welcomes its contribution to the UN in areas such as disarmament and non-proliferation, peacekeeping and peace building, and security;

Sectoral cooperation

17.  Highlights the opportunities and momentum the SPA gives to developing cultural relations and to cooperation in the field of youth, education and sport; takes note of the current low levels of people-to-people exchanges and of the linguistic barriers; suggests further investment to enhance citizen-to-citizen interaction, educational and cultural dialogue, academic mobility programmes under Erasmus+, and public diplomacy to promote mutual understanding and cultural diversity;

18.  Draws attention to the impetus that the SPA provides in furthering sectoral cooperation on consumer protection and exchanges on regulatory and supervisory regimes for the financial sector;

19.  Considers that the EU and Japan, as leading global donors with a long history of Official Development Assistance to less developed countries in East Asia and, more recently, Africa, the Middle East and Latin America, are natural partners, together with recipient governments, in coordinating aid and ensuring coherence; stresses that the main purpose of development aid is poverty reduction with the achievement of the Sustainable Development Goals, and looks forward to mutual cooperation towards the achievement of those goals;

20.  Welcomes Japan’s ratification of the Paris Climate Agreement in 2016, and urges its effective implementation with Japan taking a lead in proactively combating climate change and stepping up mitigation efforts; calls for the EU and Japan to intensify cooperation in the field of sustainable energy, e.g. in developing low-emission forms of transport; underlines that the Foreign Minister´s advisory panel on climate change issued its report in February 2018, placing the need for energy transition towards renewables at the core of Japan´s energy diplomacy strategy;

21.  Welcomes the inclusion of sustainable forest management in the agreement, and looks forward to further exchange of good practices regarding illegal logging, building on the experience of the EU Timber Regulation, with a view to introducing mandatory due diligence in Japanese legislation;

22.  Regrets Japan’s attempt to secure an end to the moratorium on commercial whaling at the September 2018 meetings of the International Whaling Commission (IWC), and calls for the suspension of whaling for scientific purposes;

23.  Stresses that Japan is the second biggest cosmetics market in the world; recalls that cosmetics testing on animals and the sale of imported cosmetic products tested on animals are banned in the EU; in this context encourages the Parties to exchange information and cooperate with a view to ending cosmetics testing on animals in Japan;

24.  Stresses the importance of the preservation of biological diversity, and encourages Japan to lift its reservations to the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES);

25.  Calls for the swift ratification of the provisional agreement by the parliaments of the EU Member States and for its thorough implementation in all sectors;

o
o   o

26.  Instructs its President to forward this resolution to the Council, the Commission, the European External Action Service, the Vice-President of the Commission / High Representative of the Union for Foreign Affairs and Security Policy, the governments and parliaments of the Member States and the Government and National Diet of Japan.

(1) OJ L 216, 24.8.2018, p. 1.
(2) OJ L 90, 6.4.2011, p. 2.
(3) OJ C 443, 22.12.2017, p. 49.
(4) Texts adopted, P8_TA(2018)0506.


EU-Jordan Euro-Mediterranean Aviation Agreement (accession of Croatia) ***
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European Parliament legislative resolution of 12 December 2018 on the draft Council decision on the conclusion, on behalf of the Union and its Member States, of a Protocol amending the Euro-Mediterranean Aviation Agreement between the European Union and its Member States, of the one part, and the Hashemite Kingdom of Jordan, of the other part, to take account of the accession to the European Union of the Republic of Croatia (07067/2015 – C8-0189/2016 – 2015/0003(NLE))
P8_TA(2018)0508A8-0371/2018

(Consent)

The European Parliament,

–  having regard to the draft Council decision (07067/2015),

–  having regard to the draft Protocol amending the Euro‑Mediterranean Aviation Agreement between the European Union and its Member States, of the one part, and the Hashemite Kingdom of Jordan, of the other part, to take account of the accession to the European Union of the Republic of Croatia (07066/2015),

–  having regard to the request for consent submitted by the Council in accordance with Article 100(2) and Article 218(6), second subparagraph, point (a), of the Treaty on the Functioning of the European Union (C8‑0189/2016),

–  having regard to Rule 99(1) and 4 and Rule 108(7) of its Rules of Procedure,

–  having regard to the recommendation of the Committee on Transport and Tourism (A8-0371/2018),

1.  Gives its consent to conclusion of the protocol;

2.  Instructs its President to forward its position to the Council, the Commission and the governments and parliaments of the Member States and of the Hashemite Kingdom of Jordan.


Establishing Horizon Europe – laying down its rules for participation and dissemination ***I
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Amendments adopted by the European Parliament on 12 December 2018 on the proposal for a regulation of the European Parliament and of the Council establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination (COM(2018)0435 – C8-0252/2018 – 2018/0224(COD))(1)
P8_TA(2018)0509A8-0401/2018

(Ordinary legislative procedure: first reading)

Text proposed by the Commission   Amendment
Amendment 1
Proposal for a regulation
Recital 1
(1)  It is the Union's objective to strengthen its scientific and technological bases and encourage its competitiveness, including in its industry, while promoting all research and innovation activities to deliver on the Union's strategic priorities, which ultimately aim at promoting peace, the Union's values and the well-being of its peoples.
(1)  It is the Union's objective to strengthen its scientific excellence and technological bases in which researchers, scientific knowledge and technology circulate freely and encourage its competitiveness, including in its industry, to strengthen the European Research Area, while promoting all research and innovation activities to deliver on the Union's strategic priorities and commitments, which ultimately aim at promoting peace, the Union's values and the well-being of its peoples;
Amendment 2
Proposal for a regulation
Recital 2
(2)  To deliver scientific, economic and societal impact in pursuit of this general objective, the Union should invest in research and innovation through Horizon Europe - a Framework Programme for Research and Innovation 2021-2027 (the ‘Programme’) to support the creation and diffusion of high-quality knowledge and technologies, to strengthen the impact of research and innovation in developing, supporting and implementing Union policies, to support the uptake of innovative solutions in industry and society to address global challenges and promote industrial competitiveness; to foster all forms of innovation, including breakthrough innovation, and strengthen market deployment of innovative solutions; and optimise the delivery of such investment for increased impact within a strengthened European Research Area.
(2)  To deliver scientific, economic and societal impact in pursuit of this general objective and maximise the Union’s added value of its RDI investments, the Union should invest in research and innovation through Horizon Europe - a Framework Programme for Research and Innovation 2021-2027 (the ‘Programme’) to support the creation, diffusion and transfer of high-quality knowledge and technologies in the Union, to strengthen the impact of research and innovation in addressing global challenges including the Sustainable Development Goals and climate change, and in developing, supporting and implementing Union policies, to support the uptake of innovative and sustainable solutions in the Union’s industry and society to create jobs and boost economic growth and industrial competitiveness; The Programme should foster all forms of innovation, strengthen market deployment of innovative solutions and optimise the delivery of investments.
Amendment 3
Proposal for a regulation
Recital 2 a (new)
(2 a)  The Programme should contribute to the achievement of an overall 3% of the the Union’s GDP to be invested in research and development, in line with the EU2020 headline target. The achievement of the target will require Member States and the private sector to complement the Programme with their own and reinforced investment actions in research, development and innovation.
Amendment 4
Proposal for a regulation
Recital 3
(3)  The promotion of research and innovation activities deemed necessary to help realise Union policy objectives should take into account the innovation principle as put forward in the Commission Communication of 15 May 2018 'A renewed European Agenda for Research and Innovation - Europe's chance to shape its future' (COM(2018)306).
(3)  The promotion of research and innovation activities deemed necessary to help realise Union policy objectives should take into account the innovation principle as a key driver in turning faster and more intensively the Union’s substantial knowledge assets into innovations.
Amendment 5
Proposal for a regulation
Recital 4
(4)  Open Science, Open Innovation, Open to the World constitute general principles, which should ensure excellence and impact of the Union's investment in research and innovation. They should be adhered in the implementation of the Programme, in particular for the strategic planning in respect of the pillar 'Global Challenges and Industrial Competitiveness'.
(4)  The continuation of “Open Science, Open Innovation, Open to the World” while safeguarding the Union’s scientific and socio-economic interests should ensure excellence and impact of the Union's investment in research and innovation and strengthen the R&I capacity of all Member States. That should lead to a balanced implementation of the Programme.
Amendment 6
Proposal for a regulation
Recital 5
(5)  Open science, including open access to scientific publications and research data, has the potential to increase the quality, impact and benefits of science and to accelerate the advancement of knowledge by making it more reliable, more efficient and accurate, better understandable by society and responsive to societal challenges. Provisions should be laid down to ensure that beneficiaries provide open access to peer-reviewed scientific publications, research data and other research outputs in an open and non-discriminatory manner, free of charge and as early as possible in the dissemination process, and to enable their widest possible use and re-use. More emphasis should in particular be given to the responsible management of research data, which should comply with the FAIR principles of ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’, notably through the mainstreaming of Data Management Plans. Where appropriate, beneficiaries should make use of the possibilities offered by the European Open Science Cloud and adhere to further open science principles and practices.
(5)  Open science has the potential to increase the quality, impact and benefits of science and to accelerate the advancement of knowledge by making it more reliable, more efficient and accurate, better understandable by society and responsive to societal challenges. Provisions should be laid down to ensure that beneficiaries provide open access to peer-reviewed scientific publications, research data and other research outputs in an open and non-discriminatory manner, free of charge and as early as possible in the dissemination process, and to enable their widest possible use and re-use. As far as research data is concerned, the principle should be “as open as possible, as closed as necessary”, thereby recognising the need for different access regimes because of the Union’s socio-economic interest, intellectual property rights, personal data protection and confidentiality, security concerns and other legitimate interests. More emphasis should be given to the responsible management of research data, which should comply with the FAIR principles of ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’, notably through the mainstreaming of Data Management Plans. Where appropriate, beneficiaries should make use of the possibilities offered by the European Open Science Cloud and the European Data Infrastructure and adhere to further open science principles and practices. Reciprocal open access should be encouraged in international S&T cooperation agreements and in relevant association agreements.
Amendment 7
Proposal for a regulation
Recital 5 a (new)
(5 a)  SME beneficiaries are encouraged to make use of the existing instruments such as IPR SME Helpdesk that supports European Union small and medium sized enterprises to both protect and enforce their Intellectual Property (IP) rights through the provision of free information and services, in the form of confidential advice on intellectual property and related issues, plus training, materials and online resources.
Amendment 8
Proposal for a regulation
Recital 6
(6)  The conception and design of the Programme should respond to the need for establishing a critical mass of supported activities, throughout the EU Union and through international cooperation, in line with the UN Sustainable Development Goals (SDGs). Programme implementation should reinforce the pursuit of this aim.
(6)  The conception and design of the Programme should respond to the need for establishing a critical mass of supported activities, throughout the Union and through international cooperation, while encouraging the participation of all Member States in the Programme, in line with the UN Sustainable Development Goals (SDGs) and the Paris Agreement. Programme implementation should reinforce the pursuit of this aim.
Amendment 9
Proposal for a regulation
Recital 7
(7)  Activities supported under the Programme should contribute towards the achievement of the Union's objectives and priorities, the monitoring and assessment of progress against those objectives and priorities and for the development of revised or new priorities.
(7)  Activities supported under the Programme should contribute towards the achievement of the Union's and the Programme’s objectives, priorities and commitments, the monitoring and assessment of progress against those objectives, priorities and commitments and for the development of revised or new priorities.
Amendment 10
Proposal for a regulation
Recital 7 a (new)
(7 a)   The Programme should seek alignment with already existing European research and innovation roadmaps and strategies.
Amendment 11
Proposal for a regulation
Recital 8
(8)  The Programme should maintain a balanced approach between bottom-up (investigator or innovator driven) and top-down (determined by strategically defined priorities) funding, according to the nature of the research and innovation communities that are engaged, the types and purpose of the activities carried out and the impacts that are sought. The mix of these factors should determine the choice of approach for the respective parts of the Programme, all of which contribute to all of the Programme’s general and specific objectives.
(8)  The Programme should maintain a balanced approach between bottom-up (investigator or innovator driven) and top-down (determined by strategically defined priorities) funding, according to the nature of the research and innovation communities that are engaged across the Union, the success rates per area of intervention, the types and purpose of the activities carried out, the subsidiarity principle and the impacts that are sought. The mix of these factors should determine the choice of approach for the respective parts of the Programme, all of which contribute to all of the Programme’s general and specific objectives.
Amendment 12
Proposal for a regulation
Recital 8 a (new)
(8 a)  A number of research and innovation actions should apply a Fast Track to Research and Innovation logic where time-to-grant should not exceed six months. This should allow a faster, bottom-up access to funds for small collaborative consortia covering actions from fundamental research to market application.
Amendment 13
Proposal for a regulation
Recital 8 b (new)
(8 b)  The Programme should support all stages of research and innovation especially within collaborative projects. Fundamental research is an essential asset and an important condition for increasing the Union’s ability to attract the best scientists in order to become a global hub of excellence. The balance between basic and applied research should be ensured. Coupled with innovation, this will support the Union’s economic competitiveness, growth and jobs.
Amendment 14
Proposal for a regulation
Recital 8 c (new)
(8 c)  In order to maximise the impact of Horizon Europe particular consideration should be given to multidisciplinary, interdisciplinary and transdisciplinary approaches as necessary elements for major scientific progress.
Amendment 15
Proposal for a regulation
Recital 8 d (new)
(8 d)  The engagement with society is to be fostered through responsible research and innovation as a cross-cutting element with a view to build effective cooperation between science and society. It would allow all societal actors (researchers, citizens, policy makers, business, third sector organisations etc.) to work together during the whole research and innovation process in order to better align both the process and its outcomes with the values, needs and expectations of European society.
Amendment 16
Proposal for a regulation
Recital 9
(9)  Research activities carried out under the pillar 'Open Science' should be determined according to the needs and opportunities of science. The research agenda should be set in close liaison with the scientific community. Research should be funded on the basis of excellence.
(9)  Research activities carried out under the pillar 'Excellent and Open Science' should be determined according to the needs and opportunities of science. The research agenda should be set in close liaison with the scientific community and include emphasis on attracting new R&I talents, young researchers, while strengthening the ERA and avoiding brain drain. Research should be funded on the basis of excellence.
Amendment 17
Proposal for a regulation
Recital 10
(10)  The pillar 'Global Challenges and Industrial Competitiveness' should be established through clusters of research and innovation activities, in order to maximise integration across the respective work areas while securing high and sustainable levels of impact in relation to the resources that are expended. It will encourage cross-disciplinary, cross-sectoral, cross-policy and cross-border collaboration in pursuit of the UN SDGs and the competitiveness of the Union's industries therein.
(10)  The pillar 'Global Challenges and European Industrial Competitiveness' should be established through clusters of research and innovation activities, in order to maximise integration across the respective work areas while securing high and sustainable levels of impact for the Union in relation to the resources that are expended. It will encourage cross-disciplinary, cross-sectoral, cross-policy and cross-border collaboration in pursuit of the UN SDGs and the Union’s commitments under the Paris Agreement and where needed to address societal challenges, and the competitiveness of the Union's industries therein. The activities under this pillar should cover the full range of research and innovation activities including R&D, piloting, demonstration, and support for public procurement, pre-normative research and standard setting, and market uptake of innovations to ensure that Europe stays at the cutting-edge of research in strategically defined priorities.
Amendment 18
Proposal for a regulation
Recital 11
(11)  Full engagement of industry in the Programme, at all levels from the individual entrepreneur and small and medium-sized enterprises to large scale enterprises, should constitute one of the main channels through which the Programme's objectives are to be realised, specifically towards the creation of sustainable jobs and growth. Industry should contribute to the perspectives and priorities established through the strategic planning process which should support the development of work programmes. Such engagement by industry should see its participation in the actions supported at levels at least commensurate with those under the previous framework programme Horizon 2020 established by Regulation (EU) No 1291/2013 of the European Parliament and the Council13 ('Horizon 2020').
(11)  Full and timely engagement of industry in the Programme, at all levels from the individual entrepreneur and small and medium-sized enterprises to large scale enterprises, should continue specifically towards the creation of sustainable jobs and growth in Europe strengthening private-public cooperation and enhancing R&I investment from the private sector.
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13
Amendment 19
Proposal for a regulation
Recital 11 a (new)
(11 a)   Multi-stakeholders consultations, including civil society and industry, should contribute to the perspectives and priorities established through the strategic planning process. This should result in periodic Strategic R&I Plans adopted by means of delegated acts. Those strategic plans should then be implemented through the development of work programmes.
Amendment 20
Proposal for a regulation
Recital 12
(12)  It is important to support industry to stay or become world leader in innovation, digitisation and decarbonisation, notably through investments in key enabling technologies that will underpin tomorrow's business. The Programme's actions should be used to address market failures or sub-optimal investment situations, in a proportionate manner, without duplicating or crowding out private financing and have a clear European added value. This will ensure consistency between the actions of the programme and EU State aid rules, avoiding undue distortions of competition in the internal market.
(12)  It is important to support the Union’s industry to stay or become world leader in innovation, digitisation and decarbonisation, notably through investments in key enabling technologies that will underpin tomorrow's business. Key Enabling Technologies (KETs) are set to play a central role in Pillar II 'Global Challenges and European Industrial Competitiveness' and should be further connected to the Future and Emerging Technologies (FET) Flagships to allow research projects to cover the whole innovation chain. The Programme's actions should reflect the Union’s Industrial Policy Strategy so as to address market failures or sub-optimal investment situations, to boost investments in a proportionate and transparent manner, without duplicating or crowding out private financing and have a clear European added value and public return on investments. This will ensure consistency between the actions of the programme and EU RDI State aid rules, which should be revised in order to incentivise innovation.
Amendment 21
Proposal for a regulation
Recital 12 a (new)
(12 a)  SMEs constitute a significant source of innovation and growth in Europe. Therefore a strong participation of SMEs as defined in Commission Recommendation 2003/361/EC is needed in Horizon Europe. Building on best practices from Horizon 2020, Horizon Europe should continue to encourage SMEs participation to the Framework Programme in an integrated manner. Adequate measures and budget provisions, including the implementation of a fully bottom-up monobeneficiary SMEs instrument performing incremental innovation, with dedicated open calls throughout the different stages of the innovation cycle should be foreseen.
Amendment 22
Proposal for a regulation
Recital 13
(13)  The Programme should support research and innovation in an integrated manner, respecting all relevant provisions of the World Trade Organisation. The concept of research, including experimental development should be used in accordance with the Frascati Manual developed by the OECD, whereas the concept of innovation should be used in accordance with the Oslo Manual developed by the OECD and Eurostat, following a broad approach that covers social innovation. The OECD definitions regarding Technological Readiness Level (TRL) should continue, as in the previous Framework Programme Horizon 2020, to be taken into account in the classification of technological research, product development and demonstration activities, and the definition of types of action available in calls for proposals. In principle grants should not be awarded for actions where activities go above TRL 8. The work programme for a given call under the pillar 'Global Challenges and Industrial Competitiveness' could allow grants for large-scale product validation and market replication.
(13)  The Programme should support research and innovation in an integrated manner, respecting all relevant provisions of the World Trade Organisation. The concept of research, including experimental development should be used in accordance with the Frascati Manual developed by the OECD, whereas the concept of innovation should be used in accordance with the Oslo Manual developed by the OECD and Eurostat, following a broad approach that covers social innovation, design and creativity. The OECD definitions regarding Technological Readiness Level (TRL) should be taken into account, as in the previous Framework Programme Horizon 2020. The work programme for a given call under the pillar 'Global Challenges and European Industrial Competitiveness' could allow grants for large-scale product validation and market replication.
Amendment 23
Proposal for a regulation
Recital 14
(14)  The Commission's Communication on the interim evaluation of Horizon 2020 (COM(2018)0002) has provided a set of recommendations for this Programme, including its Rules for participation and dissemination, building on the lessons learnt from the previous Programme as well as input from EU institutions and stakeholders. Those recommendations include to invest more ambitiously in order to reach critical mass and maximise impact; to support breakthrough innovation; to prioritise Union research and innovation (R&I) investments in areas of high added value, notably through mission-orientation, citizen involvement and wide communication; to rationalise the Union funding landscape, including by streamlining the range of partnership initiatives and co-funding schemes; the development of more and concrete synergies between different Union funding instruments, notably with the aim of helping to mobilise under-exploited R&I potential across the Union; to strengthen international cooperation and reinforce openness to third countries' participation; and to continue simplification based on implementation experiences from Horizon 2020.
(14)  The Commission's Communication on the interim evaluation of Horizon 2020 (COM(2018)0002) and the European Parliament’s report on the assessment of the implementation of Horizon 2020 in view of its interim evaluation and the Framework Programme 9 proposal (2016/2147(INI)) have provided a set of recommendations for this Programme, including its Rules for participation and dissemination, building on the lessons learnt from the previous Programme as well as input from EU institutions and stakeholders. Those recommendations include to invest more ambitiously in order to reach critical mass and maximise impact; to support breakthrough innovation; to prioritise Union research and innovation (R&I) investments in areas of high added value, notably through mission-orientation, full, well-informed and timely citizen involvement and wide communication; to rationalise the Union funding landscape in order to fully use the R&I potential of all Member States, including by streamlining the range of partnership initiatives and co-funding schemes; the development of more and concrete synergies between different Union funding instruments, notably with the aim of helping to mobilise under-exploited R&I potential across the Union; to better involve research infrastructures financed by the Union - especially from ERDF - into the Programme’s projects, to strengthen international cooperation and reinforce openness to third countries' participation while safeguarding the Union interest and broadening the participation of all Member States in the Programme; and to continue simplification based on implementation experiences from Horizon 2020.
Amendment 24
Proposal for a regulation
Recital 15
(15)  The Programme should seek synergies with other Union programmes, from their design and strategic planning, to project selection, management, communication, dissemination and exploitation of results, to monitoring, auditing and governance. With a view to avoiding overlaps and duplication and increasing the leverage of Union funding, transfers from other Union programmes to Horizon Europe activities can take place. In such cases they will follow Horizon Europe rules.
(15)  Cohesion policy should continue to contribute to research and innovation. Therefore, special attention needs to be paid to the coordination and complementarity between the two Union policies. The Programme should seek alignment of rules and synergies with other Union programmes as referred to in Annex IV to this Regulation, from their design and strategic planning, to project selection, management, communication, dissemination and exploitation of results, to monitoring, auditing and governance. With a view to avoiding overlaps and duplication and increasing the leverage of Union funding, as well as decreasing administrative burden for the applicants and the beneficiaries, all types of synergies should follow the principle “one action follows one set of rules”:
—   transfers from other Union programmes including the European Regional Development Fund (ERDF), to Horizon Europe activities can take place on a voluntary basis. In such cases they will follow Horizon Europe rules, but they will be used only for the benefit of the Member State or managing authority, as relevant, deciding to make the transfer;
—  co-funding of an action by Horizon Europe and another Union programme could also be foreseen while not exceeding the total eligible costs of the action. In such cases, only Horizon Europe rules would apply and double audits should be avoided;
—  Seals of Excellence should be awarded to all proposals which have passed the “excellence” threshold in Horizon Europe but cannot be financed due to budgetary constraints. In such cases, the rules of the Fund providing support should apply with the exception of state aid rules.
Amendment 25
Proposal for a regulation
Recital 16
(16)  In order to achieve the greatest possible impact of Union funding and the most effective contribution to the Union's policy objectives, the Programme should enter into European Partnerships with private and/or public sector partners. Such partners include industry, research organisations, bodies with a public service mission at local, regional, national or international level, and civil society organisations such as foundations that support and/or carry out research and innovation, provided that desired impacts can be achieved more effectively in partnership than by the Union alone.
(16)  In order to achieve the greatest possible impact of Union funding and the most effective contribution to the Union's policy objectives and commitments, the Programme may enter into European Partnerships with private and/or public sector partners, on the basis of the outcome of the Strategic Planning. Such partners include public and private research and innovation stakeholders, competence centres, business incubators, science and technology parks, bodies with a public service mission, foundations and civil society organisations and regional innovation ecosystems, where appropriate that support and/or carry out research and innovation, provided that desired impacts can be achieved more effectively in partnership than by the Union alone.
Amendment 26
Proposal for a regulation
Recital 17
(17)  The Programme should strengthen cooperation between European Partnerships and private and/or public sector partners at the international level including by joining up research and innovation programmes and cross-border investment in research and innovation bringing mutual benefits to people and businesses while ensuring that the EU can uphold its interests in strategic areas.14
(17)  The Programme should strengthen cooperation between European Partnerships and private and/or public sector partners at the international level including by joining up research and innovation programmes and cross-border investment in research and innovation bringing mutual benefits to people and businesses while ensuring that the Union can uphold its interests.
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14 See e.g. the Commission's proposal for a regulation establishing a framework for screening Foreign Direct Investment into the EU (COM(2017)0487).
Amendment 27
Proposal for a regulation
Recital 17 a (new)
(17 a)  FET Flagships' have proven to be an effective and efficient instrument, delivering benefits for society in a joint, coordinated effort by the Union and its Member States, and existing flagships that have proven their benefits should continue to be supported.
Amendment 28
Proposal for a regulation
Recital 18
(18)  The Joint Research Centre (JRC) should continue to provide Union policies with independent customer-driven scientific evidence and technical support throughout the whole policy cycle. The direct actions of the JRC should be implemented in a flexible, efficient and transparent manner, taking into account the relevant needs of the users of the JRC and the needs of Union policies, and ensuring the protection of the financial interests of the Union. The JRC should continue to generate additional resources.
(18)  The Joint Research Centre (JRC) should continue to provide Union policies with independent customer-driven scientific evidence and technical support throughout the whole policy cycle. The direct actions of the JRC should be implemented in a flexible, efficient and transparent manner, taking into account the relevant needs of the users of the JRC, the budgetary constraints and the needs of Union policies, and ensuring the protection of the financial interests of the Union. The JRC should continue to generate additional resources.
Amendment 29
Proposal for a regulation
Recital 19
(19)  The pillar 'Open Innovation' should establish a series of measures for integrated support to the needs of entrepreneurs and entrepreneurship aiming at realising and accelerating breakthrough innovation for rapid market growth. It should attract innovative companies with potential for scaling up at international and at Union level and offer fast, flexible grants and co-investments, including with private investors. These objectives should be pursued through the creation of a European Innovation Council (EIC). This Pillar should also support the European Institute of Innovation and Technology (EIT) and European innovation ecosystems at large, notably through co-funding partnerships with national and regional innovation support actors.
(19)  The pillar 'Innovative Europe' should establish a series of measures for integrated support to the needs of entrepreneurs and research-driven entrepreneurship aiming at realising and accelerating breakthrough innovation for rapid market growth as well as promoting the Union’s technological autonomy in strategic areas. It should attract innovative companies, including SMEs and start-ups, with potential for scaling up at international and at Union level and offer fast, flexible grants and co-investments, including with private investors. These objectives should be pursued through the creation of a European Innovation Council (EIC). This Pillar should also support the European Institute of Innovation and Technology (EIT), the EIT Regional Innovation Scheme and European innovation ecosystems at large, throughout the Union, notably through co-funding partnerships with national and regional innovation support actors, both public and private.
Amendment 30
Proposal for a regulation
Recital 20
(20)  The policy objectives of this Programme will be also addressed through financial instruments and budgetary guarantee under the policy windows of the InvestEU Fund. Financial support should be used to address market failures or sub-optimal investment situations, in a proportionate manner and actions should not duplicate or crowd out private financing or distort competition in the Internal market. Actions should have a clear European added value.
(20)  In order to address the need to support investment in higher-risk and non-linear activities such as research and innovation, it is essential that Horizon Europe, in particular the EIC, as well as the EIT with its KICs, work in synergy with the financial products to be deployed under InvestEU. In that regard, the experience gained from the financial instruments deployed under Horizon 2020 such as InnovFin and the loan guarantee for SMEs, should serve as a strong basis to deliver this targeted support EIC should develop strategic intelligence and real time evaluation activities in order to timely manage and coordinate its various actions.
Amendment 31
Proposal for a regulation
Recital 21
(21)  The EIC through its instruments – Pathfinder and Accelerator – should aim at identifying, developing and deploying breakthrough market creating innovations and supporting their rapid scale-up to EU and international levels. Through coherent and streamlined support to breakthrough innovation the EIC should fill the current vacuum in public support and private investment for breakthrough innovation. The instruments of the EIC call for dedicated legal and management features in order to reflect its objectives, in particular market deployment activities.
deleted
Amendment 32
Proposal for a regulation
Recital 22
(22)  Through EIC blended finance, the Accelerator should bridge the “valley of death” between research, pre-mass commercialisation and the scaling-up of companies. In particular, the Accelerator should provide support to operations presenting such technological or market risks that they are not considered as bankable and cannot leverage significant investments from the market, hence complementing the InvestEU programme established by Regulation …15 ..
(22)  Through EIC blended finance, the EIC Accelerator should bridge the “valley of death” between research, pre-mass commercialisation and the scaling-up of companies. In particular, the Accelerator should provide support to operations presenting such technological or market risks that they are not considered as bankable and cannot leverage significant investments from the market, hence complementing the InvestEU programme established by Regulation …15 ..
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15
15 ...
Amendment 33
Proposal for a regulation
Recital 23
(23)  The EIT, primarily through its Knowledge and Innovation Communities (KICs), should aim at strengthening innovation ecosystems that tackle global challenges, by fostering the integration of business, research, higher education and entrepreneurship. The EIT should foster innovation in its activities and should support the integration of higher education within the innovation ecosystem, in particular by: stimulating entrepreneurial education, fostering strong non-disciplinary collaborations between industry and academia; and identifying prospective skills for future innovators to address global challenges, which includes advanced digital and innovation skills. Support schemes provided by the EIT should benefit to EIC beneficiaries, while start-ups emerging from EIT KICs should have access to EIC actions. While the EIT’s focus on innovation ecosystems should make it naturally fit within the pillar 'Open Innovation', the planning of its KICs should be aligned through the strategic planning process with the pillar 'Global Challenges and Industrial Competitiveness'.
(23)  The EIT, primarily through its Knowledge and Innovation Communities (KICs) and the EIT Regional Innovation Scheme should aim at strengthening innovation ecosystems for the development of an overall Union capacity for innovation that tackle global challenges, by fostering the integration of business, research, higher education and entrepreneurship. In line with its founding act, the EIT Regulation1a and the Strategic Innovation Agenda of the EIT1b, the EIT should foster innovation in its activities and should support the integration of higher education within the innovation ecosystem, in particular by: stimulating entrepreneurial education, fostering strong non-disciplinary collaborations between industry and academia; and identifying prospective skills for future innovators to address global challenges, which includes advanced digital and innovation skills. Support schemes provided by the EIT should benefit to EIC beneficiaries, while start-ups emerging from EIT KICs should have fast-track access to EIC actions. While the EIT’s focus on innovation ecosystems should make it naturally fit within the pillar 'Innovative Europe', it should also support all other pillars, as appropriate, the planning of its KICs should be aligned through the strategic planning process with the pillar 'Global Challenges and European Industrial Competitiveness'. Duplication between KICs and other instruments in the same field, in particular other Partnerships, should be avoided.
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1a Regulation (EC) No 294/2008 of the European Parliament and of the Council of 11 March 2008 (OJ L 97, 9.4.2008, p. 1), as amended by Regulation (EU) No 1292/2013 of the European Parliament and of the Council of 11 December 2013 (OJ L 347, 20.12.2013, p. 174).
1b Regulation (EU) of the European Parliament and of the Council.
Amendment 34
Proposal for a regulation
Recital 24
(24)  Ensuring and preserving a level playing field for companies that compete in a given market should be a key requirement for breakthrough or disruptive innovation to flourish thereby enabling in particular small and medium-size innovators to reap the benefits of their investment and to capture a share of the market.
(24)  Ensuring and preserving a level playing field for companies that compete in a given market should be a key requirement for breakthrough or disruptive innovation to flourish thereby enabling in particular small and medium-size innovators to reap the benefits of their investment and to capture a share of the market. Similarly, a certain degree of openness in the innovation scale of funded actions - addressing a large network of beneficiaries - may contribute substantially to the building capacity of SMEs, as it provides them with the necessary means to attract investments and to thrive.
Amendment 35
Proposal for a regulation
Recital 25
(25)  The Programme should promote and integrate cooperation with third countries and international organisations and initiatives based on common interest, mutual benefit and global commitments to implement the UN SDGs. International cooperation should aim to strengthen the Union's research and innovation excellence, attractiveness and economic and industrial competitiveness, to tackle global challenges, as embodied in the UN SDGs, and to support the Union's external policies. An approach of general opening for international participation and targeted international cooperation actions should be followed, including through appropriate eligibility for funding of entities established in low to middle income countries. At the same time, association of third countries to the Programme should be promoted.
(25)  The Programme should promote and integrate cooperation with third countries and international organisations and initiatives based on Union’s interest, and mutual benefits and global commitments to implement the UN SDGs. International cooperation should aim to strengthen the Union's excellence in research and innovation, attractiveness and economic and industrial competitiveness, to tackle global challenges, as embodied in the UN SDGs, and to support the Union's external policies. An approach of general opening for reciprocal international participation and targeted international cooperation actions should be followed, appropriate eligibility criteria, considering different levels of R&I capacities, for funding of entities established in low to middle income countries need to be applied. At the same time, association of third countries to the Programme should be promoted where reciprocity is envisaged and where Union’s interest is safeguarded and increased participation of all Member States in the Programme is promoted.
Amendment 36
Proposal for a regulation
Recital 26
(26)  With the aim of deepening the relationship between science and society and maximising benefits of their interactions, the Programme should engage and involve citizens and civil society organisations in co-designing and co-creating responsible research and innovation agendas and contents, promoting science education, making scientific knowledge publicly accessible, and facilitating participation by citizens and civil society organisations in its activities. It should do so across the Programme and through dedicated activities in the part 'Strengthening the European Research Area'. The engagement of citizens and civil society in research and innovation should be coupled with public outreach activities to generate and sustain public support for the Programme. The programme should also seek to remove barriers and boost synergies between science, technology, culture and the arts to obtain a new quality of sustainable innovation.
(26)  With the aim of deepening the relationship between science and society and maximising benefits of their interactions, the Programme should engage and involve citizens and civil society organisations in co-designing and co-creating responsible research and innovation (RRI) agendas and contents that meet citizens’ and civil society’s concerns, needs and expectations, promoting science education, making scientific knowledge publicly accessible, and facilitating participation of citizens and civil society organisations in its activities. The measures taken to improve the involvement of citizens and civil society should be monitored.
Amendment 37
Proposal for a regulation
Recital 26 a (new)
(26 a)  Horizon Europe should support new technologies which contribute to overcoming obstacles, that prevent the access and the full participation of persons with disabilities and which consequently restrain the development of a truly inclusive society.
Amendment 38
Proposal for a regulation
Recital 26 b (new)
(26 b)  With the aim of strengthening of the European Research Area, all parts of the Programme should contribute to significantly reduce the R&I divide, in particular by increasing the participation of widening countries in the Programme R&I actions, spreading scientific excellence, boosting new R&I cooperation patterns, reducing the remuneration gap among researchers within the Union, counterbalancing the brain-drain, modernising national R&I ecosystems and ensuring a balanced representation in the evaluation panels, expert groups and scientific boards.
Amendment 39
Proposal for a regulation
Recital 27
(27)  Pursuant to Article 349 of the TFEU, the Union's outermost regions are entitled to specific measures (taking into account their structural, social and economic situation) regarding access to horizontal Union programmes. The Programme should therefore take into account the specific characteristics of those regions in line with the Commission's Communication on 'A stronger and renewed strategic partnership with the EU's outermost regions' (COM(2017)0623) as endorsed by the Council on 12 April 2018.
(27)  Pursuant to Article 349 of the TFEU, the Union's outermost regions are entitled to specific measures (taking into account their structural, social and economic situation) regarding access to horizontal Union programmes. The Programme should therefore take into account the specific characteristics of those regions in line with the Commission's Communication on 'A stronger and renewed strategic partnership with the EU's outermost regions' (COM(2017)0623) as endorsed by the Council on 12 April 2018 2018 and where possible promote their participation in the Programme.
Amendment 40
Proposal for a regulation
Recital 28
(28)  The activities developed under the Programme should aim at eliminating gender inequalities and promoting equality between women and men in research and innovation, in compliance with Articles 2 and 3 of the Treaty on European Union and Article 8 of the TFEU. The gender dimension should be adequately integrated in research and innovation content and followed through at all stages of the research cycle.
(28)  The activities developed under the Programme should aim at eliminating gender inequalities, avoiding gender bias, adequately integrating the gender dimension in research and innovation content, aiming at enhancing work-life balance, promoting equality between women and men including equal pay principles as referred to in Article 141(3) of the TFEU and in Directive 2006/54/EC on the implementation of the principle of equal opportunities and equal treatment of men and women in matters of employment and occupation, as well as ensuring accessibility of researchers with disabilities to research and innovation.
Amendment 41
Proposal for a regulation
Recital 29
(29)  In light of the specificities of the defence industry sector, the detailed provisions for Union funding to defence research projects should be fixed in the Regulation … establishing the European Defence Fund16 which defines the rules of participation for defence research. Research and innovation activities carried out under the European Defence Fund should have an exclusive focus on defence applications.
(29)  In light of the specificities of the defence industry sector, the detailed provisions for Union funding to defence research projects should be fixed in the Regulation … establishing the European Defence Fund16 which defines the rules of participation for defence research. Although synergies between Horizon Europe and the European Defence Fund could be encouraged while avoiding duplication, actions under Horizon Europe should have an exclusive focus on civilian applications.
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16
16 ...
Amendment 42
Proposal for a regulation
Recital 31 a (new)
(31 a)  Administrative simplification, in particular the reduction of the administrative burden and delays for beneficiaries should be continuously sought in the establishment, implementation, evaluation, reporting and monitoring of the Programme.
Amendment 43
Proposal for a regulation
Recital 31 b (new)
(31 b)  In order to ensure that Europe remains at the forefront of global research and innovation in the digital field and to take account of the necessity to step up investments to benefit from the growing opportunities of digital technologies, sufficient budget should be allocated to core digital priorities.
Amendment 44
Proposal for a regulation
Recital 33
(33)  Pursuant to [reference to be updated as appropriate according to a new decision on OCTs: Article 94 of Council Decision 2013/755/EU23 ], persons and entities established in overseas countries and territories (OCTs) are eligible for funding subject to the rules and objectives of the Programme and possible arrangements applicable to the Member State to which the relevant overseas country or territory is linked.
(33)  Pursuant to [reference to be updated as appropriate according to a new decision on OCTs: Article 94 of Council Decision 2013/755/EU23 ], persons and entities established in overseas countries and territories (OCTs) are eligible for funding subject to the rules and objectives of the Programme and possible arrangements applicable to the Member State to which the relevant overseas country or territory is linked. The Programme should take due account of the specific features of those territories in order to ensure their effective participation and to support cooperation and synergies, particularly in the outermost regions as well as with third countries in their neighbourhood.
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23 Council Decision 2013/755/EU of 25 November 2013 on the association of the overseas countries and territories with the European Union (Overseas Association Decision) (OJ L 344, 19.12.2013, p. 1).
23 Council Decision 2013/755/EU of 25 November 2013 on the association of the overseas countries and territories with the European Union (Overseas Association Decision) (OJ L 344, 19.12.2013, p. 1).
Amendment 45
Proposal for a regulation
Recital 34
(34)  Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law-Making of 13 April 2016, there is a need to evaluate this Programme on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States. These requirements, where appropriate, can include measurable indicators, as a basis for evaluating the effects of the Programme on the ground.
(34)  Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law-Making of 13 April 2016, there is a need to evaluate this Programme on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States and beneficiaries under the Programme. These requirements, where appropriate, can include measurable indicators, as a basis for evaluating the effects of the Programme on the ground.
Amendment 46
Proposal for a regulation
Recital 38
(38)  Common rules across the Programme should ensure a coherent framework which facilitates participation in programmes financially supported by the budget of the Programme, including participation in programmes managed by funding bodies such as the EIT, joint undertakings or any other structures under Article 187 TFEU, and participation in programmes undertaken by Member States pursuant to Article 185 TFEU. Flexibility to adopt specific rules should be ensured when justified.
(38)  Common rules and requirements across the Programme should ensure simplified and common implementing tools including for monitoring and reporting and a coherent framework which facilitates participation in programmes financially supported by the budget of the Programme, including participation in programmes managed by funding bodies such as the EIT, joint undertakings or any other structures under Article 187 TFEU, and participation in programmes undertaken by Member States pursuant to Article 185 TFEU. Adopting specific rules should be possible but exceptions must be limited to when strictly necessary and duly justified.
Amendment 47
Proposal for a regulation
Recital 39
(39)  Actions which fall within the scope of the Programme should respect fundamental rights and observe the principles acknowledged in particular by the Charter of Fundamental Rights of the European Union. Such actions should be in conformity with any legal obligation including international law and with any relevant Commission decisions such as the Commission notice of 28 June 201324 , as well as with ethical principles, which include avoiding any breach of research integrity. Article 13 TFEU should also be taken into account in research activities, and the use of animals in research and testing should be reduced, with a view ultimately to replacing their use.
(39)  Actions which fall within the scope of the Programme should respect fundamental rights and observe the principles acknowledged in particular by the Charter of Fundamental Rights of the European Union. Such actions should be in conformity with any legal obligation including international law and with any relevant Commission decisions such as the Commission notice of 28 June 201324 , as well as with ethical principles, which include avoiding any breach of research integrity. The opinions of the European Group on Ethics in Science and New Technologies, the European Union Agency for Fundamental Rights and the European Data Protection Supervisor should be taken into account. Article 13 TFEU should also be taken into account in research activities, and the use of animals in research and testing should be reduced, with a view ultimately to replacing their use.
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24 OJ C 205, 19.7.2013, p. 9.
24 OJ C 205, 19.7.2013, p. 9.
Amendment 48
Proposal for a regulation
Recital 40
(40)  In line with the objectives of international cooperation as set out in Articles 180 and 186 TFEU, the participation of legal entities established in third countries and of international organisations should be promoted. The implementation of the Programme should be in conformity with the measures adopted in accordance with Articles 75 and 215 TFEU and should be in compliance with international law. For actions related to Union strategic assets, interests, autonomy or security, the participation to specific actions of the Programme may be limited to entities established in Member States only, or to entities established in specified associated or other third countries in addition to Member States.
(40)  In line with the objectives of international cooperation as set out in Articles 180 and 186 TFEU, the participation of legal entities established in third countries and of international organisations should be promoted in the Union’s scientific, societal, economic and technological interests. The implementation of the Programme should be in conformity with the measures adopted in accordance with Articles 75 and 215 TFEU and should be in compliance with international law. For actions related to Union strategic assets, interests, autonomy or security, the participation to specific actions of the Programme may be limited to entities established in Member States only, or to entities established in specified associated or other third countries in addition to Member States.
Amendment 49
Proposal for a regulation
Recital 41
(41)  Reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Programme will contribute to mainstream climate actions and to the achievement of an overall target of 25 % of the EU budget expenditures supporting climate objectives.
(41)  Acknowledging climate change as one of the biggest global and societal challenges and reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Programme will contribute with at least 35% of its expenditures supporting climate objectives as appropriate and as part of the general Union objective of mainstreaming climate actions and of spending 30% of the EU budget. In order to monitor and verify this objective, all climate-related expenditures must be recorded to cover all Union budget programmes and reflected in the appropriate parts of the work programmes. Their estimated spending on particular technologies within clean energy technology, should be broken down to ensure international comparability. In order to address the European Court of Auditors’ recommendations [Report 31/2016], climate mainstreaming mechanisms should differentiate ex-post between mitigation and adaptation when reporting.
Amendment 50
Proposal for a regulation
Recital 43
(43)  Use of sensitive background information or access by unauthorized individuals to sensitive results may have an adverse impact on the interests of the Union or of one or more of the Member States. Thus handling of confidential data and classified information should be governed by all relevant Union law, including the Institutions' internal rules, such as Commission Decision (EU, Euratom) 2015/444, which lays down the provisions on security rules for protecting EU classified information.
(43)  Use of sensitive background information or access by unauthorized individuals to sensitive results and research data may have an adverse impact on the interests of the Union or of one or more of the Member States. Thus handling of confidential data and classified information should be governed by all relevant Union law, including the Institutions' internal rules, such as Commission Decision (EU, Euratom) 2015/444, which lays down the provisions on security rules for protecting EU classified information.
Amendment 51
Proposal for a regulation
Recital 44
(44)  It is necessary to establish the minimum conditions for participation, both as a general rule where the consortium should include at least one legal entity from a Member State, and with regard to the specificities of particular type of actions under the Programme.
deleted
Amendment 52
Proposal for a regulation
Recital 45
(45)  It is appropriate to establish the terms and conditions for providing Union funding to participants in actions under the Programme. Grants should be implemented taking into account all forms of contribution set out in the Financial Regulation, including lump sums, flat rates or unit costs, with the view to further simplification.
(45)  It is necessary to establish the terms and conditions for providing Union funding to participants in actions under the Programme. Grants will be the main type of financing within the Programme. Other types of financing should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account in particular the costs of controls, the administrative burden, and the expected risk of non-compliance. For grants, this should include a consideration of the use of lump sums, flat rates and scales of unit costs as set out in the Financial Regulation, with a view to further simplification. Before any new costs reimbursement system could be deemed a real simplification for the beneficiaries, it should be preceded by an extensive and positive evaluation.
Amendment 53
Proposal for a regulation
Recital 46
(46)  The funding rates in this Regulation are referred to as maximums in order to comply with the co-financing principle.
deleted
Amendment 54
Proposal for a regulation
Recital 47
(47)  In accordance with the Financial Regulation, the Programme should provide the basis for a wider acceptance of the usual cost accounting practices of the beneficiaries as regards personnel costs and unit costs for internally invoiced goods and services.
(47)  In accordance with the Financial Regulation, the Programme should provide the basis for a wider acceptance of the usual cost accounting practices of the beneficiaries as regards personnel costs and unit costs for internally invoiced goods and services. The usage of unit costs for internally invoiced goods and services combining direct costs and indirect cost should be an option which could be chosen by all beneficiaries. Costs estimated via allocation keys should be eligible.
Amendment 55
Proposal for a regulation
Recital 48
(48)  The current system of reimbursement of actual personnel costs should be further simplified building on the project-based remuneration approach developed under Horizon 2020 and further aligned to the Financial Regulation.
(48)  The current system of reimbursement of actual personnel costs should be further simplified building on the project-based remuneration approach developed under Horizon 2020 and further aligned to the Financial Regulation, aiming for ‘equal pay for equal work’ as a general principle and to close the remuneration gap between EU researchers involved in the Programme.
Amendment 56
Proposal for a regulation
Recital 50
(50)  Rules governing the exploitation and dissemination of results should be laid down to ensure that beneficiaries protect, exploit, disseminate and provide access to those results as appropriate. More emphasis should be given to exploiting the results, in particular in the Union. Beneficiaries should update their plans regarding the exploitation and dissemination of their results during and after the end of the action.
(50)  Rules governing the exploitation and dissemination of results should be laid down to ensure that beneficiaries protect, exploit, disseminate and provide access to those results as appropriate, taking into consideration the legitimate interests of the beneficiaries and any other constraints, such as data protection rules, privacy and security rules as well as intellectual property rights, confidentiality, or the Union's global economic competitiveness. More emphasis should be given to exploiting the results, especially in the Union. Beneficiaries should update their plans regarding the exploitation and dissemination of their results during the action.
Amendment 57
Proposal for a regulation
Recital 51
(51)  The key elements of the proposal evaluation and selection system of the predecessor programme Horizon 2020 with its particular focus on excellence should be maintained. Proposals should continue to be selected based on the evaluation made by independent experts. Where relevant, the necessity to ensure the overall coherence of the portfolio of projects should be taken into account.
(51)  The key elements of the proposal evaluation and selection system of the predecessor programme Horizon 2020 with its particular focus on excellence, ‘impact’ and ‘quality and efficiency of implementation’ criteria should be maintained. Proposals should continue to be selected based on the evaluation made by independent experts stemming from as many Member States as possible. The Commission should organise anonymous evaluation where appropriate and analyse its results in order to avoid selection bias. Where relevant, the necessity to ensure the overall coherence of the portfolio of projects should be taken into account by independent experts.
Amendment 58
Proposal for a regulation
Recital 52
(52)  A wider cross-reliance on audits and assessments – including with other Union programmes should be envisaged, in order to reduce administrative burden for beneficiaries of Union funds. Cross reliance should be explicitly provided for by considering also other elements of assurance such as systems and processes audits.
(52)  Systematic cross-reliance on audits and assessments with other Union programmes should be implemented in accordance with Article 127 of the Financial Regulation for all parts of the Programme, in order to reduce administrative burden for beneficiaries of Union funds. Cross reliance should be explicitly provided for by considering also other elements of assurance such as systems and processes audits.
Amendment 59
Proposal for a regulation
Recital 53
(53)  Specific challenges in the area of research of innovation should be addressed by prizes, including through common or joint prizes where appropriate, organised by the Commission or funding body with other Union bodies, third countries, international organisations or non-profit legal entities.
(53)  Specific challenges in the areas of research and innovation should be addressed by prizes, including through common or joint prizes where appropriate, organised by the Commission or funding body with other Union bodies, third countries, international organisations or non-profit legal entities. In particular, prizes should be awarded to projects attracting scientists to widening countries as well as to successful projects to increase their visibility and allow to increase the promotion of Union funded actions.
Amendment 60
Proposal for a regulation
Recital 54
(54)  The types of financing and the methods of implementation under this Regulation shall be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. For grants, this shall include consideration of the use of lump sums, flat rates and scales of unit costs.
(54)  Financing types and the methods of implementation under this Regulation shall be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. This should include consideration of the use of lump sums, flat rates and scales of unit costs.
Amendment 61
Proposal for a regulation
Article 1
Article 1
Article 1
Subject matter
Subject matter
1.  This Regulation establishes Horizon Europe - the Framework Programme for Research and Innovation (‘the Programme’) and the rules for participation and dissemination in indirect actions under the Programme.
1.  This Regulation establishes Horizon Europe - the Framework Programme for Research and Innovation (‘the Programme’) and the rules for participation and dissemination in indirect actions under the Programme and determines the framework governing Union support to research and innovation activities.
2.  It lays down the objectives of the Programme, the budget for the period 2021 – 2027, the forms of Union funding and the rules for providing such funding.
2.  It lays down the objectives of the Programme, the budget for the period 2021 – 2027, the forms of Union funding and the rules for providing such funding.
3.  The Programme shall be implemented through:
3.  The Programme shall be implemented through:
(a)  the specific programme established by Decision …/…/EU25 , which includes a financial contribution to the EIT;
(a)  the specific programme established by Decision …/…/EU25 , which includes the rationale and intervention areas of the EIT;
(b)  the specific programme on defence research established by Regulation …/…/EU.
(b)  the specific programme on defence research established by Regulation …/…/EU.
4.  The terms 'Horizon Europe', 'the Programme' and 'specific programme' used in this Regulation address matters relevant only to the specific programme described in paragraph 3(a), unless otherwise explicitly stated.
4.  The terms 'Horizon Europe', 'the Programme' and 'specific programme' used in this Regulation do not address matters relevant to the specific programme described in paragraph 3(b) unless otherwise explicitly stated.
4.a   The EIT shall implement the Programme in accordance with the Strategic R&I plan and the Strategic Innovation Agenda of the EIT for the period 2021-2027, with the reserve that any new KIC created shall, if possible, entail additional and adequate budgetary resources and shall not undermine the objectives and the commitments of the existing KICs.
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25
25
Amendment 62
Proposal for a regulation
Article 2
Article 2
Article 2
Definitions
Definitions
For the purposes of this Regulation, the following definitions apply:
For the purposes of this Regulation, the following definitions apply:
(1)  'research infrastructures' mean facilities that provide resources and services for the research communities to conduct research and foster innovation in their fields. This definition includes the associated human resources, and it covers major equipment or sets of instruments; knowledge-related facilities such as collections, archives or scientific data infrastructures; computing systems, communication networks, and any other infrastructure, of a unique nature and open to external users, essential to achieve excellence in research and innovation. Where relevant, they may be used beyond research, for example for education or public services and they may be 'single sited', 'virtual' or 'distributed';
(1)  'research infrastructures' mean facilities that provide resources and services for the research communities to conduct research and foster innovation in their fields. This definition includes the associated human resources, and it covers major equipment or sets of instruments in particular those supported by other Union funds as referred to in Annex IV; knowledge-related facilities such as collections, archives or scientific data infrastructures; computing systems, communication networks, and any other infrastructure, of a unique nature and open to external users, essential to achieve excellence in research and innovation. Where relevant, they may be used beyond research, for example for education or public services and they may be 'single sited', 'virtual' or 'distributed';
(2)  'smart specialisation strategy' has the same meaning as smart specialisation strategy as defined in Regulation (EU) No 1303/2013 of the European Parliament and of the Council26 and fulfilling the enabling conditions set out in Regulation (EU) XX [Common Provisions Regulation];
(2)  'smart specialisation strategy' has the same meaning as smart specialisation strategy as defined in Regulation (EU) No 1303/2013 of the European Parliament and of the Council26 and fulfilling the enabling conditions set out in Regulation (EU) XX [Common Provisions Regulation];
(3)  'European Partnership' means an initiative where the Union, together with private and/or public partners (such as industry, research organisations, bodies with a public service mission at local, regional, national or international level or civil society organisations including foundations), commit to jointly support the development and implementation of a programme of research and innovation activities, including those related to market, regulatory or policy uptake;
(3)  'European Partnership' means an initiative where the Union, together with private and/or public partners (such as industry, universities, research organisations including research infrastructures, bodies with a public service mission at local, regional, national or international level or civil society organisations including non-governmental organisations and foundations), where appropriate commit to jointly support the development and implementation of a programme of research and innovation activities, including those pursuant to Article 185 and 187 TFUE, and those related to market, regulatory or policy uptake;
(4)  'open access' means the practice of providing online access to research outputs resulting from actions funded under the Programme, in particular scientific publications and research data, free of charge to the end-user;
(4)  'open access' means the practice of providing online access to research outputs resulting from actions funded under the Programme, in particular scientific publications and research data, free of charge to the end-user. With regard to research data, relevant privacy and security interests, as well as intellectual property rights, confidentiality, European Union global economic competitiveness and other legitimate interests need to be addressed in accordance with the principle ‘as open as possible, as closed as necessary’ and according to ‘robust opt-outs’;
(5)  'mission' means a portfolio of actions intended to achieve a measurable goal within a set timeframe, and impact for science and technology and/or society and citizens that could not be achieved through individual actions;
(5)  'mission' means a portfolio of excellence-driven R&I actions which could be cross-cluster or cross-cutting intended to achieve a measurable goal within a set timeframe, and have an impact for science and technology, for society, policy-making and/or diplomacy and citizens and which could not be achieved through individual actions;
(6)  'pre-commercial procurement' means the procurement of research and development services involving risk-benefit sharing under market conditions, and competitive development in phases, where there is a clear separation of the research and development services procured from the deployment of commercial volumes of end-products;
(6)  'pre-commercial procurement' means the procurement of research and development services involving risk-benefit sharing under market conditions, and competitive development in phases, where there is a clear separation of the research and development services procured from the deployment of commercial volumes of end-products;
(7)  'public procurement of innovative solutions' means procurement where contracting authorities act as a launch customer for innovative goods or services which are not yet available on a large-scale commercial basis, and may include conformity testing.
(7)  'public procurement of innovative solutions' means procurement where contracting authorities act as a launch customer for innovative goods or services which are not yet available on a large-scale commercial basis, and may include conformity testing.
(8)  “access rights” means rights to use results or background;
(8)  “access rights” means rights to use results or background under terms and conditions laid down in accordance with this Regulation;
(9)  “background” means any data, know-how or information whatever its form or nature, tangible or intangible, including any rights such as intellectual property rights, that is: (i) held by beneficiaries prior to their accession to the action; (ii) identified by the beneficiaries in writing in any manner as needed for implementing the action or for exploiting its results;
(9)  “background” means any data, know-how or information whatever its form or nature, tangible or intangible, including any rights such as intellectual property rights, that is: (i) held by beneficiaries prior to their accession to the action; and (ii) identified by the beneficiaries in a written agreement as needed for implementing the action or for exploiting its results;
(10)  “dissemination” means the public disclosure of the results by appropriate means (other than resulting from protecting or exploiting the results), including by scientific publications in any medium;
(10)  “dissemination” means the public disclosure of the results by appropriate means (other than resulting from protecting or exploiting the results), including by scientific publications in any medium;
(11)  “exploitation” means the use of results in further research and innovation activities other than those covered by the action concerned, or in developing, creating, manufacturing and marketing a product or process, or in creating and providing a service, or in standardisation activities;
(11)  “exploitation” means the use of results in further research and innovation activities other than those covered by the action concerned, or inter alia, commercial exploitation such as developing, creating, manufacturing and marketing a product or process, or in creating and providing a service, or in standardisation activities;
(12)  “fair and reasonable conditions” means appropriate conditions, including possible financial terms or royalty-free conditions, taking into account the specific circumstances of the request for access, for example the actual or potential value of the results or background to which access is requested and/or the scope, duration or other characteristics of the exploitation envisaged;
(12)  “ fair and reasonable conditions” means appropriate conditions, including possible financial terms or royalty-free conditions, taking into account the specific circumstances of the request for access, for example the actual or potential value of the results or background to which access is requested and/or the scope, duration or other characteristics of the exploitation envisaged;
(13)  “funding body” means a body or organisation, other than the Commission, as referred to in point (c) of Article 62(1) of the Financial Regulation, to which the Commission has entrusted budget implementation tasks under the Programme;
(13)  “funding body” means a body or organisation, other than the Commission, as referred to in point (c) of Article 62(1) of the Financial Regulation, to which the Commission has entrusted budget implementation tasks under the Programme;
(14)  “international European research organisation” means an international organisation, the majority of whose members are Member States or associated countries, and whose principal objective is to promote scientific and technological cooperation in Europe;
(14)  “international European research organisation” means an international organisation, the majority of whose members are Member States or associated countries, and whose principal objective is to promote scientific and technological cooperation in Europe;
(15)  'legal entity' means any natural or legal person created and recognised as such under national law, Union law or international law, which has legal personality and which may, acting in its own name, exercise rights and be subject to obligations, or an entity without a legal personality in accordance with Article 197(2)(c) of the Financial Regulation;
(15)  'legal entity' means any natural or legal person created and recognised as such under national law, Union law or international law, which has legal personality and which may, acting in its own name, exercise rights and be subject to obligations, or an entity without a legal personality in accordance with Article 197(2)(c) of the Financial Regulation;
(15 a)  ”widening countries” means those countries identified through the composite indicator of Research Excellence (R&D intensity, excellence in S&T, Knowledge-intensity of economy, High Tech& Medium Tech product contribution to trade balance) and with a corrective threshold of 70% of the Union average26a.
(16)  “non-profit legal entity” means a legal entity which by its legal form is non-profit-making or which has a legal or statutory obligation not to distribute profits to its shareholders or individual members;
(16)  “non-profit legal entity” means a legal entity which by its legal form is non-profit-making or which has a legal or statutory obligation not to distribute profits to its shareholders or individual members;
(17)  “mid-cap” means a company that is not a micro-, small- and medium-sized enterprise (‘SME’) as defined in Commission Recommendation 2003/361/EC27 , and that has a number of employees of up to 3000 where the staff headcount is calculated in accordance with Articles 3, 4, 5 and 6 of Title I of the Annex of that Recommendation;
(17)  “mid-cap” means a company that is not a micro-, small- and medium-sized enterprise (‘SME’) as defined in Commission Recommendation 2003/361/EC27 , and that has a number of employees of up to 3000 where the staff headcount is calculated in accordance with Articles 3, 4, 5 and 6 of Title I of the Annex of that Recommendation;
(18)  “results” means any tangible or intangible effect of the action, such as data, know-how or information, whatever its form or nature, whether or not it can be protected, as well as any rights attached to it, including intellectual property rights;
(18)  “results” means any tangible or intangible output of the action, such as data, know-how or information, whatever its form or nature, whether or not it can be protected, as well as any rights attached to it, including intellectual property rights;
(19)  “seal of excellence” means a certified label which shows that a proposal submitted to a call for proposals exceeded all of the thresholds set out in the work programme, but could not be funded due to lack of budget available to that call in the work programme;
(19)  “seal of excellence” means a certified label which shows that a proposal submitted to a call for proposals exceeded all of the thresholds set out in the work programme, but could not be funded due to lack of budget available to that call in the work programme, but which might receive support from other Union or national sources of funding;
(19 a)  ‘strategic R&I Plan’ means a document adopted every two years by means of a delegated act supplementing the Specific Programme, and following a broad mandatory multi-stakeholder consultation process with Member States, the European Parliament, the RDI stakeholders, including civil society. It defines the priorities, the instruments, and the suitable types of action and forms of implementation, thus serving as a basis for the development of the work programmes. It contains in particular the selected missions, the newly established or continued contractual or institutional partnerships, FET-Flagships and KICs;
(20)  “work programme” means the document adopted by the Commission for the implementation of the specific programme28 in accordance with its Article 12 or the equivalent document in content and structure adopted by a funding body.
(20)  “work programme” means the document adopted by the Commission for the implementation of the specific programme28 in accordance with its Article 12 or the equivalent document in content and structure adopted by a funding body.
(21)  "reimbursable advance" means the part of a Horizon Europe or EIC blended finance corresponding to a loan under Title X of the Financial Regulation, but that is directly awarded by the Union on a non-profit basis to cover the costs of activities corresponding to an innovation action, and to be reimbursed by the beneficiary to the Union under the conditions provided for in the contract;
(21)  "reimbursable advance" means the part of Horizon Europe Programme blended finance corresponding to a loan under Title X of the Financial Regulation, but that is directly awarded by the Union on a non-profit basis to cover the costs of activities corresponding to an innovation action, and to be reimbursed by the beneficiary to the Union under the conditions provided for in the contract;
(22)  “contract” means the agreement concluded between the Commission or a funding body with a legal entity implementing an innovation and market deployment action and supported by a Horizon Europe or EIC blended finance.
(22)  “ contract” means the agreement concluded between the Commission or a funding body with a legal entity implementing an innovation and market deployment action and supported by Horizon Europe Programme blended finance.
(23)  “classified information” means EU classified information ad defined in Article 3 of Commission Decision (EU, Euratom) 2015/444 as well as classified information of Member States, classified information of third countries with which the Union has a security agreement and classified information of international organisation with which the Union has a security agreement;
(23)  “classified information” means EU classified information ad defined in Article 3 of Commission Decision (EU, Euratom) 2015/444 as well as classified information of Member States, classified information of third countries with which the Union has a security agreement and classified information of international organisation with which the Union has a security agreement;
(24)  'Blending operation' means actions supported by the EU budget, including within blending facilities pursuant to Article 2(6) of the Financial Regulation, combining non-repayable forms of support and/or financial instruments from the EU budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors;
(24)  'Blending operation' means actions supported by the EU budget, including within blending facilities pursuant to Article 2(6) of the Financial Regulation, combining non-repayable forms of support and/or financial instruments from the EU budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors;
(25)  “Horizon Europe or EIC blended finance” means a single financial support to an innovation and market deployment action, consisting in a specific combination of a grant or a reimbursable advance with an investment in equity;
(25)  “Horizon Europe Programme blended finance” means a single financial support to an innovation and market deployment action, consisting in a specific combination of a grant or a reimbursable advance with an investment in equity;
(25 a)  ‘research and innovation action’ means an action primarily consisting of activities aiming to establish new knowledge and/or to explore the feasibility of a new or improved technology, product, process, service or solution. This may include basic and applied research, technology development and integration, testing and validation on a small-scale prototype in a laboratory or simulated environment;
(25 b)  ‘innovation action’ means an action primarily consisting of activities directly aimed at producing plans and arrangements or designs for new, altered or improved products, processes or services, possibly including prototyping, testing, demonstrating, piloting, large-scale product validation and market replication;
(25 c)  ‘ERC frontier research’ means principal investigator-led research actions, hosted by ERC only single or multiple beneficiaries;
(25 d)  ‘training and mobility action’ means an action geared towards the improvement of skills, knowledge and career prospects of researchers based on mobility between countries, and, if relevant, between sectors or disciplines;
(25 e)  ‘programme co-funding action’ means an action to provide co-funding to a programme of activities established and/or implemented by entities managing and/or funding research and innovation programmes, other than Union funding bodies;
(25 f)  ‘pre-commercial procurement action’ means an action with the primary aim of conducting pre-commercial procurement procedures implemented by beneficiaries that are contracting authorities or contracting entities;
(25 g)  ‘public procurement of innovative solutions action’ means an action with the primary aim of conducting joint or coordinated public procurement procedures concerning innovative solutions implemented by beneficiaries that are contracting authorities or contracting entities;
(25 h)  ‘coordination and support action’ means an action contributing to the objectives of the Programme, excluding research and innovation activities;
(25 i)  ‘public procurement’ means the implementation of parts of the Programme related to strategic interests and autonomy of the Union and the carrying out, for the Commission’s own purposes, of public procurement procedures for studies, products, services and capabilities;
(25 j)  ‘affiliated entity’ means any legal entity that is under the direct or indirect control of a participant, or under the same direct or indirect control as the participant, or that is directly or indirectly controlling a participant;
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26 Regulation (EU) No 1303/2013 of the European Parliament and of the Council of 17 December 2013 laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund and laying down general provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council Regulation (EC) No 1083/2006.
26 Regulation (EU) No 1303/2013 of the European Parliament and of the Council of 17 December 2013 laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund and laying down general provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council Regulation (EC) No 1083/2006.
26a The Commission may review and if necessary update the list of widening countries in its work programmes.
27
27
28 OJ ….
28 OJ ….
Amendment 63
Proposal for a regulation
Article 3
Article 3
Article 3
Programme objectives
Programme objectives
1.  The Programme’s general objective is to deliver scientific, economic and societal impact from the Union’s investments in research and innovation so as to strengthen the scientific and technological bases of the Union and foster its competitiveness, including in its industry, deliver on the Union strategic priorities, and contribute to tackling global challenges, including the Sustainable Development Goals.
1.  The Programme’s general objective is to deliver scientific, technological, economic and societal impact from the Union’s investments in research and innovation so as to strengthen the scientific and technological bases of the Union as a whole, to strengthen the European Research Area and foster its competitiveness. Research and industry shall deliver on the Union strategic priorities and policies, contribute to addressing global challenges, including the Sustainable Development Goals and the Paris Agreement as well as contribute to achieving an overall investment of 3% of the GDP invested in research and development, in line with the commitment made by the Union Heads of State and Governments.
2.  The Programme has the following specific objectives:
2.  The Programme has the following specific objectives:
(-a)  new to develop, promote and spread scientific and technological excellence;
(a)  to support the creation and diffusion of high-quality new knowledge, skills, technologies and solutions to global challenges;
(a)  to support the creation and diffusion of high-quality knowledge, skills, technologies and solutions, based on both fundamental and applied research, in order to tackle global challenges, including climate change and Sustainable Development goals;
(a a)  to aim at significantly reducing the R&I divide within the Union, in particular by increasing participation in Horizon Europe of low R&I performing Member States as compared to the previous FP;
(b)  to strengthen the impact of research and innovation in developing, supporting and implementing Union policies, and support the uptake of innovative solutions in industry and society to address global challenges;
(b)  to strengthen the Union added value of RDI funding, the impact of research and innovation in developing, supporting and implementing Union policies, and support the access to and uptake of innovative solutions in society and European industry;
(c)  to foster all forms of innovation, including breakthrough innovation, and strengthen market deployment of innovative solutions;
(c)  to foster all forms of innovation and strengthen market deployment and exploitation of RDI results especially within the Union;
(d)  to optimise the Programme's delivery for increased impact within a strengthened European Research Area.
(d)  to optimise the Programme's delivery for strengthening and increasing the impact and RDI attractiveness of the European Research Area.
Amendment 64
Proposal for a regulation
Article 4
Article 4
Article 4
Programme structure
Programme structure
1.  The Programme is structured in the following parts contributing to the general and specific objectives set out in in Article 3:
1.  The Programme is structured in the following parts contributing to the general and specific objectives set out in Article 3:
(1)  Pillar I 'Open Science', pursuing the specific objective set out in Article 3(2)(a) and also supporting specific objectives set out in Article 3(2)(b) and (c), with the following components:
(1)  Pillar I ' Excellent and Open Science' with the following components:
(a)  the European Research Council (ERC);
(a)  the European Research Council (ERC);
(b)  Marie Skłodowska-Curie Actions (MSCA);
(b)  Marie Skłodowska-Curie Actions (MSCA);
(c)  research infrastructures.
(c)  research infrastructures.
(2)  Pillar II 'Global Challenges and Industrial Competitiveness', pursuing the specific objective set out in Article 3(2)(b) and also supporting the specific objectives set out in Article 3(2)(a) and (c), with the following components:
(2)  Pillar II 'Global Challenges and European Industrial Competitiveness' with the following components:
(a)  cluster 'Health';
(a)  cluster 'Health';
(b)  cluster 'Inclusive and Secure Society';
(b)  cluster 'Inclusive and Creative Society';
(b a)  cluster ‘Secure Societies’;
(c)  cluster 'Digital and Industry';
(c)  cluster 'Digital, Industry and Space';
(d)  cluster 'Climate, Energy and Mobility';
(d)  cluster 'Climate, Energy and Mobility';
(e)  cluster 'Food and Natural Resources';
(e)  cluster 'Food, Natural Resources and Agriculture';
(f)  non-nuclear direct actions of the Joint Research Centre (JRC).
(f)  non-nuclear direct actions of the Joint Research Centre (JRC).
(3)  Pillar III 'Open Innovation', pursuing the specific objective set out in Article 3(2)(c) and also supporting the specific objectives set out in Article 3(2)(a) and (b), with the following components:
(3)  Pillar III 'Innovative Europe' with the following components:
(a)  the European Innovation Council (EIC);
(a)  the European Innovation Council (EIC);
(b)  European innovation ecosystems;
(b)  European innovation ecosystems;
(c)  the European Institute of Innovation and Technology (EIT).
(c)  the European Institute of Innovation and Technology (EIT).
(4)  Part 'Strengthening the European Research Area', pursuing the specific objective set out in Article 3(2)(d) and also supporting the specific objectives set out in Article 3(2)(a), (b) and (c), with the following components:
(4)  Part 'Strengthening the European Research Area' with the following components:
(a)  sharing excellence;
(a)  Spreading excellence and widening participation across the Union;
(b)  reforming and enhancing the European R&I System.
(b)  reforming and enhancing the European R&I System.
2.  The broad lines of activities are set out in Annex I.
2.  The broad lines of activities are set out in Annex I.
Amendment 65
Proposal for a regulation
Article 5
Article 5
Article 5
Defence research
Defence research
1.  Activities to be carried out under the specific programme referred to in Article 1(3)(b) and which are laid down in Regulation …. establishing the European Defence Fund, shall be research with an exclusive focus on defence applications, with the objective to foster the competitiveness, efficiency and innovation of defence industry.
1.  Activities to be carried out under the specific programme referred to in Article 1(3)(b) and which are laid down in Regulation …. establishing the European Defence Fund, shall exclusively focus on defence research and applications, with the objective to foster consolidation, competitiveness, efficiency and innovation of the Union's defence industry and avoid duplications between the two programmes.
2.  This Regulation does not apply to the specific programme referred to in Article 1(3)(b), with the exception of this Article, Article 1(1) and (3) and Article 9(1).
2.  This Regulation does not apply to the specific programme referred to in Article 1(3)(b), with the exception of this Article, Article 1(1) and (3) and Article 9(1).
Amendment 66
Proposal for a regulation
Article 6
Article 6
Article 6
Implementation and forms of EU funding
Strategic planning and implementation and forms of EU funding
1.  The Programme shall be implemented in direct management in accordance with the Financial Regulation or in indirect management with funding bodies referred to in Article 62(1)(c) of the Financial Regulation.
1.  The Programme shall be implemented in direct management in accordance with the Financial Regulation or in indirect management with funding bodies referred to in Article 62(1)(c) of the Financial Regulation.
2.  The Programme may provide funding to indirect actions in any of the forms laid down in the Financial Regulation, in particular grants (including operating grants), prizes and procurements It may also provide financing in the form of financial instruments within blending operations.
2.  The Programme may provide funding to indirect actions in any of the forms laid down in the Financial Regulation, in particular grants (including operating grants) which shall be the main form of support under the Programme, prizes and procurements It may also provide financing in the form of financial instruments within blending operations.
3.  The rules for participation and dissemination laid down in this Regulation shall apply to indirect actions.
3.  The rules for participation and dissemination laid down in this Regulation shall apply to indirect actions.
4.  The main types of action to be used under the Programme are set out and defined in Annex II. All forms of funding shall be used in a flexible manner across all objectives of the Programme with their use being determined on the basis of the needs and the characteristics of the particular objectives.
4.  The main types of action to be used under the Programme are set out and defined in Article 2 and in Annex II. The forms of funding, referred to in paragraph 2, shall be used in a flexible manner across all objectives of the Programme with their use being determined on the basis of the needs and the characteristics of the particular objectives.
5.  The Programme shall also support direct actions undertaken by the JRC. Where these actions contribute to initiatives established under Article 185 or Article 187 TFEU, this contribution shall not be considered as part of the financial contribution allocated to those initiatives.
5.  The Programme shall also support direct actions undertaken by the JRC. Where these actions contribute to initiatives established under Article 185 or Article 187 TFEU, this contribution shall not be considered as part of the financial contribution allocated to those initiatives.
6.  The implementation of the specific programme29 shall be based on a transparent and strategic multiannual planning of research and innovation activities, in particular for the pillar 'Global Challenges and Industrial Competitiveness', following consultations with stakeholders about priorities and the suitable types of action and forms of implementation to use. This shall ensure alignment with other relevant Union programmes.
6.  The implementation of the specific programme29 shall be based on Strategic R&I Plans and in accordance with all the objectives of the Programme as set out in Article 3 and following a process of transparent, inclusive and strategic multiannual planning of research and innovation activities, in particular for the pillar 'Global Challenges and European Industrial Competitiveness'.
Consultations with national authorities, the European Parliament, RDI and industry stakeholders including European Technology Platforms (ETPs), civil society representatives, and independent advisory groups of high-level experts shall be held about priorities and the suitable types of action and forms of implementation to use. The Strategic Planning shall ensure alignment with other relevant Union programmes and increase complementarity and synergies with national and regional RDI funding programmes and priorities, thereby strengthening the ERA.
6 a.  The Programme shall provide the possibility to apply for funding in a faster manner for all beneficiaries. A number of research and innovation actions shall apply a Fast Track to Research and Innovation logic where time-to-grant shall not exceeding 6 months. This shall allow a faster, bottom-up access to funds for small collaborative consortia covering actions from fundamental research to market application. Calls under the Fast Track to Research and Innovation approach shall be continuously open with cut-off dates and be implemented in the work programmes under clusters, the EIC and the "spreading excellence" part.
7.  Horizon Europe activities shall be primarily delivered through calls for proposals, some of which organised as parts of missions and European Partnerships.
7.  Horizon Europe activities shall be delivered through calls for proposals, some of which organised as parts of missions and European Partnerships, except for the activities referred to in Article 39 on Prizes.
8.  Research and innovation activities carried out under Horizon Europe shall have a focus on civil applications.
9.  The Programme shall ensure the effective promotion of gender equality and the gender dimension in research and innovation content. Particular attention shall be paid to ensuring gender balance, subject to the situation in the field of research and innovation concerned, in evaluation panels and in bodies such as expert groups.
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29
29
Amendment 67
Proposal for a regulation
Article 6 a (new)
Article 6 a
Principles of EU funding and cross-cutting issues
1.  Research and innovation activities carried out under Horizon Europe shall have an exclusive focus on civil applications. Budgetary transfers between the Programme and the European Defence Fund shall not be permitted.
2.  Horizon Europe shall ensure a multidisciplinary approach and shall foresee, where appropriate, the integration of social sciences and humanities across all activities developed under the Programme.
3.  The collaborative parts of the Programme shall ensure a balance between lower and higher TRLs thereby covering the whole value chain.
4.  The Programme shall aim to significantly reduce the RDI divide within the Union and to promote broad geographical coverage in collaborative projects. Those efforts shall be mirrored by proportional measures by Member States, with the support of Union, national and regional funds. Particular attention shall be paid to geographical balance, subject to the situation in the field of research and innovation concerned, in funded projects, evaluation panels and in bodies such as boards and expert groups, without undermining the excellence criteria.
5.  The Programme shall ensure the effective promotion of gender equality and the gender dimension in research and innovation content and shall address the causes of gender imbalance. Particular attention shall be paid to ensuring gender balance, subject to the situation in the field of research and innovation concerned, in evaluation panels and in other relevant advisory bodies such as boards and expert groups.
6.  The Programme shall aim at continuous administrative simplification and reduction of the burden for the beneficiaries.
7.  Climate mainstreaming shall be adequately integrated in research and innovation content and applied at all stages of the research cycle.
8.  The programme shall provide, where applicable, for societal engagement to better align the process of R&I and its outcomes with the values and needs of society, by promoting science engagement and science education activities and by co-creation and co-design of scientific agendas through engagement of citizens and civil society in R&I priority-setting;
9.  The programme shall ensure transparency and accountability of public funding in research and innovation projects, thereby preserving the public interest.
10.  The Commission or the relevant funding body shall ensure that sufficient guidance and information is made available to all potential participants at the time of publication of the call for proposals, in particular the applicable model grant agreement.
Amendment 68
Proposal for a regulation
Article 7
Article 7
Article 7
Missions
Missions
1.  Missions shall be programmed within the pillar 'Global Challenges and Industrial Competitiveness', but may also benefit from actions carried out within other parts of the Programme.
1.  Missions shall be programmed within the pillar ‘Global Challenges and European Industrial Competitiveness’, but may also benefit from actions carried out within other parts of the Programme as well as actions carried out under other Union funding programmes, under Horizon Europe rules.
2.  The missions shall be implemented in accordance with Article 5 of the Specific Programme. Evaluation shall be carried out in accordance with Article 26.
2.  The content of the missions, objectives, targets, timelines and their implementation shall be further specified in the Strategic R&I Plans as identified, as defined in Article 2 and specified in Article 6 of the Framework programme and in Article 5 of the Specific Programme. Evaluation shall be carried out in accordance with Article 26.
2 a.  During the first two years of the programme, a maximum of 10% of the annual budget of Pillar II shall be programmed through specific calls for implementing the missions. For the last three years of the programme, and only after a positive evaluation of the mission selection and management process, this percentage may be increased. The total budgetary share dedicated to missions shall be specified in Strategic R&I Plans.
2 b.  A full evaluation of the missions covering the scope, governance, Board appointment and their preliminary actions shall be carried out in accordance with their respective measurable milestones. The recommendations resulting from that evaluation shall be taken into account before programming new missions or before continuing, terminating or redirecting existing ones.
3.  Missions shall:
3.  Missions shall:
(a)  have a clear EU-added value and contribute to reaching Union priorities;
(a)  have a clear EU-added value and contribute to reaching Union priorities, objectives and commitments;
(a a)  be inclusive, encourage broad engagement and ensure participation of various types of stakeholders and deliver R&D&I results benefitting all Member States;
(b)  be bold and inspirational, and hence have wide societal or economic relevance;
(b)  be bold, inspirational, and have wide societal, scientific, technological, diplomatic, environmental or economic relevance;
(c)  indicate a clear direction and be targeted, measurable and time-bound;
(c)  indicate a clear direction and be targeted, measurable and time-bound;
(d)  be centered on ambitious but realistic research and innovation activities;
(d)  be selected in a transparent manner and be centered on ambitious, excellence-driven, but realistic research and innovation activities across all stages of development;
(d a)  include an element of urgency regarding the mission objectives, have the necessary scope, scale and wide mobilization of the resources required and with the sole focus being to deliver the mission outcome;
(e)  spark activity across disciplines, sectors and actors;
(e)  spark activity across disciplines (including social sciences and humanities), sectors and actors;
(f)  be open to multiple, bottom-up solutions.
(f)  be open to multiple, bottom-up solutions.
(f a)  achieve synergies in a transparent manner with other Union programmes as well as with public and private funds, including through active involvement of national and regional innovation ecosystems.
Amendment 69
Proposal for a regulation
Article 7 a (new)
Article 7 a
The European Innovation Council
1.  The Commission shall establish a European Innovation Council (EIC) for implementing actions under Pillar III 'Innovative Europe ‘which relates to the EIC. The EIC shall operate according to the following principles: focus on breakthrough and disruptive innovation, autonomy, ability to take risk, efficiency, effectiveness, transparency and accountability.
2.  The EIC shall be open to all types of innovators from individuals to universities, research organisations and companies, startups, in particular SMEs and mid-caps and from single beneficiaries to multi-disciplinary consortia. At least 70% of EIC budget shall be dedicated to innovative start-ups and SMEs.
3.  The EIC Board and management features of the EIC are defined in Decision (EU)... [Specific Programme] and its annexes.
Amendment 70
Proposal for a regulation
Article 8
Article 8
Article 8
European Partnerships
European Partnerships
1.  Parts of Horizon Europe may be implemented through European Partnerships. The involvement of the Union in European Partnerships may take any of the following forms:
1.  Parts of Horizon Europe may be implemented through European Partnerships. The involvement of the Union in European Partnerships may take any of the following forms:
(a)  participation in partnerships set up on the basis of memoranda of understanding and/or contractual arrangements between the Commission and the partners referred to in Article 2(3), specifying the objectives of the partnership, related commitments for financial and/or in-kind contributions of the partners, key performance and impact indicators, and outputs to be delivered. They include the identification of complementary research and innovation activities that are implemented by the partners and by the Programme (Co-programmed European Partnerships);
(a)  participation in partnerships set up on the basis of memoranda of understanding and/or contractual arrangements between the Commission and the partners referred to in Article 2(3), specifying the objectives of the partnership, related commitments for financial and/or in-kind contributions of the partners, key performance and impact indicators, and outputs to be delivered. They include the identification of complementary research and innovation activities that are implemented by the partners and by the Programme (Co-programmed European Partnerships);
(b)  participation in and financial contribution to a programme of research and innovation activities, based on the commitment of the partners for financial and in-kind contributions and integration of their relevant activities using a Programme co-fund action (Co-funded European Partnerships);
(b)  participation in and financial contribution to a programme of research and innovation activities, based on the commitment of the partners for financial and in-kind contributions and integration of their relevant activities using a Programme co-fund action (Co-funded European Partnerships);
(c)  participation in and financial contribution to research and innovation programmes undertaken by several Member States in accordance with Article 185 TFEU, or by bodies established pursuant to Article 187 TFEU, such as Joint Undertakings, or by the EIT Knowledge and Innovation Communities in compliance with the [EIT Regulation] (Institutionalised European Partnerships), to be implemented only where other forms of European Partnerships would not achieve the objectives or would not generate the necessary expected impacts, and if justified by a long-term perspective and high degree of integration including central management of all financial contributions.
(c)  participation in and financial and/or in-kind contributions to research and innovation programmes undertaken by several Member States in accordance with Article 185 TFEU, or by bodies established pursuant to Article 187 TFEU, such as Joint Undertakings, or by the EIT Knowledge and Innovation Communities in compliance with the [EIT Regulation] (Institutionalised European Partnerships), to be implemented only where other forms of European Partnerships would not achieve the objectives or would not generate the necessary expected impacts, and if justified by a long-term perspective and high degree of integration including central management of all financial contributions.
2.  European Partnerships shall:
2.  European Partnerships shall:
(a)  Be established in cases where they will more effectively achieve objectives of Horizon Europe than the Union alone;
(a)  be established only in cases where they will more effectively achieve objectives of Horizon Europe when compared to other parts of the Framework programme;
(b)  Adhere to the principles of Union added value, transparency, openness, impact, leverage effect, long-term financial commitment of all the involved parties, flexibility, coherence and complementarity with Union, local, regional national and international initiatives;
(b)  adhere to the principles of Union added value, transparency, openness, impact, strong leverage effect, long-term financial and/or in-kind commitment of all the involved parties, flexibility, coherence, and complementarity with Union, local, regional national and international initiatives;
(c)  Be time limited and include conditions for phasing-out the Programme funding.
(c)  be time limited and include conditions for phasing-out the Programme funding.
2 a.  All Partnerships shall be identified in Strategic R&I Plans, as referred to in Article 6 of and Annex III to the Framework Programme and Annex I to the Specific Programme, before being implemented in work programmes or work plans.
Provisions and criteria for their selection, implementation, monitoring, evaluation and phasing-out are set out in Annex III.
Provisions and criteria for their selection, implementation, monitoring, evaluation and phasing-out are set out in Annex III.
Amendments 71 and 172
Proposal for a regulation
Article 9
Article 9
Article 9
Budget
Budget
1.  The financial envelope for the implementation of the Framework Programme for the period 2021 – 2027 shall be EUR 94 100 000 000 in current prices for the specific programme referred to in Article 1(3)(a) and, in addition, the amount for the specific programme referred to in Article 1(3)(b), as laid down in Regulation…. establishing the European Defence Fund.
1.  The financial envelope for the implementation of the Framework Programme for the period 2021 – 2027 shall be EUR 120 000 000 000 in 2018 prices for the specific programme referred to in Article 1(3)(a) and, in addition, the amount for the specific programme referred to in Article 1(3)(b), as laid down in Regulation…. establishing the European Defence Fund.
2.  The indicative distribution of the amount referred to in paragraph 1, first half sentence, shall be:
2.  The indicative distribution of the amount referred to in paragraph 1, first half sentence, shall be:
(a)  EUR 25 800 000 000 for Pillar I 'Open Science' for the period 2021-2027, of which
(a)  27.42 % for Pillar I ' Excellent and Open Science' Open Science' for the period 2021-2027, of which
(1)  EUR 16 600 000 000 for the European Research Council;
(1)  17.64% for the European Research Council;
(2)  EUR 6 800 000 000 for Marie Skłodowska-Curie Actions;
(2)  7.23% for Marie Skłodowska-Curie Actions;
(3)  EUR 2 400 000 000 for research infrastructures;
(3)  2.55% for research infrastructures;
(b)  EUR 52 700 000 000 for Pillar II 'Global Challenges and Industrial Competitiveness' for the period 2021-2027, of which
(b)  55.48% for Pillar II 'Global Challenges and European Industrial Competitiveness' for the period 2021-2027, of which
(1)  EUR 7 700 000 000 for cluster 'Health';
(1)  8.16% for cluster 'Health';
(2)  EUR 2 800 000 000 for cluster 'Inclusive and Secure Society';
(2)  2.50% for cluster 'Inclusive and Creative Society';
(2 a)  2.00% for cluster ‘Secure Societies’;
(3)  EUR 15 000 000 000 for cluster 'Digital and Industry';
(3)  15.94% for cluster 'Digital, Industry and Space';
(4)  EUR 15 000 000 000 for cluster 'Climate, Energy and Mobility';
(4)  15.84% for cluster 'Climate, Energy and Mobility';
(5)  EUR 10 000 000 000 for cluster 'Food and Natural Resources';
(5)  9.00% for cluster 'Food, Natural Resources and Agriculture';
(6)  EUR 2 200 000 000 for the non-nuclear direct actions of the Joint Research Centre (JRC);
(6)  2.04% for non-nuclear direct actions of the Joint Research Centre (JRC).
(c)  EUR 13 500 000 000 for Pillar III 'Open Innovation' for the period 2021-2027, of which
(c)  12.71% for Pillar III 'Innovative Europe' for the period 2021-2027, of which:
(1)  EUR 10 500 000 000 for the European Innovation Council, including up to EUR 500 000 000 for European Innovation Ecosystems;
(1)  8.71% for the European Innovation Council (EIC) including up to 0.53% for European innovation ecosystems;
(2)  EUR 3 000 000 000 for the European Institute of Innovation and Technology (EIT);
(2)  4% for the European Institute of Innovation and Technology (EIT).
(d)  EUR 2 100 000 000 for Part 'Strengthening the European Research Area' for the period 2021-2027, of which
(d)  4.39% for the Part 'Strengthening the European Research Area' with the following components:
(1)  EUR 1 700 000 000 for 'sharing excellence';
(1)  4.00% for Spreading excellence and widening participation across the Union;
(2)  EUR 400 000 000 for 'reforming and enhancing the European R&I System'.
(2)  0.39% for reforming and enhancing the European R&I System.
3.  In order to respond to unforeseen situations or to new developments and needs, the Commission may, within the annual budgetary procedure, deviate from the amounts referred to in paragraph 2 up to a maximum of 10%. No such deviation shall be allowed in respect of the amounts referred to in points (b) (6) of paragraph 2 of this Article and the total amount set out for Part 'Strengthening the European Research Area' of paragraph 2 of this Article.
3.  In order to respond to unforeseen situations or to new developments and needs, the Commission may, within the annual budgetary procedure, deviate from the amounts referred to in paragraph 2 up to a maximum of 10%, including the allocation of the contributions from associated countries.
3a.  As part of the general Union objective of mainstreaming climate actions and of spending 30% of the Union budget in support of climate objectives, actions under the Programme shall contribute at least 35% of the expenditure under the Programme to climate objectives where appropriate.
3b.  At least EUR 2,5 billion shall be dedicated to grants for incremental innovation in SMEs according to the instrument referred to in Article 43a of this Regulation and in Annex I to the Decision.
3c.  45% of the budget of cluster ‘Inclusive and Creative Society’ shall support research on cultural and creative sectors, including the Union’s cultural heritage, that shall include EUR 300 million to be earmarked for the creation of a European Cultural Heritage Cloud, as set out in Annex I to the Specific Programme following an impact assessment to be presented to the European Parliament.
3d.  At least EUR 1 billion shall aim to be dedicated to Quantum Research under the ‘Digital, Industry and Space’ cluster under Pillar II.
4.  The amount referred to in paragraph 1, first half sentence, may also cover expenses for preparation, monitoring, control, audit, evaluation and other activities and expenditures necessary for managing and implementing the Programme, including all administrative expenditure, as well as evaluating the achievement of its objectives. It may moreover cover expenses relating to the studies, meetings of experts, information and communication actions, in so far as they are related to the objectives of the Programme, as well as expenses linked to information technology networks focusing on information processing and exchange, including corporate information technology tools and other technical and administrative assistance needed in connection with the management of the Programme.
4.  The amount referred to in paragraph 1, first half sentence may also cover expenses for preparation, monitoring, control, audit, evaluation and other activities and expenditures necessary for managing and implementing the Programme, including all administrative expenditure, as well as evaluating the achievement of its objectives. Those expenses shall not exceed 5% of the total amount under the Programme. It may moreover cover expenses relating to the studies, meetings of experts, information and communication actions, in so far as they are related to the objectives of the Programme, as well as expenses linked to information technology networks focusing on information processing and exchange, including corporate information technology tools and other technical and administrative assistance needed in connection with the management of the Programme.
5.  If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses provided for in paragraph 4, to enable the management of actions not completed by 31 December 2027.
5.  If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses provided for in paragraph 4, to enable the management of actions not completed by 31 December 2027.
6.  Budgetary commitments for actions extending over more than one financial year may be broken down over several years into annual instalments.
6.  Budgetary commitments for actions extending over more than one financial year may be broken down over several years into annual instalments.
7.  Without prejudice to the Financial Regulation, expenditure for actions resulting from projects included in the first work programme may be eligible as from 1 January 2021.
7.  Without prejudice to the Financial Regulation, expenditure for actions resulting from projects included in the first work programme may be eligible as from 1 January 2021.
8.  Resources allocated to Member States under shared management and transferrable in accordance with Article 21 of Regulation (EU) XX […Common Provisions Regulation] may, at their request, be transferred to the Programme. The Commission shall implement those resources directly in accordance with point (a) of Article 62(1) of the Financial Regulation or indirectly in accordance with point (c) of that Article. Where possible, those resources shall be used for the benefit of the Member State concerned.
9.  Horizon Europe is designed to be implemented in synergy with other Union funding programmes. A non-exhaustive list of synergies with other Union funding programmes is included in Annex IV.
Amendment 72
Proposal for a regulation
Article 10
Article 10
Article 10
Open access and open data
Open access and open data
1.  Open access to scientific publications resulting from research funded under the Programme shall be ensured in accordance with Article 35(3). Open access to research data shall be ensured in line with the principle 'as open as possible, as closed as necessary'. Open access to other research outputs shall be encouraged.
1.  Open access to scientific publications resulting from research funded under the Programme shall be ensured in accordance with Article 35(3). Open access to research data shall be ensured in line with the principle 'as open as possible, as closed as necessary'.
1 a.  Open access to research data shall recognise the need for different access regimes because of the Union’s economic interest, Intellectual Property Rights, personal data protection and confidentiality, security concerns and other legitimate interests, including the possibility for opt-out. Data management plans during the duration of the project shall be considered as eligible costs.
1 b.  Reciprocal open access to scientific publications and research data shall be promoted internationally, taking into account the Union’s competitiveness and industrial interests. In particular, reciprocal open access shall be encouraged foreseen in all association agreements and in S&T cooperation agreements with third countries, including agreements signed by funding bodies entrusted for indirect management of the Programme.
2.  Responsible management of research data shall be ensured in line with the principles ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’ (FAIR).
2.  Responsible management of research data shall be ensured in line with the principles of data ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’ (FAIR).
3.  Open science practices beyond open access to research outputs and responsible management of research data shall be promoted.
3.  Open science practices beyond open access to research data and scientific publications and responsible management of research data shall be promoted.
Amendment 73
Proposal for a regulation
Article 11
Article 11
Article 11
Complementary and combined funding
Complementary, combined and cumulative funding
1.   Horizon Europe shall be implemented in synergy with other Union funding programmes while seeking maximal administrative simplification. A non-exhaustive list of synergies with other funding programmes is included in Annex IV. A The Horizon Europe single set of rules shall apply for an RDI co-funded action.
Actions awarded a Seal of Excellence certification, or which comply with the following cumulative, comparative, conditions:
2.   The Seal of Excellence shall be awarded for all parts of the Programme. Actions awarded a Seal of Excellence certification, or which comply with the following cumulative, comparative, conditions:
(a)  they have been assessed in a call for proposals under the Programme;
(a)  they have been assessed in a call for proposals under the Programme;
(b)  they comply with the minimum quality requirements of that call for proposals;
(b)  they comply with the minimum quality requirements of that call for proposals;
(c)  they may not be financed under that call for proposals due to budgetary constraints,
(c)  they may not be financed under that call for proposals due to budgetary constraints,
may receive support from the European Regional Development Fund, the Cohesion Fund, the European Social Fund+ or the European Agricultural Fund for Rural Development, in accordance with paragraph 5 of Article [67] of Regulation (EU) XX [Common Provisions Regulation] and Article [8] or Regulation (EU) XX [Financing, management and monitoring of the Common Agricultural Policy], provided that such actions are consistent with the objectives of the programme concerned. The rules of the Fund providing support shall apply.
may receive support from national or regional funds, including from the European Regional Development Fund, the Cohesion Fund, the European Social Fund+ or the European Agricultural Fund for Rural Development, in accordance with paragraph 5 of Article [67] of Regulation (EU) XX [Common Provisions Regulation] and Article [8] or Regulation (EU) XX [Financing, management and monitoring of the Common Agricultural Policy], without requiring any further application and evaluation and provided that such actions are consistent with the objectives of the programme concerned. With the exception of state aid rules, the rules of the Fund providing support shall apply.
2 a.   In accordance with Article 21 of Regulation (EU) XX [... Common Provisions Regulation], the managing authority, on a voluntary basis, may request the transfer of parts of its financial allocations to Horizon Europe. Transferred resources shall be implemented in accordance with the rules of Horizon Europe. In addition, the Commission shall ensure that such transferred funds are earmarked entirely for programmes and/or projects which will be implemented in the Member State or region, as applicable, they originated from.
2 b.   With prior authorisation from the applicants, the Commission shall include the allocations referred to in this Article in the information system on selected projects in order to allow for a fast exchange of information and enable financing authorities to provide funding to the selected actions.
An action that has received a contribution from another Union programme may also receive a contribution under the Programme, provided that the contributions do not cover the same costs.
Amendment 74
Proposal for a regulation
Article 12
Article 12
Article 12
Third countries associated to the Programme
Third countries associated to the Programme
1.  The Programme shall be open to association of the following third countries:
1.  The Programme shall be open to association of the following third countries:
(a)  European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA), in accordance with the conditions laid down in the EEA agreement;
(a)  European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA), in accordance with the conditions laid down in the EEA agreement;
(b)  acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries;
(b)  acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries;
(c)  countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries;
(c)  countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries;
(d)  third countries and territories that fulfil all of the following criteria:
(d)  third countries and territories that fulfil all of the following criteria:
i.  a good capacity in science, technology and innovation;
i.  a good capacity in science, technology and innovation;
ii.  commitment to a rules-based open market economy, including fair and equitable dealing with intellectual property rights, backed by democratic institutions;
ii.  commitment to a rules-based open market economy, including fair and equitable dealing with intellectual property rights, respect of human rights, backed by democratic institutions;
iii.  active promotion of policies to improve the economic and social well-being of citizens.
iii.  active promotion of policies to improve the economic and social well-being of citizens.
Association to the Programme of each of the third countries under point(d) shall be in accordance with the conditions laid down in a specific agreement covering the participation of the third country to any Union programme, provided that the agreement:
Full or partial association to the Programme of each of the third countries under point (d) shall be based on an assessment of the benefits for the Union. It shall in particular be in accordance with the conditions laid down in a specific agreement covering the participation of the third country to any Union programme, provided that the agreement:
–  ensures a fair balance as regards the contributions and benefits of the third country participating in the Union programmes;
–  ensures a fair balance as regards the contributions and benefits of the third country participating in the Union programmes;
–   confers the right to coordinate an action under the Programme provided that it benefits the Union and that the protection of Union’s financial interest is ensured;
–  lays down the conditions of participation in the programmes, including the calculation of financial contributions to individual programmes and their administrative costs. These contributions shall constitute assigned revenues in accordance with Article 21(5) of the Financial Regulation;
–  lays down the conditions of participation in the Programme including the calculation of financial contributions to individual (sub-)programmes and their administrative costs. These contributions shall constitute assigned revenues in accordance with Article 21(5) of the Financial Regulation;
–  guarantees the rights of the Union to ensure sound financial management and to protect its financial interests.
–  guarantees the rights of the Union to ensure sound financial management and to protect the Union’s financial interests.
2.  The scope of association of each third country to the Programme shall take into account the objective of driving economic growth in the Union through innovation. Accordingly, with the exception of EEA members, acceding countries, candidate countries and potential candidates, parts of the Programme may be excluded from an association agreement for a specific country.
2.  The scope of association of each third country to the Programme shall take into account the objective of driving economic growth in the Union through innovation and shall avoid the brain drain from the Union. Accordingly, with the exception of EEA members, acceding countries, candidate countries and potential candidates, mono-beneficiary parts of the Programme may be excluded from an association agreement for a specific country, in particular those dedicated to private entities.
3.  The association agreement shall, where appropriate, provide for the participation of legal entities established in the Union in equivalent programmes of associated countries in accordance with the conditions laid down therein.
3.  The association agreement shall, where appropriate, provide for and pursue reciprocal participation of legal entities established in the Union in equivalent programmes of associated countries in accordance with the conditions laid down therein.
4.  The conditions determining the level of financial contribution shall ensure an automatic correction of any significant imbalance compared to the amount that entities established in the associated country receive through participation in the Programme, taking into account the costs in the management, execution and operation of the Programme.
4.  The association agreement conditions determining the level of financial contribution shall ensure an automatic correction, every two years of any imbalance compared to the amount that entities established in the associated country receive through participation in the Programme, taking into account the costs in the management, execution and operation of the Programme.
4 a.  The contributions of all associated countries shall be included in the relevant parts of the Programme provided that the budget breakdown as specified in Article 9, paragraph 2 is respected. The Commission shall report to the Council and the Parliament during the annual budgetary procedure the total budget of each part of the Programme, identifying each of the associated countries, individual contributions and their financial balance.
Amendment 75
Proposal for a regulation
Article 14 – title
Eligible actions
Eligible actions and ethical principles
Amendment 76
Proposal for a regulation
Article 15
Article 15
Article 15
Ethics
Ethics
1.  Actions carried out under the Programme shall comply with ethical principles and relevant national, Union and international legislation, including the Charter of Fundamental Rights of the European Union and the European Convention on Human Rights and its Supplementary Protocols.
1.  Actions carried out under the Programme shall comply with ethical principles and relevant national, Union and international legislation, including the Charter of Fundamental Rights of the European Union and the European Convention on Human Rights and its Supplementary Protocols.
Particular attention shall be paid to the principle of proportionality, the right to privacy, the right to the protection of personal data, the right to the physical and mental integrity of a person, the right to non-discrimination and the need to ensure high levels of human health protection.
2.  Entities participating in the action shall provide:
2.  Entities participating in the action shall provide:
(a)  an ethics self-assessment identifying and detailing all the foreseeable ethics issues related to the objective, implementation and likely impact of the activities to be funded, including a confirmation of compliance with paragraph 1, and a description of how it will be ensured;
(a)  an ethics self-assessment identifying and detailing all the foreseeable ethics issues related to the objective, implementation and likely impact of the activities to be funded, including a confirmation of compliance with paragraph 1, and a description of how it will be ensured;
(b)  a confirmation that the activities will comply with the European Code of Conduct for Research Integrity published by All European Academies and that no activities excluded from funding will be conducted;
(b)  a confirmation that the activities will comply with the European Code of Conduct for Research Integrity published by All European Academies and that no activities excluded from funding will be conducted;
(c)  for activities carried out outside the Union, a confirmation that the same activities would have been allowed in a Member State; and
(c)  for activities carried out outside the Union, a confirmation that the same activities would have been allowed in a Member State; and
(d)  for activities making use of human embryonic stem cells, as appropriate, details of licensing and control measures that shall be taken by the competent authorities of the Member States concerned as well as details of the ethics approvals that shall be obtained before the activities concerned start.
(d)  for activities making use of human embryonic stem cells, as appropriate, details of licensing and control measures that shall be taken by the competent authorities of the Member States concerned as well as details of the ethics approvals that shall be obtained before the activities concerned start.
3.  Proposals shall be systematically screened to identify those actions raising complex or serious ethics issues and submit them to an ethics assessment. The ethics assessment shall be carried out by the Commission unless it is delegated to the funding body. For actions involving the use of human embryonic stem cells or human embryos, an ethics assessment shall be mandatory. Ethics screenings and assessments shall be carried out with the support of ethics experts. The Commission and the funding bodies shall ensure the transparency of the ethics procedures as much as possible.
3.  Proposals shall be systematically screened to identify those actions raising complex or serious ethics issues and submit them to an ethics assessment. The ethics assessment shall be carried out by the Commission unless it is delegated to the funding body. For actions involving the use of human embryonic stem cells or human embryos, an ethics assessment shall be mandatory. Ethics screenings and assessments shall be carried out with the support of ethics experts. The Commission and the funding bodies shall ensure the transparency of the ethics procedures.
4.  Entities participating in the action shall obtain all approvals or other mandatory documents from the relevant national, local ethics committees or other bodies such as data protection authorities before the start of the relevant activities. Those documents shall be kept on file and provided to the Commission or funding body upon request.
4.  Entities participating in the action shall obtain all approvals or other mandatory documents from the relevant national, local ethics committees or other bodies such as data protection authorities before the start of the relevant activities. Those documents shall be kept on file and provided to the Commission or funding body upon request.
5.  If appropriate, ethics checks shall be carried out by the Commission or funding body. For serious or complex ethics issues, the checks shall be carried out by the Commission unless it is delegated to the funding body.
5.  If appropriate, ethics checks shall be carried out by the Commission or funding body. For serious or complex ethics issues, the checks shall be carried out by the Commission unless it is delegated to the funding body.
Ethics checks shall be carried out with the support of ethics experts.
Ethics checks shall be carried out with the support of ethics experts.
6.  Actions which are not ethically acceptable may be rejected or terminated at any time.
6.  Actions which are not ethically acceptable shall be rejected or terminated as soon as the ethical unacceptability has been established.
Amendment 77
Proposal for a regulation
Article 16
Article 16
Article 16
Security
Security
1.  Actions carried out under the Programme shall comply with the applicable security rules and in particular rules on protection of classified information against unauthorised disclosure, including compliance with any relevant national and Union law. In case of research carried out outside the Union using and/or generating classified information, it is necessary that, in addition to the compliance with those requirements, a security agreement shall have to be concluded between the Union and the third country in which the research is conducted.
1.  Actions carried out under the Programme shall comply with the applicable security rules and in particular rules on protection of classified information against unauthorised disclosure, including compliance with any relevant national and Union law. In case of research carried out outside the Union using and/or generating classified information, it is necessary that, in addition to the compliance with those requirements, a security agreement shall have to be concluded between the Union and the third country in which the research is conducted.
2.  Where appropriate, proposals shall include a security self-assessment identifying any security issues and detailing how these issues will be addressed in order to meet the relevant national and Union law.
2.  Where appropriate, proposals shall include a security self-assessment identifying any security issues and detailing how these issues will be addressed in order to meet the relevant national and Union law.
3.  Where appropriate, the Commission or funding body shall carry out a security scrutiny for proposals raising security issues.
3.  Where appropriate, the Commission or funding body shall carry out a security scrutiny for proposals raising security issues.
4.  Where appropriate, the actions shall comply with Decision (EU, Euratom) 2015/444, and its implementing rules.
4.  Where appropriate, the actions shall comply with Decision (EU, Euratom) 2015/444, and its implementing rules.
5.  Entities participating in the action shall ensure the protection against unauthorised disclosure of classified information used and/or generated by the action. They shall provide proof of personal and/or facility security clearance from the relevant national security authorities, prior to the start of the activities concerned.
5.  Entities participating in the action shall ensure the protection against unauthorised disclosure of classified information used and/or generated by the action. They shall provide proof of personal and/or facility security clearance from the relevant national security authorities, prior to the start of the activities concerned on request by the Commission or a funding body.
6.  If external experts have to deal with classified information, the appropriate security clearance shall be required before those experts are appointed.
6.  If external experts have to deal with classified information, the appropriate security clearance shall be required before those experts are appointed.
7.  Where appropriate, the Commission or funding body may carry out security checks.
7.  Where appropriate, the Commission or funding body may carry out security checks.
8.  Actions which do not comply with security rules may be rejected or terminated at any time.
8.  Actions which do not comply with security rules may be rejected or terminated at any time.
Amendment 78
Proposal for a regulation
Article 18
Article 18
Article 18
Entities eligible for participation
Entities eligible for participation
1.  Any legal entity, regardless of its place of establishment, or international organisation may participate in actions under the Programme, provided that the conditions laid down in this Regulation have been met together with any conditions laid down in the work programme or call.
1.  Any legal entity, regardless of its place of establishment, including legal entities from non-associated third countries or international organisation may participate in actions under the Programme, provided that the conditions laid down in this Regulation have been met together with any conditions laid down in the work programme or call.
2.  Entities shall be part of a consortium that shall include at least three independent legal entities each established in a different Member State or associated country and with at least one of them established in a Member State, unless:
2.  Entities shall be part of a consortium that shall include at least three independent legal entities each established in a different Member State including outermost regions or in an associated country and with at least two of them established in a Member State, unless the action is one referred to in paragraph 3 or 4;
(a)  the work programme provides otherwise, if justified;
(b)  the action is one referred to in paragraphs 3 or 4.
3.  European Research Council (ERC) frontier research actions, European Innovation Council (EIC) actions, training and mobility actions or programme co-fund actions may be implemented by one or more legal entities, one of which must be established in a Member State or associated country.
3.  European Research Council (ERC) frontier research actions, European Innovation Council (EIC) actions, training and mobility actions or programme co-fund actions may be implemented by one or more legal entities, one of which must be established in a Member State or where applicable associated country as referred to in Article 12(1).
4.  Coordination and support actions may be implemented by one or more legal entities, which may be established in a Member State, associated country or in another third country.
4.  Coordination and support actions may be implemented by one or more legal entities, which may be established in a Member State or associated country or in another third country.
5.  For actions related to Union strategic assets, interests, autonomy or security, the work programme may provide that the participation can be limited to those legal entities established in Member States only, or to those legal entities established in specified associated or other third countries in addition to Member States.
5.  For actions related to Union strategic assets, interests, autonomy or security, the work programme may provide that the participation can be limited to those legal entities established in Member States only, or to those legal entities established in specified associated or other third countries in addition to Member States.
6.  The work programme may provide for eligibility criteria in addition to those set out in paragraphs 2, 3, 4, and 5 according to specific policy requirements or to the nature and objectives of the action, including the number of legal entities, the type of legal entity and the place of establishment.
6.  The work programme may provide for eligibility criteria in addition to those set out in paragraphs 2, 3, 4, and 5 according to specific policy requirements or to the nature and objectives of the action, including the number of legal entities, the type of legal entity and the place of establishment.
7.  For actions benefiting from amounts under Article 9(8), the participation shall be limited to a single legal entity established in the jurisdiction of the delegating Managing Authority, except if otherwise agreed with the Managing Authority and provided for in the work programme.
7.  For actions benefiting from amounts under Article 11, the participation shall be limited to a single legal entity established in the jurisdiction of the delegating Managing Authority, except if otherwise agreed with the Managing Authority and provided for in the work programme.
8.  Where indicated in the work programme, the Joint Research Centre may participate in actions.
8.  Where indicated in the work programme, the Joint Research Centre may participate in actions
9.  The Joint Research Centre, international European research organisations and legal entities created under Union law shall be deemed to be established in a Member State other than the ones in which other legal entities participating in the action are established.
10.  For European Research Council (ERC) frontier research actions and training and mobility actions, international organisations with headquarters in a Member State or associated country shall be deemed to be established in this Member State or associated country.
10.  For European Research Council (ERC) frontier research actions and training and mobility actions, international organisations with headquarters in a Member State or associated country shall be deemed to be established in this Member State or associated country.
Amendment 79
Proposal for a regulation
Article 19
Article 19
Article 19
Entities eligible for funding
Entities eligible for funding
1.   Entities are eligible for funding if they are established in a Member State or associated country.
1.   Entities are eligible for funding if they are established in a Member State or associated country as referred to in Article 12 (1).
For actions benefiting from amounts under Article 9(8), only entities established in the jurisdiction of the delegating Managing Authority shall be eligible for funding out of these amounts.
For actions benefiting from amounts under Article 11(3), only entities established in the jurisdiction of the delegating Managing Authority shall be eligible for funding out of these amounts.
1 a.  Where applicable, international organisations shall be eligible for funding in an action if their headquarters are located in a Member State or in an associated country.
1 b.  Low to middle income countries and exceptionally for other non-associated third countries they could be eligible for funding in an action if:
(a)  the third country is identified in the work programme; and
(b)  the Commission or funding body consider that its participation is essential for implementing the action;
2.  Entities established in a non-associated third country should in principle bear the cost of their participation. However, for low to middle income countries and exceptionally for other non-associated third countries they could be eligible for funding in an action if:
2.  Entities established in other non-associated third countries should bear the cost of their participation. R&D agreements between those non-associated third countries and the Union can be made wherever deemed useful, and co-funding mechanism similar to the ones agreed inside Horizon 2020 may be established. Those countries shall ensure reciprocal access for Union legal entities to those countries’ RDI funding programmes, as well as reciprocity in open access to scientific results and data and to fair and equitable terms for intellectual property rights.
(a)  the third country is identified in the work programme adopted by the Commission ; or
(b)  the Commission or funding body consider that its participation is essential for implementing the action;
3.  Affiliated entities are eligible for funding in an action if they are established in a Member State, Associated country, or in a third country identified in the work programme adopted by the Commission.
3.  Affiliated entities are eligible for funding in an action if they are established in a Member State or Associated country.
3 a.  The Commission shall report to the Parliament and the Council specifying, for each non-associated third country, the amount of the Union’s financial contributions provided to the participating entities and the amount of the financial contributions provided by the same country to Union entities participating in their activities.
Amendment 80
Proposal for a regulation
Article 20
Article 20
Article 20
Calls for proposals
Calls for proposals
1.  For all actions, except for EIC Pathfinder transition activities, the content of the calls for proposals shall be included in the work programme.
1.  For all actions the content of the calls for proposals shall be included in the work programme.
The work programme shall explain why a particular action is to be funded with reference to the outcome of specific previous projects and to the state of science, technology and, innovation at national, Union and international level and of relevant policy, market and societal developments.
2.  For EIC Pathfinder transition activities:
(a)  the launch and the content of the calls for proposals shall be determined with regard to objectives and budget established by the work programme in relation with the concerned portfolio of actions;
(b)  grants for a fixed amount not exceeding EUR 50,000 may be awarded without a call for proposals to carry out urgent coordination and support actions for reinforcing the portfolio’s community of beneficiaries or assessing possible spin-offs or potential market creating-innovation.
3.   If necessary to achieve their objectives, calls may be restricted to develop additional activities or to add additional partners to existing actions.
3.   If necessary to achieve their objectives, calls may be restricted to develop additional activities or to add additional partners to existing actions.
4.   A call for proposals is not required for coordination and support actions or programme co-fund actions which:
4.   A call for proposals is not required for coordination and support actions or programme co-fund actions which:
(a)  are to be carried out by the Joint Research Centre or legal entities identified in the work programme and
(a)  are to be carried out by the Joint Research Centre or legal entities identified in the work programme and
(b)  do not fall within the scope of a call for proposals.
(b)  do not fall within the scope of a call for proposals.
5.   The work programme shall specify calls for which "Seals of Excellence" will be awarded. With prior authorisation from the applicant, information concerning the application and the evaluation may be shared with interested financing authorities, subject to the conclusion of confidentiality agreements.
5.   The work programme shall specify calls for which "Seals of Excellence" will be awarded. With prior authorisation from the applicant, information concerning the application and the evaluation may be shared with interested financing authorities, subject to the conclusion of confidentiality agreements.
5 a.  To tackle oversubscription, the Commission may apply, to a number of calls, a two-stage evaluation procedure.
Amendment 81
Proposal for a regulation
Article 21
Article 21
Article 21
Joint calls
Joint calls
The Commission or funding body may issue a joint call for proposals with:
The Commission or funding body may issue a joint call for proposals with:
(a)  third countries, including their scientific and technological organisations or agencies;
(a)  third countries, including their scientific and technological organisations or agencies;
(b)  international organisations;
(b)  international organisations;
(c)  non-profit legal entities.
(c)  non-profit legal entities.
In the case of a joint call, joint procedures shall be established for selection and evaluation of proposals. The procedures shall involve a balanced group of experts appointed by each party.
In the case of a joint call, applying consortia shall fulfil the requirements under Article 18 of this Regulation and joint procedures shall be established for selection and evaluation of proposals. The procedures shall involve a balanced group of experts appointed by each party.
Amendment 82
Proposal for a regulation
Article 22
Article 22
Article 22
Pre-commercial procurement and procurement of innovative solutions
Pre-commercial procurement and procurement of innovative solutions
1.  Actions may involve or have as their primary aim pre-commercial procurement or public procurement of innovative solutions that shall be carried out by beneficiaries which are contracting authorities or contracting entities as defined in Directives 2014/24/EU31 , 2014/25/EU32 and 2009/81/EC33 .
1.  Actions may involve or have as their primary aim pre-commercial procurement or public procurement of innovative solutions that shall be carried out by beneficiaries which are contracting authorities or contracting entities as defined in Directives 2014/24/EU31 , 2014/25/EU32 and 2009/81/EC33 .
2.  The procurement procedures:
2.  The procurement procedures:
(a)  shall comply with the principles of transparency, non- discrimination, equal treatment, sound financial management, proportionality and competition rules;
(a)  shall comply with the principles of transparency, non- discrimination, equal treatment, sound financial management, proportionality and competition rules;
(b)  for pre-commercial procurement, may provide for specific conditions such as the place of performance of the procured activities being limited to the territory of the Member States and of associated countries;
(b)  for pre-commercial procurement, a simplified and/or accelerated procedure may be used, and may provide for specific conditions such as the place of performance of the procured activities being limited to the territory of the Member States and of Associated countries;
(c)  may authorise the award of multiple contracts within the same procedure (multiple sourcing); and
(c)  may authorise the award of multiple contracts within the same procedure (multiple sourcing); and
(d)  shall provide for the award of the contracts to the tender(s) offering best value for money while ensuring absence of conflict of interest.
(d)  shall provide for the award of the contracts to the tender(s) offering best value for money while ensuring absence of conflict of interest.
3.  The contractor generating results in pre-commercial procurement shall own at least the attached intellectual property rights. The contracting authorities shall enjoy at least royalty-free access rights to the results for their own use and the right to grant, or require the participating contractors to grant, non-exclusive licences to third parties to exploit the results for the contracting authority under fair and reasonable conditions without any right to sub-license. If a contractor fails to commercially exploit the results within a given period after the pre-commercial procurement as identified in the contract, the contracting authorities can require it to transfer any ownership of the results to the contracting authorities.
3.  The contractor generating results in pre-commercial procurement shall own at least the attached intellectual property rights. The contracting authorities shall enjoy royalty-free access rights to the results for their own use. If a contractor fails to commercially exploit the results within a given period after the pre-commercial procurement as identified in the contract, the contracting authorities shall consult with the contractor and investigate the reasons for such lack of exploitation. After such consultation, the contracting authority can require it to transfer any ownership of the results to the contracting authorities.
3 a.  Specific provisions regarding ownership, access rights and licensing may be laid down in the contracts for public procurement of innovative solutions.
__________________
__________________
31 Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC. (OJ L 94, 28.03.2014, p. 65).
31 Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC. (OJ L 94, 28.03.2014, p. 65).
32 Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, 28.03.2014, p. 243).
32 Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, 28.03.2014, p. 243).
33 Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security, and amending Directives 2004/17/EC and 2004/18/EC (OJ L 216, 20.08.2009, p. 76).
33 Directive 2009/81/EC of the European Parliament and of the Council of 13 July 2009 on the coordination of procedures for the award of certain works contracts, supply contracts and service contracts by contracting authorities or entities in the fields of defence and security, and amending Directives 2004/17/EC and 2004/18/EC (OJ L 216, 20.08.2009, p. 76).
Amendment 83
Proposal for a regulation
Article 23
Article 23
deleted
Cumulative funding
An action that has received a contribution from another Union programme may also receive a contribution under the Programme, provided that the contributions do not cover the same costs. The rules of each contributing Union programme shall apply to its respective contribution to the action. The cumulative funding shall not exceed the total eligible costs of the action and the support from different Union programmes may be calculated on a pro-rata basis in accordance with the documents setting out the conditions for support.
Amendment 84
Proposal for a regulation
Article 24 – title
Selection criteria
Financial capacity of applicants
Amendment 85
Proposal for a regulation
Article 25
Article 25
Article 25
Award criteria
Selection and award criteria
1.  A proposal shall be evaluated on the basis of the following award criteria:
1.  A proposal shall be evaluated on the basis of the following award criteria:
(a)  excellence;
(a)  excellence;
(b)  impact;
(b)  impact;
(c)  quality and efficiency of the implementation.
(c)  quality and efficiency of the implementation.
2.  Only the criterion referred to in point (a) of paragraph 1 shall apply to proposals for ERC frontier research actions.
2.  Only the criterion referred to in point (a) of paragraph 1 shall apply to proposals for ERC frontier research actions. Only in cases when two or more excellent projects obtain the same ranking, the differentiation shall be made by applying the criteria referred to in point (b) or point (c) of paragraph 1.
3.  The work programme shall lay down further details of the application of the award criteria laid down in paragraph 1, and may specify weightings and thresholds.
3.  The work programme shall lay down further details of the application of the award criteria laid down in paragraph 1 including any weighting, thresholds and rules for dealing with ex-aequo proposals, taking into consideration the objectives of the call for proposals. The conditions for dealing with ex-aequo proposals may include, but not limited to the following criteria: SMEs, gender, widening countries participants;
3 a.  The Commission shall take into account the possibility of a two-stage submission procedure and where possible, anonymised proposals may be evaluated during the first stage of evaluation based on the award criteria referred to in paragraph 1.
Amendment 86
Proposal for a regulation
Article 26
Article 26
Article 26
Evaluation
Evaluation
1.  Proposals shall be evaluated by the evaluation committee which may be :
1.  Proposals shall be evaluated by the evaluation committee which shall be :
–  fully or partially composed of external independent experts,
–  composed of external independent experts.
–   composed of representatives of Union Institutions or bodies as referred to in Article 150 of the Financial Regulation.
In the case of the EIC and missions, the evaluation committee may also include representatives of Union Institutions or bodies as referred to in Article 150 of the Financial Regulation.
The evaluation committee may be assisted by independent experts.
The evaluation committee may be assisted by independent experts.
2.  Where necessary, the evaluation committee shall rank the proposals having passed the applicable thresholds, according to:
2.  Where necessary, the evaluation committee shall rank the proposals having passed the applicable thresholds, according to:
–  the evaluation scores,
–  the evaluation scores,
–  their contribution to the achievement of specific policy objectives, including the constitution of a consistent portfolio of projects.
–  their contribution to the achievement of specific policy objectives, including the constitution of a consistent portfolio of projects.
The evaluation committee may also propose any substantial adjustments to the proposals in as far as needed for the consistency of the portfolio.
The evaluation committee may only exceptionally and in duly justified cases propose adjustments to the proposals in as far as needed for the consistency of the portfolio.
2 a.  The evaluation process shall avoid any conflict of interest and reputation bias. The transparency of the evaluation criteria and of the proposal scoring shall be guaranteed.
Amendment 87
Proposal for a regulation
Article 27
Article 27
Article 27
Evaluation review procedure
Evaluation review procedure, enquiries and complaints
1.  An applicant may request an evaluation review if it considers that the applicable evaluation procedure has not been correctly applied to its proposal.
1.  An applicant may request an evaluation review if it considers that the applicable evaluation procedure has not been correctly applied to its proposal.
2.  An evaluation review applies only to the procedural aspects of the evaluation, not to the evaluation of the merits of the proposal.
2.  An evaluation review applies only to the procedural aspects of the evaluation, not to the evaluation of the merits of the proposal.
2 a.  A request for review shall relate to a specific proposal and shall be submitted within 30 days after the communication of evaluation results. The review committee shall be chaired by and composed of representatives who were not involved in the call for proposals. The committee shall decide whether the proposal needs to be re-evaluated or the initial evaluation is confirmed. It shall do so without undue delay, without compromising the selection possibilities.
3.  An evaluation review shall not delay the selection process for proposals that are not the subject of review.
3.  An evaluation review shall not delay the selection process for proposals that are not the subject of review.
3 a.  The Commission shall ensure the existence of a procedure for participants to make direct enquiries and complaints about their involvement in Horizon Europe. Information on how to register enquiries or complaints shall be made available on-line.
Amendment 88
Proposal for a regulation
Article 28
Article 28
Article 28
Time to grant
Time to grant
1.  By derogation from the first subparagraph of Article 194(2) of the Financial Regulation, the following periods shall apply:
1.   By derogation from the first subparagraph of Article 194(2) of the Financial Regulation, the following periods shall apply:
(a)  for informing all applicants of the outcome of the evaluation of their application, a maximum period of five months from the final date for submission of complete proposals;
(a)   for informing all applicants of the outcome of the evaluation of their application, a maximum period of five months from the final date for submission of complete proposals;
(b)  for signing grant agreements with applicants, a maximum period of eight months from the final date for submission of complete proposals.
(b)   for signing grant agreements with applicants, a maximum period of eight months from the final date for submission of complete proposals;
(b a)  for the specific grant signed under Fast Track to Research and Innovation, a maximum period of six months from the final date for submission of complete proposals.
Time to grant shall not affect the quality of evaluation.
2.  The work programme for the EIC may establish shorter periods.
2.   The work programme for the EIC may establish shorter periods.
3.  In addition to the exceptions laid down in the second subparagraph of Article 194(2) of the Financial Regulation, the periods referred to in paragraph 1 may be exceeded for actions of the ERC, for missions and when actions are submitted to an ethics or security assessment.
3.   In addition to the exceptions laid down in the second subparagraph of Article 194(2) of the Financial Regulation, the periods referred to in paragraph 1 may be exceeded for actions of the ERC, for missions and when actions are submitted to an ethics or security assessment.
Amendment 89
Proposal for a regulation
Article 29
Article 29
Article 29
Implementation of the grant
Implementation of the grant
1.  If a beneficiary fails to comply with its obligations regarding the technical implementation of the action, the other beneficiaries shall comply with those obligations without any additional Union funding, unless they are expressly relieved of that obligation. The financial responsibility of each beneficiary shall be limited to its own debt subject to the provisions relating to the Mutual Insurance Mechanism.
1.  If a beneficiary fails to comply with its obligations regarding the technical implementation of the action, the other beneficiaries shall comply with those obligations without any additional Union funding, unless they are expressly relieved of that obligation. The financial responsibility of each beneficiary shall be limited to its own debt subject to the provisions relating to the Mutual Insurance Mechanism.
2.  The grant agreement may establish milestones and related pre-financing installments. If milestones are not met, the action may be suspended, amended or terminated.
2.  The grant agreement may establish milestones and related pre-financing installments. If milestones are not met, the action may be suspended, amended, in case no corrective action is found, or terminated, upon evaluation by independent experts.
3.  The action may also be terminated where expected results have lost their relevance for the Union due to scientific, technological or economic reasons, including in the case of EIC and missions, their relevance as part of a portfolio of actions.
3.  The action may also be terminated where expected results and/or milestones have lost their relevance for both the Union and the beneficiaries due to scientific, technological or economic reasons, including in the case of EIC and missions, their relevance as part of a portfolio of actions. The Commission shall undergo a procedure with the action coordinator and if appropriate with external experts before deciding to terminate an action.
Amendment 90
Proposal for a regulation
Article 30
Article 30
Article 30
Funding rates
Funding rates
1.  A single funding rate per action shall apply for all activities it funds. The maximum rate shall be fixed in the work programme.
1.  A single funding rate per action shall apply for all activities it funds. The maximum rate per action shall be fixed in the work programme.
2.  The Programme may reimburse up to 100 % of total eligible costs of an action, except for:
2.  The Programme may reimburse up to 100 % of total eligible costs of an action, except for:
(a)  innovation actions: up to 70 % of the total eligible costs, except for non-profit legal entities where the Programme may reimburse up to 100 % of the total eligible costs;
(a)  innovation actions: up to 70 % of the total eligible costs, except for non-profit legal entities, where the Programme may reimburse up to 100 % of the total eligible costs;
(b)  programme co-fund actions: at least 30 % of the total eligible costs, and in identified and duly justified cases up to 70 %.
(b)  programme co-fund actions: at least 30 % of the total eligible costs, and in identified and duly justified cases up to 70 %.
3.  The funding rates determined in this Article shall also apply for actions where flat rate, unit or lump sum financing is fixed for the whole or part of the action.
3.  The funding rates determined in this Article shall also apply for actions where flat rate, unit or lump sum financing is fixed for the whole or part of the action.
Amendment 91
Proposal for a regulation
Article 31
Article 31
Article 31
Indirect costs
Indirect costs
1.  Indirect eligible costs shall be determined by applying a flat rate of 25 % of the total direct eligible costs, excluding direct eligible costs for subcontracting, financial support to third parties and any unit costs or lump sums which include indirect costs.
1.  Indirect eligible costs shall be determined by applying a flat rate of 25 % of the total direct eligible costs, excluding direct eligible costs for subcontracting, financial support to third parties and any unit costs or lump sums which include indirect costs.
Where appropriate, indirect costs included in unit costs or lump sums shall be calculated using the flat rate set out in paragraph 1, except for unit costs for internally invoiced goods and services which shall be calculated on the basis of actual costs, in accordance with the beneficiaries' usual costs accounting practices.
Where appropriate, indirect costs included in unit costs or lump sums shall be calculated using the flat rate set out in paragraph 1, except for unit costs for internally invoiced goods and services which shall be calculated on the basis of actual costs allowing for allocation keys, in accordance with the beneficiaries' usual costs accounting practices.
2.  However, if provided for in the work programme, indirect costs may be declared in the form of a lump sum or unit costs.
2.  However, if provided for in the work programme, indirect costs may be declared in the form of a lump sum or unit costs.
Amendment 92
Proposal for a regulation
Article 32
Article 32
Article 32
Eligible costs
Eligible costs
1.  In addition to the criteria set out in Article 197 of the Financial Regulation, for beneficiaries with project-based remuneration, costs of personnel are eligible up to the remuneration that the person is paid for work in similar projects funded by national schemes.
1.  In addition to the criteria set out in Article 197 of the Financial Regulation, for the beneficiaries with project-based remuneration, costs of personnel are eligible up to the remuneration that the person is paid for work in similar projects funded by national schemes. Limited to the duration of this Programme, in Member States eligible for widening actions, the hourly costs of personnel shall be eligible to a level representing 1.25 times the national level for hourly remuneration applied for RDI projects funded under national schemes.
Project-based remuneration means remuneration that is linked to the participation of a person in projects, is part of the beneficiary’s usual remuneration practices and is paid in a consistent manner.
Project-based remuneration means remuneration that is linked to the participation of a person in projects, is part of the beneficiary’s usual remuneration practices and is paid in a consistent manner.
2.  By derogation from Article 190(1) of the Financial Regulation, costs of resources made available by third parties by means of in-kind contributions shall be eligible, up to the direct eligible costs of the third party.
2.  By derogation from Article 190(1) of the Financial Regulation, costs of resources made available by third parties by means of in-kind contributions shall be eligible, up to the direct eligible costs of the third party.
3.  By derogation from Article 192 of the Financial Regulation, income generated by the exploitation of the results shall not be considered as receipts of the action.
3.  By derogation from Article 192 of the Financial Regulation, income generated by the exploitation of the results shall not be considered as receipts of the action.
3 a.  Beneficiaries may use their usual accounting practices to identify and declare the costs incurred in relation to an action. The Commission may specify a limited number of additional eligibility conditions in order to ensure the sound management of the grant. The Commission shall not reject accounting practices if their outcomes do not differ from its own and if they offer the same level of protection of the Union’s financial interests.
4.  By derogation from Article 203(4) of the Financial Regulation, a certificate on the financial statements shall be mandatory at payment of the balance, if the amount claimed as actual costs and unit costs calculated in accordance with usual cost accounting practices is equal to or greater than EUR 325 000.
4.  By derogation from Article 203(4) of the Financial Regulation, a certificate on the financial statements shall be mandatory at payment of the balance, if the amount claimed as actual costs and unit costs calculated in accordance with usual cost accounting practices is equal to or greater than EUR 325 000.
Certificates on financial statements may be issued by a competent and independent public officer empowered by the relevant national authorities to audit the beneficiary or by an independent auditor qualified to carry out statutory audits of accounting documents in accordance with Directive 2006/43/EC.
4 a.  By derogation from Article 186(1) of the Financial Regulation, for the MSCA training and mobility actions, exclusively in the event of maternity or parental leave during the lifetime of the grant, the maximum grant amount shall be increased by the allowances due to the researcher in this respect.
4 b.  Costs generated by the responsible management of research data in line with the principles ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’(FAIR) shall be eligible.
Amendment 93
Proposal for a regulation
Article 33
Article 33
Article 33
Mutual Insurance Mechanism
Mutual Insurance Mechanism
1.  A Mutual Insurance Mechanism (the 'Mechanism') is hereby established which shall replace and succeed the fund set up in accordance with Article 38 of Regulation (EC) No 1290/2013. The Mechanism shall cover the risk associated with non-recovery of sums due by the beneficiaries:
1.  A Mutual Insurance Mechanism (the 'Mechanism') is hereby established which shall replace and succeed the fund set up in accordance with Article 38 of Regulation (EU) No 1290/2013. The Mechanism shall cover the risk associated with non-recovery of sums due by the beneficiaries:
(a)  to the Commission under Decision No 1982/2006/EC,
(a)  to the Commission under Decision No 1982/2006/EC,
(b)  to the Commission and Union bodies under "Horizon 2020",
(b)  to the Commission and Union bodies under "Horizon 2020",
(c)  to the Commission and funding bodies under the Programme.
(c)  to the Commission and funding bodies under the Programme.
The coverage of the risk regarding funding bodies referred to in point (c) of the first subparagraph may be implemented through an indirect coverage system set out in the applicable agreement and taking into account the nature of the funding body.
The coverage of the risk regarding funding bodies referred to in point (c) of the first subparagraph may be implemented through an indirect coverage system set out in the applicable agreement and taking into account the nature of the funding body.
2.  The Mechanism shall be managed by the Union, represented by the Commission acting as executive agent. The Commission shall set up specific rules for the operation of the Fund.
2.  The Mechanism shall be managed by the Union, represented by the Commission acting as executive agent. The Commission shall set up specific rules for the operation of the Fund.
3.  Beneficiaries shall make a contribution of 5 % of the Union funding for the action. On the basis of periodic evaluations, this contribution may be raised by the Commission up to 8% or may be reduced under 5%. The beneficiaries' contribution to the Mechanism may be offset from the initial pre-financing and be paid to the Fund on behalf of the beneficiaries.
3.  Beneficiaries shall make a contribution of 5 % of the Union funding for the action. On the basis of transparent evaluations carried out annually, this contribution may be raised by the Commission up to 8% or may be reduced under 5%. The beneficiaries' contribution to the Mechanism may be offset from the initial pre-financing and be paid to the Fund on behalf of the beneficiaries.
4.  The contribution of the beneficiaries shall be returned at the payment of the balance.
4.  The contribution of the beneficiaries shall be returned at the payment of the balance.
5.  Any financial return generated by the Mechanism shall be added to the Mechanism. If the return is insufficient, the Mechanism shall not intervene and the Commission or funding body shall recover directly from beneficiaries or third parties any amount owed.
5.  Any financial return generated by the Mechanism shall be added to the Mechanism. If the return is insufficient, the Mechanism shall not intervene and the Commission or funding body shall recover directly from beneficiaries or third parties any amount owed.
6.  The amounts recovered shall constitute revenue assigned to the Mechanism within the meaning of Article 21(4) of the Financial Regulation. Once all grants whose risk is covered directly or indirectly by the Mechanism are completed, any sums outstanding shall be recovered by the Commission and entered into the budget of the Union, subject to decisions of the legislative authority.
6.  The amounts recovered shall constitute revenue assigned to the Mechanism within the meaning of Article 21(4) of the Financial Regulation. Once all grants whose risk is covered directly or indirectly by the Mechanism are completed, any sums outstanding shall be recovered by the Commission and entered into the budget of the Union.
7.  The Mechanism may be opened to beneficiaries of any other directly managed Union programme. The Commission shall adopt modalities for participation of beneficiaries of other programmes.
7.  The Mechanism may be extended to beneficiaries of any other directly managed Union programme. The Commission shall adopt modalities for participation of beneficiaries of other programmes.
Amendment 94
Proposal for a regulation
Article 34
Article 34
Article 34
Ownership and protection
Ownership and protection
1.  Beneficiaries shall own the results they generate. They shall ensure that any rights of their employees or any other parties in relation to the results can be exercised in a manner compatible with the beneficiaries’ obligations in accordance with the terms and conditions laid down in the grant agreement.
1.  Beneficiaries shall own the results they generate. They shall ensure that any rights of their employees or any other parties in relation to the results can be exercised in a manner compatible with the beneficiaries’ obligations in accordance with the terms and conditions laid down in the grant agreement.
Two or more beneficiaries shall own results jointly if:
Two or more beneficiaries shall own results jointly if:
(a)  they have jointly generated them; and
(a)  they have jointly generated them; and
(b)  it is not possible to:
(b)  it is not possible to:
(i)  establish the respective contribution of each beneficiary,
(i)  establish the respective contribution of each beneficiary,
or
or
(ii)  separate them when applying for, obtaining or maintaining their protection.
(ii)  separate them when applying for, obtaining or maintaining their protection.
The joint owners shall agree in writing on the allocation and terms of exercise of their joint ownership. Unless otherwise agreed, each joint owner may grant non-exclusive licences to third parties to exploit the jointly-owned results (without any right to sub-license), if the other joint owners are given advance notice and fair and reasonable compensation. The joint owners may agree in writing to apply another regime than joint ownership.
The joint owners shall agree in writing on the allocation and terms of exercise of their joint ownership. Unless otherwise agreed in the Consortium Agreement and/or in the joint ownership agreement, each joint owner may grant non-exclusive licences to third parties to exploit the jointly-owned results (without any right to sub-license), if the other joint owners are given advance notice and fair and reasonable compensation. The joint owners may agree in writing to apply another regime than joint ownership.
2.  Beneficiaries having received Union funding shall adequately protect their results if protection is possible and justified, taking into account all relevant considerations, including the prospects for commercial exploitation. When deciding on protection, beneficiaries shall also consider the legitimate interests of the other beneficiaries in the action.
2.  Beneficiaries having received Union funding shall adequately protect their results if protection is possible and justified, taking into account all relevant considerations, including the prospects for commercial exploitation and other legitimate interests such as data protection rules, privacy, intellectual property rights and security rules, coupled with the global economic competitiveness of the Union. When deciding on protection, beneficiaries shall also consider the legitimate interests of the other beneficiaries in the action.
Amendment 95
Proposal for a regulation
Article 35
Article 35
Article 35
Exploitation and dissemination
Exploitation and dissemination
1.  Beneficiaries having received Union funding shall use their best efforts to exploit their results, in particular in the Union. Exploitation may be done directly by the beneficiaries or indirectly in particular through the transfer and licensing of results in accordance with Article 36.
1.  Beneficiaries having received Union funding shall make their best efforts to exploit their results, especially in the Union. Exploitation may be done directly by the beneficiaries or indirectly in particular through the transfer and licensing of results in accordance with Article 36.
The work programme may provide for additional exploitation obligations.
The work programme may provide for additional exploitation obligations.
If despite a beneficiary's best efforts to exploit its results directly or indirectly no exploitation takes place within a given period as identified in the grant agreement, the beneficiary shall use an appropriate online platform as identified in the grant agreement to find interested parties to exploit those results. If justified on the basis of a request of the beneficiary, this obligation may be waived.
If despite a beneficiary's best efforts to exploit its results directly or indirectly no exploitation takes place within a given period as identified in the grant agreement and as outlined in its Dissemination and Exploitation Plan, the exploitation activities may be transferred to another party upon agreement with the beneficiaries. If justified on the basis of a request of the beneficiary, this obligation may be waived.
2.  Subject to any restrictions due to the protection of intellectual property, security rules or legitimate interests, beneficiaries shall disseminate their results as soon as possible.
2.  Beneficiaries shall disseminate their results as soon as possible, in an open format, subject to any restrictions due to the protection of intellectual property, security rules or legitimate interests.
The work programme may provide for additional dissemination obligations.
The work programme may provide for additional dissemination obligations while safeguarding the Union’s economic and scientific interests.
3.  Beneficiaries shall ensure that open access to scientific publications applies under the terms and conditions laid down in the grant agreement. In particular, the beneficiaries shall ensure that they or the authors retain sufficient intellectual property rights to comply with their open access requirements.
3.  Beneficiaries shall ensure that open access to scientific publications applies under the terms and conditions laid down in the grant agreement. In particular, the beneficiaries shall ensure that they or the authors retain sufficient intellectual property rights to comply with FAIR open access requirements.
Open access to research data shall be the general rule under the terms and conditions laid down in the grant agreement, but exceptions shall apply if justified, taking into consideration the legitimate interests of the beneficiaries and any other constraints, such as data protection rules, security rules or intellectual property rights.
With regard to the dissemination of research data, the grant agreement shall, in the context of FAIR open access to and the preservation of research data, lay down terms and conditions under which fair access to such results shall be provided, ensuring opt-outs following the principle ‘as open as possible, as closed as necessary’. Exceptions shall apply if justified, taking into consideration the legitimate interests of the beneficiaries and any other constraints, such as data protection rules, privacy, confidentiality, security rules, trade secrets, legitimate commercial interests or intellectual property rights or Union’s external competitiveness.
The work programme may provide for additional obligations to adhere to open science practices.
The work programme may provide for additional incentives to adhere to open science practices.
4.  Beneficiaries shall manage all research data in accordance with the terms and conditions laid down in the grant agreement and shall establish a Data Management Plan.
4.  Beneficiaries shall manage all research data generated in a Horizon Europe action in accordance with the terms and conditions laid down in the grant agreement and shall establish a Data Management Plan.
The work programme may provide for additional obligations to use the European Open Science Cloud for storing and giving access to research data.
The work programme may further encourage the use the European Open Science Cloud for storing and giving access to research data.
5.  Beneficiaries that intend to disseminate their results shall give advance notice to the other beneficiaries in the action. Any other beneficiary may object if it can show that the intended dissemination would significantly harm its legitimate interests in relation to its results or background. In such cases, the dissemination may not take place unless appropriate steps are taken to safeguard these legitimate interests.
5.  Beneficiaries that intend to disseminate their results shall give advance notice to the other beneficiaries in the action. Any other beneficiary may object if it can show that the intended dissemination would significantly harm its legitimate interests in relation to its results or background. In such cases, the dissemination may not take place unless appropriate steps are taken to safeguard these legitimate interests.
6.  Unless the work programme provides otherwise, proposals shall include a plan for the exploitation and dissemination of the results. If the expected exploitation entails developing, creating, manufacturing and marketing a product or process, or in creating and providing a service, the plan shall include a strategy for such exploitation. If the plan provides for exploitation primarily in non-associated third countries, the legal entities shall explain how that exploitation is still in the Union interest.
6.  Unless the work programme provides otherwise, proposals shall include a plan for the exploitation and dissemination of the results. If the expected exploitation entails developing, creating, manufacturing and marketing a product or process, or in creating and providing a service, the plan shall include a strategy for such exploitation. If the plan provides for exploitation primarily in non-associated third countries, the legal entities shall justify how that exploitation is still in the Union interest.
The beneficiaries shall further develop the plan during and after the end of the action.
The beneficiaries may further develop the plan during the action, including through public engagement and science education.
7.  For the purposes of monitoring and dissemination by the Commission or funding body, the beneficiaries shall provide any requested information regarding the exploitation and dissemination of their results. Subject to the legitimate interests of the beneficiaries, such information shall be made publicly available.
7.  For the purposes of monitoring and dissemination by the Commission or funding body, the beneficiaries shall provide any necessary requested information regarding the exploitation and dissemination of their results in accordance with the grant agreement. Subject to the legitimate interests of the beneficiaries, such information shall be made publicly available.
Amendment 96
Proposal for a regulation
Article 36
Article 36
Article 36
Transfer and licensing
Transfer and licensing
1.  Beneficiaries may transfer ownership of their results. They shall ensure that their obligations also apply to the new owner and that the latter has the obligation to pass them on in any subsequent transfer.
1.  Beneficiaries may transfer ownership of their results. They shall ensure that their obligations also apply to the new owner and that the latter has the obligation to pass them on in any subsequent transfer.
2.  Unless agreed otherwise in writing for specifically-identified third parties or unless impossible under applicable law, beneficiaries that intend to transfer ownership of results shall give advance notice to any other beneficiary that still has access rights to the results. The notification must include sufficient information on the new owner to enable a beneficiary to assess the effects on its access rights.
2.  Unless agreed otherwise in writing for specifically-identified third parties and for its Affiliated Entities or unless impossible under applicable law, beneficiaries that intend to transfer ownership of results shall give advance notice to any other beneficiary that still has access rights to the results. The notification must include sufficient information on the new owner to enable a beneficiary to assess the effects on its access rights.
Unless agreed otherwise in writing for specifically-identified third parties, a beneficiary may object to the transfer if it can show that the transfer would adversely affect its access rights. In this case, the transfer may not take place until agreement has been reached between the beneficiaries concerned.
Unless agreed otherwise in writing for specifically-identified third parties and for its Affiliated Entities, a beneficiary may object to the transfer if it can show that the transfer would adversely affect its access rights. In this case, the transfer may not take place until agreement has been reached between the beneficiaries concerned. The grant agreement shall lay down time limits in this respect.
3.  Beneficiaries may grant licences to their results or otherwise give the right to exploit them, if this does not affect compliance with their obligations.
3.  Beneficiaries may grant licences to their results or otherwise give the right to exploit them, if this does not affect compliance with their obligations.
4.  Where this is justified, the grant agreement shall lay down the right to object to transfers of ownership of results, or to grants of an exclusive licence regarding results, if:
4.  Where this is justified, the grant agreement shall lay down the right for the Commission to object to transfers of ownership of results, or to grants of an exclusive licence regarding results, if:
(a)  the beneficiaries generating the results have received Union funding;
(a)  the beneficiaries generating the results have received Union funding;
(b)  the transfer or licence is to a legal entity established in a third country; and
(b)  the transfer or licence is to a legal entity established in a third country; and
(c)  the transfer or licence is not in line with Union interests.
(c)  the transfer or licence is not in line with Union interests.
Technology transfer agreements shall be promoted.
If the right to object applies, the beneficiary shall give advance notice. The right to object may be waived in writing regarding transfers or grants to specifically identified legal entities if measures safeguarding Union interests are in place.
If the right to object applies, the beneficiary shall give advance notice. The right to object may be waived in writing regarding transfers or grants to specifically identified legal entities if measures safeguarding Union interests are in place.
Amendment 97
Proposal for a regulation
Article 37
Article 37
Article 37
Access rights
Access rights
1.  The following access rights principles shall apply:
1.  The following access rights principles shall apply:
(a)  a request to exercise access rights or any waiving of access rights shall be made in writing;
(a)  a request to exercise access rights or any waiving of access rights shall be made in writing;
(b)  unless otherwise agreed with the grantor, access rights do not include the right to sub-license;
(b)  unless otherwise agreed with the grantor, access rights do not include the right to sub-license;
(c)  the beneficiaries shall inform each other before their accession to the grant agreement of any restrictions to granting access to their background;
(c)  the beneficiaries shall inform each other before their accession to the grant agreement of any restrictions to granting access to their background;
(d)  if a beneficiary is no longer involved in an action, it shall not affect its obligations to grant access;
(d)  if a beneficiary is no longer involved in an action, it shall not affect its obligations to grant access;
(e)  if a beneficiary defaults on its obligations, the beneficiaries may agree that it no longer has access rights.
(e)  if a beneficiary defaults on its obligations, the beneficiaries may agree that it no longer has access rights.
2.  Beneficiaries shall grant access to:
2.  Beneficiaries shall grant access to:
(a)  their results on a royalty-free basis to any other beneficiary in the action that needs it to implement its own tasks;
(a)  their results on a royalty-free basis to any other beneficiary in the action that needs it to implement its own tasks;
(b)  their background to any other beneficiary in the action that needs it to implement its own tasks, subject to any restrictions referred to in paragraph 1(c); that access shall be granted on a royalty-free basis, unless otherwise agreed by the beneficiaries before their accession to the grant agreement;
(b)  their background to any other beneficiary in the action that needs it to implement its own tasks, subject to any restrictions referred to in paragraph 1(c); that access shall be granted on a royalty-free basis, unless otherwise agreed by the beneficiaries before their accession to the grant agreement;
(c)  their results and, subject to any restrictions referred to in paragraph 1(c), to their background to any other beneficiary in the action that needs it to exploit its own results; that access shall be granted under fair and reasonable conditions to be agreed upon.
(c)  their results and, subject to any restrictions referred to in paragraph 1(c), to their background to any other beneficiary in the action that needs it to exploit its own results; that access shall be granted under fair and reasonable conditions to be agreed upon.
(3)  Unless otherwise agreed by the beneficiaries, they shall also grant access to their results and, subject to any restrictions referred to in paragraph 1(c), to their background to a legal entity that:
3.  Unless otherwise agreed by the beneficiaries, they shall also grant access to their results and, subject to any restrictions referred to in paragraph 1(c), to their background to a legal entity that:
(a)  is established in a Member State or associated country;
(a)  is established in a Member State or associated country;
(b)  is under the direct or indirect control of another beneficiary, or is under the same direct or indirect control as that beneficiary, or is directly or indirectly controlling that beneficiary; and
(b)  is under the direct or indirect control of another beneficiary, or is under the same direct or indirect control as that beneficiary, or is directly or indirectly controlling that beneficiary; and
(c)  needs the access to exploit the results of that beneficiary.
(c)  needs the access to exploit the results of that beneficiary.
Access shall be granted under fair and reasonable conditions to be agreed upon.
Access shall be granted under fair and reasonable conditions to be agreed upon.
4.  A request for access for exploitation purposes may be made up to one year after the end of the action, unless the beneficiaries agree on a different time-limit.
4.  A request for access for exploitation purposes may be made up to one year after the end of the action, unless the beneficiaries agree on a different time-limit.
5.  Beneficiaries having received Union funding shall grant access to their results on a royalty-free basis to the Union institutions, bodies, offices or agencies for developing, implementing and monitoring Union policies or programmes. Access shall be limited to non-commercial and non-competitive use.
5.  Beneficiaries having received Union funding shall grant access to their results on a royalty-free basis to the Union institutions, bodies, offices or agencies for developing, implementing and monitoring Union policies or programmes. Access shall be limited to non-commercial and non-competitive use taking into consideration the legitimate interests of the beneficiaries.
Such access rights shall not extend to the participants’ background.
In actions under the cluster ‘Inclusive and secure Society’, area of intervention ‘Protection and Security’, beneficiaries having received Union funding shall also grant access to their results on a royalty-free basis to Member States' national authorities, for developing, implementing and monitoring their policies or programmes in that area. Access shall be limited to non-commercial and non-competitive use and shall be granted upon bilateral agreement defining specific conditions aimed at ensuring that those rights will be used only for the intended purpose and that appropriate confidentiality obligations will be in place. The requesting Member State, Union institution, body, office or agency shall notify all Member States of such requests.
In actions under the cluster ‘Secure Society’, area of intervention ‘Protection and Security’, beneficiaries having received Union funding shall also grant access to their results on a royalty-free basis to Member States' national authorities, for developing, implementing and monitoring their policies or programmes in that area. Access shall be limited to non-commercial and non-competitive use and shall be granted upon bilateral agreement defining specific conditions aimed at ensuring that those rights will be used only for the intended purpose and that appropriate confidentiality obligations will be in place. The requesting Member State, Union institution, body, office or agency shall notify all Member States of such requests.
6.  The work programme may provide for additional access rights.
6.  The work programme may provide, where appropriate, for additional access rights.
Amendment 98
Proposal for a regulation
Article 38
Article 38
Article 38
Specific provisions on exploitation and dissemination
Specific provisions on exploitation and dissemination
Specific rules on ownership, exploitation and dissemination, transfer and licensing as well as access rights may apply for ERC actions, training and mobility actions, pre-commercial procurement actions, public procurement of innovative solutions actions, programme co-fund actions and coordination and support actions.
Specific rules on exploitation and dissemination, transfer and licensing as well as access rights may apply for ERC actions, EIT actions, training and mobility actions, pre-commercial procurement actions, public procurement of innovative solutions actions, programme co-fund actions and coordination and support actions.
These specific rules shall not change the obligations on open access.
These specific rules shall not change the obligations and principles of open access as referred to in Article 10.
Amendment 99
Proposal for a regulation
Article 39
Article 39
Article 39
Prizes
Prizes
1.  Prizes under the Programme shall be awarded and managed in accordance with Title IX of the Financial Regulation, unless otherwise specified in this Chapter.
1.  Prizes under the Programme shall be awarded and managed in accordance with Title IX of the Financial Regulation, unless otherwise specified in this Chapter.
2.  Any legal entity, regardless of its place of establishment, may participate in a contest, unless otherwise provided in the work programme or rules of contests.
2.  Any legal entity, regardless of its place of establishment, may participate in a contest, unless otherwise provided in the work programme or rules of contests.
3.  The Commission or funding body may organise prizes with:
3.  The Commission or funding body may, where appropriate, organise prizes with:
(a)  other Union bodies;
(a)  other Union bodies;
(b)  third countries, including their scientific and technological organisations or agencies;
(b)  third countries, including their scientific and technological organisations or agencies;
(c)  international organisations; or
(c)  international organisations; or
(d)  non-profit legal entities.
(d)  non-profit legal entities.
4.  The work programme or rules of contest may include obligations regarding communication, exploitation and dissemination.
4.  The work programme or rules of contest shall include obligations regarding communication, ownership, access rights, exploitation and dissemination, including licensing provisions.
Amendment 100
Proposal for a regulation
Article 42
Article 42
Article 42
Horizon Europe and EIC Blended finance
Horizon Europe and EIC Blended finance
1.  The grant and reimbursable advance components of Horizon Europe or EIC blended finance shall be subject to Articles 30 to 33.
1.  The grant and reimbursable advance components of Horizon Europe or EIC blended finance shall be subject to Articles 30 to 33.
2.  EIC blended finance shall be implemented in accordance with Article 43. The support under the EIC blended finance may be granted until the action can be financed as a blending operation or as a financing and investment operation fully covered by the EU guarantee under InvestEU. By derogation from Article 209 of the Financial Regulation, the conditions laid down in paragraph (2) and, in particular, paragraph (a) and (d), do not apply at the time of the award of EIC blended finance
2.  EIC blended finance shall be implemented in accordance with Article 43. The support under the EIC blended finance may be granted for risk projects until the action can be financed as a blending operation or as a financing and investment operation fully covered by the EU guarantee under InvestEU. By derogation from Article 209 of the Financial Regulation, the conditions laid down in paragraph (2) and, in particular, paragraph (a) and (d), do not apply at the time of the award of EIC blended finance.
3.  Horizon Europe blended finance may be awarded to a programme co-fund where a joint programme of Member States and associated countries provides for the deployment of financial instruments in support of selected actions. The evaluation and selection of such actions shall be made in accordance with Articles 19, 20, 23, 24, 25 and 26. The implementation modalities of the Horizon Europe blended finance shall comply with Article 29, by analogy Article 43(9) and with additional conditions defined by the work programme.
3.  Horizon Europe blended finance may be awarded to a programme co-fund where a joint programme of Member States and associated countries provides for the deployment of financial instruments in support of selected actions. The evaluation and selection of such actions shall be made in accordance with Articles 11, 19, 20, 24, 25, 26, 42a and 43. The implementation modalities of the Horizon Europe blended finance shall comply with Article 29, by analogy Article 43(9) and with additional and justified conditions defined by the work programme.
4.  Repayments including reimbursed advances and revenues of Horizon Europe and EIC blended finance shall be considered as internal assigned revenues in accordance with Articles 21(3)(f) and 21(4) of Financial Regulation.
4.  Repayments including reimbursed advances and revenues of Horizon Europe and EIC blended finance shall be considered as internal assigned revenues in accordance with Articles 21(3)(f) and 21(4) of Financial Regulation.
5.  Horizon Europe and EIC blended finance shall be provided in a manner that does not distort competition.
5.  Horizon Europe and EIC blended finance shall be provided in a manner that promotes the Union´s competitiveness while avoiding distortion of competition.
Amendment 101
Proposal for a regulation
Article 42 a (new)
Article 42 a
The Pathfinder
1.  The Pathfinder shall provide grants to high-risk cutting-edge projects aiming to develop the strategic autonomy of the Union into potentially radical innovative technologies of the future and new market opportunities. The Pathfinder shall initially provide support for the earliest stages of scientific and technological research and development, including proof of concept and prototypes for technology validation.
The Pathfinder shall be mainly implemented through an open call for bottom-up proposals with regular cut-off dates per year and shall also provide for competitive challenges to develop key strategic objectives1a calling for deep-tech and radical thinking. Regrouping of selected projects into thematic or objective driven portfolios will allow establishing critical mass of efforts, technological strategic autonomy at EU level and structuring new multidisciplinary research communities.
2.  The Pathfinder's Transition activities shall be implemented to help innovators develop the pathway to commercial development in the Union, such as demonstration activities and feasibility studies to assess potential business cases, and support the creation of spin offs and start-ups.
(a)  the launch and the content of the calls for proposals shall be determined with regard to objectives and budget established by the work programme in relation with the concerned portfolio of actions;
(b)  grants for a fixed amount not exceeding EUR 50 000 may be awarded without a call for proposals, only to those activities already funded under the Pathfinder to carry out urgent coordination and support actions for reinforcing the portfolio’s community of beneficiaries or assessing possible spin-offs or potential market creating-innovation.
3.  The award criteria as defined in Article 25 shall apply to the EIC Pathfinder.
__________________
1a These could include topics such as Artificial Intelligence, Quantum technologies, Biocontrol or Second generation digital twins, or any other topics identified in the context of the Horizon Europe Strategic programming (including with Member States’ networked programmes).
Amendment 102
Proposal for a regulation
Article 43
Article 43
Article 43
EIC’s Accelerator
The Accelerator
1.  The beneficiary of the EIC Accelerator shall be a legal entity qualifying as a start-up, an SME or as a mid-cap, established in a Member State or associated country. The proposal may be submitted by the beneficiary, or by one or more natural persons or legal entities intending to establish or support that beneficiary.
1.  The beneficiary of the EIC Accelerator shall be a legal entity qualifying as a start-up, scale-up, an SME or as a mid-cap, established in a Member State or associated country. The proposal may be submitted by the beneficiary, or by one or more natural persons or legal entities intending to establish or support that beneficiary.
2.  A single award decision shall cover and provide funding for all forms of Union contribution provided under EIC blended finance.
2.  A single award decision shall cover and provide funding for all forms of Union contribution provided under EIC blended finance.
3.  Proposals shall be evaluated on their individual merit by independent experts and selected in the context of an annual open call with cut-off dates, based on Articles 24 to 26, subject to paragraph 4.
3.  Proposals shall be evaluated on their individual merit by independent experts and selected in the context of an annual open call with cut-off dates, based on Articles 24 to 26, subject to paragraph 4.
4.  Award criteria shall be:
4.  Award criteria shall be:
–  excellence;
–  excellence;
–  impact;
–  impact and EU added value;
–  the level risk of the action and the need for Union support.
–  the level risk of the action and the need for Union support.
5.  With the agreement of applicants concerned, the Commission or funding bodies implementing Horizon Europe may directly submit for evaluation under the last evaluation criterion a proposal for an innovation and market deployment action which already fulfils the first two criteria, subject to the following cumulative conditions:
5.  With the agreement of applicants concerned, the Commission or funding bodies implementing Horizon Europe (including EIT and KICs) may directly submit for evaluation under the last evaluation criterion a proposal for an innovation and market deployment action especially in the Union which already fulfils the first two criteria, subject to the following cumulative conditions:
–  the proposal shall stem from any other action funded by Horizon 2020 or this Programme, or from a national programme similar to the EIC's Pathfinder and acknowledged as such by the Commission;
–  the proposal shall stem from any other action funded by Horizon 2020 or this Programme, or from a national programme and acknowledged by the Commission as meeting EIC requirements;
–  be based on a previous project review assessing the excellence and the impact of the proposal and subject to conditions and processes further detailed in the work programme.
–  be based on a previous project review assessing the excellence and the impact of the proposal and subject to conditions and processes further detailed in the work programme.
6.  A Seal of Excellence may be awarded subject to the following cumulative conditions:
6.  A Seal of Excellence may be awarded subject to the following cumulative conditions:
–  the beneficiary is a start-up or an SME,
–  the beneficiary is a start-up or an SME,
–  the proposal was eligible and has passed applicable thresholds for the first two award criteria referred to in paragraph 4,
–  the proposal was eligible and has passed applicable thresholds for the first two award criteria referred to in paragraph 4,
–  for those activities that would be eligible under an innovation action.
–  for those activities that would be eligible under an innovation action.
7.  For a proposal having passed the evaluation, independent experts shall propose a corresponding EIC blended finance, based on the risk incurred and the resources and time necessary to bring and deploy the innovation to the market.
7.  For a proposal having passed the evaluation, independent experts shall propose a corresponding EIC blended finance, based on the risk incurred and the resources and time necessary to bring and deploy the innovation to the market.
The Commission may reject a proposal retained by independent experts for justified reasons, including compliance with the objectives of Union policies.
The Commission may reject a proposal retained by independent experts for justified reasons, including non-compliance with the objectives of Union policies.
8.  The grant or the reimbursable advance component of the blended finance shall not exceed 70% of the costs of the selected innovation action.
8.  The grant or the reimbursable advance component of the blended finance shall not exceed 70% of the costs of the selected innovation action.
9.  Implementation modalities of the equity and repayable support components of the EIC blended finance shall be detailed in Decision [Specific programme].
9.  Implementation modalities of the equity and repayable support components of the EIC blended finance shall be detailed in Decision [Specific programme].
10.  The contract for the selected action shall establish specific milestones and the corresponding pre-financing and payments by instalments of the EIC blended finance.
10.  The contract for the selected action shall establish specific measurable milestones and the corresponding pre-financing and payments by instalments of the EIC blended finance.
Activities corresponding to an innovation action may be launched and first pre-financing of the grant or the reimbursable advance paid, prior to the implementation of other components of the awarded EIC blended finance. The implementation of those components shall be subject to the achievement of specific milestones established in the contract.
Activities corresponding to an innovation action may be launched and first pre-financing of the grant or the reimbursable advance paid, prior to the implementation of other components of the awarded EIC blended finance. The implementation of those components shall be subject to the achievement of specific milestones established in the contract.
11.  In accordance with the contract, the action shall be suspended, amended or terminated if milestones are not met. It may also be terminated where the expected market deployment cannot be met.
11.  In accordance with the contract, the action shall be suspended, amended or terminated if measurable milestones are not met. It may also be terminated where the expected market deployment especially in the Union cannot be met.
The Commission may decide to increase the EIC blended finance subject to a project review by external independent experts.
The Commission may decide to increase the EIC blended finance subject to a project review by external independent experts.
Amendment 103
Proposal for a regulation
Article 43 a (new)
Article 43 a
SME Incremental innovation
In addition to the instruments under the EIC, an SME specific instrument for incremental innovation shall be managed and implemented centrally, supporting mono-beneficiary grants for R&I activities in all clusters, in a bottom-up manner through a continuously open call tailored to the needs of SMEs.
Amendment 104
Proposal for a regulation
Article 44
Article 44
Article 44
Appointment of external experts
Appointment of independent external experts
1.  By derogation from Article 237(3) of the Financial Regulation, external experts may be selected without a call for expressions of interest, if justified and the selection is carried out in a transparent manner.
1.  By derogation from Article 237(3) of the Financial Regulation, independent external experts may exceptionally be selected without a call for expressions of interest, only if a call for expressions of interest has not identified suitable external experts. Any selection of external experts without a call for expressions of interest shall be duly justified and the selection shall be carried out in a transparent manner. Such experts shall need to prove their independence and capacity to support Horizon Europe objectives.
1 a.  Independent external experts shall be chosen on the basis of their skills, experience and knowledge appropriate for carrying out the task assigned to them. When appointing independent external experts the Commission or the Union funding body shall seek balanced representation and composition within the expert group and evaluation panels in terms of specialisation, geographical background, gender and type of organisation they represent.
2.  In accordance with Article 237(2) and 237(3) of the Financial Regulation, external experts shall be remunerated based on standard conditions. If justified, an appropriate level of remuneration beyond the standard conditions based on relevant market standards, especially for specific high level experts, may be granted.
2.  In accordance with Article 237(2) and 237(3) of the Financial Regulation, independent external experts shall be remunerated based on standard conditions.
3.  In addition to paragraphs 2 and 3 of Article 38 of the Financial Regulation, the names of external experts evaluating grant applications, who are appointed in a personal capacity shall be published, together with their area of expertise, at least once a year on the internet site of the Commission or the funding body. Such information shall be collected, processed and published in accordance with the EU data protection rules.
3.  In addition to paragraphs 2 and 3 of Article 38 of the Financial Regulation, the names of independent external experts evaluating grant applications, who are appointed in a personal capacity shall be published, together with their area of expertise, at least once a year on the internet site of the Commission or the funding body. Such information shall be collected, processed and published in accordance with the EU data protection rules.
3 a.  The Commission or the relevant funding body shall ensure that an expert faced with a conflict of interest in relation to a matter on which the expert is required to provide an opinion does not evaluate, advise or assist on the specific matter in question.
3 b.  An adequate number of independent experts shall be ensured for each call in order to guarantee the quality of the evaluation.
3 c.  The level of remuneration of all independent and external experts shall be reported annually to the European Parliament and the Council. It shall be covered by the administrative expenses of the Programme.
Amendment 105
Proposal for a regulation
Article 45
Article 45
Article 45
Monitoring and reporting
Monitoring and reporting
1.  The Commission shall monitor on an annual basis the implementation of Horizon Europe, its specific programme and the activities of the EIT. The annual monitoring reports shall include:
1.  Indicators to report on progress of the Programme towards the achievement of the objectives established in Article 3 are set in Annex V along impact pathways.
(i)   the indicators towards the achievement of the objectives established in Article 3 and set in Annex V along impact pathways;
(ii)  information on the implementation of the principles of funding and cross-cutting issues established in particular in Article 6a, such as the level of mainstreaming social sciences and humanities, the ratio between lower and higher TRLs in collaborative research, widening countries participation, the list of widening countries updated in the work programmes, the progress on reducing the RDI divide, the geographical coverage in collaborative projects, researchers salaries, the use of two stage submission and evaluation procedure, the use of the evaluation review and the level of complaints, the level of climate mainstreaming and related expenditures, SME participation, including comparing with national similar SME specific instruments, private sector participation, progress on gender equality, the Seals of Excellence, the private-public partnerships as well as the leverage effect on additional private and public funding, the complementary and cumulative funding from other Union funds, in particular synergies with programmes referred to in Annex IV, the use of research infrastructures supported by other Union funding programmes, the fast-track to research and innovation, the level and impact of international cooperation also as regards the reciprocity principle, engagement of citizens’ and civil society participation both at national and Union level;
(iii)  the levels of expenditure per areas of intervention as referred to in Annex I and cross-cutting issues in the Programme and the EIT in order to allow for portfolio analysis, and in order to enhance transparency this data shall also be made publicly available in an accessible manner on the Commission's webpage according to the latest update;
(iv)  the level of oversubscription, in particular the number of proposals per budget line and per intervention areas, their average score, the share of proposals above and below thresholds.
2.  The Commission is empowered to adopt delegated acts in accordance with Article 50 concerning amendments to Annex V to supplement or amend the impact pathway indicators, where considered necessary, and set baselines and targets.
2.  The Commission is empowered to adopt delegated acts in accordance with Article 50 concerning amendments to Annex V to supplement or amend the impact pathway indicators, where considered necessary, and set baselines and targets.
3.  The performance reporting system shall ensure that data for monitoring programme implementation and results are collected efficiently, effectively and in a timely manner. To that end, proportionate reporting requirements shall be imposed on recipients of Union funds and (where relevant) Member States.
3.  The performance reporting system shall ensure that data for monitoring programme implementation and results are collected efficiently, effectively and in a timely manner without increasing the administrative burden for beneficiaries. In particular, data for projects funded under ERC, European Partnerships, missions, EIC and EIT shall be included in the same database than actions funded directly under the Programme (i.e. E-corda database).
3 a.  Qualitative analysis from the Commission and Union or national funding bodies shall complement as much as possible quantitative data.
Amendment 106
Proposal for a regulation
Article 46
Article 46
Article 46
Information, communication, publicity and dissemination and exploitation
Information, communication, publicity and dissemination and exploitation
1.  The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results) by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public.
1.  The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results, including for prizes) by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public.
2.  The Commission shall implement information and communication actions relating to the Programme, and its actions and results. Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union, as far as they are related to the objectives referred to in Article 3.
2.  The Commission shall implement information and communication actions relating to the Programme and its actions and results. In particular, it shall provide timely and thorough information to Member States and beneficiaries.
3.  The Commission shall also establish a dissemination and exploitation strategy for increasing the availability and diffusion of the Programme’s research and innovation results and knowledge to accelerate exploitation towards market uptake and boost the impact of the Programme. Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union as well as information, communication, publicity, dissemination and exploitation activities as far as they are related to the objectives referred to in Article 3.
3.  The Commission shall also establish a dissemination and exploitation strategy for increasing the availability and diffusion of the Programme’s research and innovation results and knowledge to accelerate exploitation towards market uptake especially within the Union and boost the impact of the Programme. Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union as well as information, communication, publicity, dissemination and exploitation activities as far as they are related to the objectives referred to in Article 3.
Amendment 107
Proposal for a regulation
Article 47
Article 47
Article 47
Programme evaluation
Programme evaluation
1.  Programme evaluations shall be carried out in a timely manner to feed into the decision-making process on the programme, its successor and other initiatives relevant to research and innovation.
1.  Programme evaluations shall be carried out in a timely manner and made public in order to feed into the decision-making process on the programme, its successor and other initiatives relevant to research and innovation.
1 a.  Missions shall be fully evaluated by 31 December 2022 before any decision is taken on creating new missions or on redirection, termination, continuation of missions or on an increase of their budget. The results of the evaluation of missions shall be made public and shall include, but not limited to, the analysis of their selection process and of their governance, focus and performance.
2.  The interim evaluation of the Programme shall be carried out once there is sufficient information available about the implementation of the Programme, but no later than four years after the start of the programme implementation. It shall include an assessment of the long-term impact of previous Framework Programmes and shall form the basis to adjust programme implementation, as appropriate.
2.  The interim evaluation of the Programme shall be carried out once there is sufficient information available about the implementation of the Programme, but no later than three years after the start of the programme implementation. It shall include a portfolio analysis and an assessment of the long-term impact of previous Framework Programmes and shall form the basis to adjust programme implementation and/or review the programme, as appropriate. It shall assess the Programme’s effectiveness, efficiency, relevance, coherence, leverage effect, complementarity with other Union and national RDI funding programmes and Union added value. In particular, the impact of transferred funds from other Union programmes shall be assessed.
3.  At the end of the implementation of the Programme, but no later than four years after the end of the period specified in Article 1, a final evaluation of the Programme shall be completed by the Commission. It shall include an assessment of the long-term impact of previous Framework Programmes.
3.  At the end of the implementation of the Programme, but no later than three years after the end of the period specified in Article 1, a final evaluation of the Programme shall be completed by the Commission. It shall include an assessment of the long-term impact of previous Framework Programmes.
4.  The Commission shall communicate the conclusions of the evaluations accompanied by its observations, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
4.  The Commission shall publish and disseminate the results and conclusions of the evaluations accompanied by its observations and shall present them to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
Amendment 108
Proposal for a regulation
Article 48
Article 48
Article 48
Audits
Audits
1.  The control system for the Programme shall ensure an appropriate balance between trust and control, taking into account administrative and other costs of controls at all levels, especially for beneficiaries.
1.  The control system for the Programme shall ensure an appropriate balance between trust and control, taking into account administrative and other costs of controls at all levels, especially for beneficiaries. Audit rules shall be clear, consistent and coherent throughout the Programme.
2.  The audit strategy for the Programme shall be based on the financial audit of a representative sample of expenditure across the Programme as a whole. The representative sample shall be complemented by a selection based on an assessment of the risks related to expenditure. Actions that receive joint funding from different Union programmes shall be audited only once, covering all involved programmes and their respective applicable rules.
2.  The audit strategy for the Programme shall be based on the financial audit of a representative sample of expenditure across the Programme as a whole. The representative sample shall be complemented by a selection based on an assessment of the risks related to expenditure. Actions that receive joint funding from different Union programmes shall be audited only once, covering all involved programmes and their respective applicable rules.
3.  In addition, the Commission or funding body may rely on combined systems reviews at beneficiary level. These combined reviews shall be optional for certain types of beneficiaries and shall consist in a systems and process audit, complemented by an audit of transactions, carried out by a competent independent auditor qualified to carry out statutory audits of accounting documents in accordance with Directive 2006/43/EC34 . They may be used by the Commission or funding body to determine overall assurance on the sound financial management of expenditure and for reconsideration of the level of ex-post audits and certificates on financial statements.
3.  In addition, the Commission or funding body may rely on combined systems reviews at beneficiary level. These combined reviews shall be optional for certain types of beneficiaries and shall consist in a systems and process audit, complemented by an audit of transactions, carried out by a competent independent auditor qualified to carry out statutory audits of accounting documents in accordance with Directive 2006/43/EC34. They may be used by the Commission or funding body to determine overall assurance on the sound financial management of expenditure and for reconsideration of eligibility of costs claimed and of the level of ex-post audits and certificates on financial statements.
4.  In accordance with Article 127 of the Financial Regulation, the Commission or funding body may rely on audits on the use of Union contributions carried out by other persons or entities, including by other than those mandated by the Union Institutions or bodies.
4.  In accordance with Article 127 of the Financial Regulation, the Commission or funding body shall rely on audits on the use of Union contributions carried out by other certified persons or entities, including by other than those mandated by the Union Institutions or bodies.
5.  Audits may be carried out up to two years after the payment of the balance.
5.  Audits may be carried out up to two years after the end date of the project.
5 a.  The Commission shall publish audit guidelines elaborated in cooperation with the European Court of Auditors. Auditors shall ensure the transparency of the audit they have conducted, as well as a reliable and uniform interpretation of audit rules throughout the duration of the Programme, in order to ensure legal certainty.
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34 Directive 2006/43/EC of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts, amending Council Directive 78/660/EEC and 83/349/EEC and repealing Council Directive 84/253/EEC (OJ L 157, 9.6.2006, p. 87)
34 Directive 2006/43/EC of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts, amending Council Directive 78/660/EEC and 83/349/EEC and repealing Council Directive 84/253/EEC (OJ L 157, 9.6.2006, p. 87)
Amendment 109
Proposal for a regulation
Annex I – point 1 – introductory part
(1)  Pillar I 'Open Science'
(1)  Pillar I 'Excellent and Open Science'
Amendment 110
Proposal for a regulation
Annex I – point 1 – paragraph 1 – point a – introductory part
(a)  European Research Council: Providing attractive and flexible funding to enable talented and creative individual researchers and their teams to pursue the most promising avenues at the frontier of science, on the basis of Union-wide competition.
(a)  European Research Council: Providing attractive and flexible funding to enable talented and creative individual researchers, with an emphasis on young researchers, and their teams to pursue the most promising avenues at the frontier of science, on the basis of Union-wide competition.
Amendment 111
Proposal for a regulation
Annex I – point 1 – paragraph 1 – point b – introductory part
(b)  Marie Skłodowska-Curie Actions: Equipping researchers with new knowledge and skills through mobility and exposure across borders, sectors and disciplines, as well as structuring and improving institutional and national recruitment, training and career development systems; in so doing, the Marie Skłodowska-Curie Actions help to lay the foundations of Europe's excellent research landscape, contributing to boosting jobs, growth, and investment, and solving current and future societal challenges.
(b)  Marie Skłodowska-Curie Actions: Equipping researchers with new knowledge and skills through mobility and exposure across borders, sectors and disciplines, as well as structuring and improving institutional and national recruitment, training and career development systems; in so doing, the Marie Skłodowska-Curie Actions help to lay the foundations of Europe's excellent research landscape across the whole Europe, contributing to boosting jobs, growth, and investment, and solving current and future societal challenges.
Amendment 112
Proposal for a regulation
Annex I – point 1 – paragraph 1 – point b – paragraph 1
Areas of intervention: Nurturing excellence through mobility of researchers across borders, sectors and disciplines; fostering new skills through excellent training of researchers; strengthening human capital and skills development across the European Research Area; improving and facilitating synergies; promoting public outreach.
Areas of intervention: Nurturing excellence through mobility of researchers across borders, sectors and disciplines; fostering new skills through excellent training of researchers; strengthening human resources and skills development across the European Research Area; improving and facilitating synergies; promoting public outreach.
Amendment 113
Proposal for a regulation
Annex I – point 2 – introductory part
(2)  Pillar II 'Global Challenges and industrial competitiveness'
(2)  Pillar II 'Global Challenges and European industrial competitiveness'
Amendment 114
Proposal for a regulation
Annex I – point 2 – paragraph 2
To maximise impact flexibility and synergies, research and innovation activities will be organised in five clusters, which individually and together will incentivise interdisciplinary, cross-sectoral, cross-policy, cross-border and international cooperation.
To maximise impact flexibility and synergies, research and innovation activities will be organised in six clusters, interconnected through pan-European research infrastructures, which individually and together will incentivise interdisciplinary, cross-sectoral, cross-policy, cross-border and international cooperation. The six clusters will also support innovation of individual SMEs in a bottom-up manner through grants.
Amendment 115
Proposal for a regulation
Annex I – point 2 – paragraph 4 – point a – introductory part
(a)  Cluster 'Health': Improving and protecting the health of citizens at all ages, by developing innovative solutions to prevent, diagnose, monitor, treat and cure diseases; mitigating health risks, protecting populations and promoting good health; making public health systems more cost-effective, equitable and sustainable; and supporting and enabling patients' participation and self-management.
(a)  Cluster 'Health': Improving and protecting the health of citizens at all ages, by developing innovative solutions to prevent, diagnose, monitor, treat and cure diseases and developing health technologies; mitigating health risks, protecting populations and promoting good health; making public health systems more cost-effective, equitable and sustainable; and supporting and enabling patients' participation and self-management.
Amendment 116
Proposal for a regulation
Annex I – point 2 – paragraph 4 – point b – introductory part
(b)  Cluster 'Inclusive and secure society': Strengthening European democratic values, including rule of law and fundamental rights, safeguarding our cultural heritage, and promoting socio-economic transformations that contribute to inclusion and growth, while responding to the challenges arising from persistent security threats, including cybercrime, as well as natural and man-made disasters.
(b)  Cluster 'Inclusive and creative society': Strengthening European democratic values, including rule of law and fundamental rights, safeguarding our cultural heritage, exploring the potential of cultural and creative sectors, and promoting socio-economic transformations that contribute to inclusion and growth, including migration management and integration of migrants.
Amendment 117
Proposal for a regulation
Annex I – point 2 – paragraph 4 – point b – paragraph 1
Areas of intervention: Democracy; Cultural heritage; Social and economic transformations; Disaster-resilient societies; Protection and Security; Cybersecurity
Areas of intervention: Democracy; Culture and creativity; Social, cultural and economic transformations; social sciences and humanities.
Amendment 118
Proposal for a regulation
Annex I – point 2 – paragraph 4 – point c – paragraph 1
Areas of intervention: Manufacturing technologies; Digital technologies; Advanced materials; Artificial intelligence and robotics; Next generation internet; High performance computing and Big Data; Circular industries; Low carbon and clean industry; Space
Areas of intervention: Manufacturing technologies; Digital technologies; Advanced materials; Artificial intelligence and robotics; Next generation internet; Quantum technologies; High performance computing and Big Data; Circular industries; Low carbon and clean industry; Space
Amendment 119
Proposal for a regulation
Annex I – point 2 – paragraph 4 – point c a (new)
(c a)  Cluster 'Secure Society': responding to the challenges arising from persistent security threats, including cybercrime, as well as natural and man-made disasters.
Areas of intervention: Organised crime; terrorism, extremism, radicalisation and ideologically motivated violence; Border protection management; Cyber-Security, privacy, data protection; Protecting critical infrastructures and improving disaster response; Piracy and counterfeit of products; Supporting the Union's external security policies, including through conflict prevention and peace-building; Promoting coordination, cooperation and synergies.
Amendment 120
Proposal for a regulation
Annex I – point 2 – paragraph 4 – point d – introductory part
(d)  Cluster 'Climate, Energy and Mobility': Fighting climate change by better understanding its causes, evolution, risks, impacts and opportunities, and by making the energy and transport sectors more climate and environment-friendly, more efficient and competitive, smarter, safer and more resilient.
(d)  Cluster 'Climate, Energy and Mobility': Fighting climate change by better understanding its causes, evolution, risks, impacts and opportunities, and by making the energy and transport sectors more climate and environment-friendly, more efficient and competitive, smarter, safer and more resilient; promote the use of renewable energy sources and behavioural change.
Amendment 121
Proposal for a regulation
Annex I – point 2 – paragraph 4 – point d – paragraph 1
Areas of intervention: Climate science and solutions; Energy supply; Energy systems and grids; Buildings and industrial facilities in energy transition; Communities and cities; Industrial competitiveness in transport; Clean transport and mobility; Smart mobility; Energy storage.
Areas of intervention: Climate science and solutions; Energy supply; Energy systems and grids; Buildings in energy transition; Industrial facilities in the energy transition; Coal regions in transition; Communities and cities; Industrial competitiveness in transport; Clean transport and mobility; Smart mobility; Energy storage,
Amendment 122
Proposal for a regulation
Annex I – point 2 – paragraph 4 – point e – introductory part
(e)  Cluster 'Food and natural resources': Protecting, restoring, sustainably managing and using natural and biological resources from land and sea to address food and nutrition security and the transition to a low carbon, resource efficient circular economy.
(e)  Cluster 'Food, Natural Resources and Agriculture': Protecting, restoring, sustainably managing and using natural and biological resources from land, inland waters and sea to address food and nutrition security and the transition to a low carbon, resource efficient circular economy.
Amendment 123
Proposal for a regulation
Annex I – point 2 – paragraph 4 – point e – paragraph 1
Areas of intervention: Environmental observation; Biodiversity and natural capital; Agriculture, forestry and rural areas; Sea and oceans; Food systems; Bio-based innovation systems; Circular systems
Areas of intervention: Environmental observation; Biodiversity and natural capital; Agriculture, forestry and rural areas; Seas, oceans, inland waters and the Blue Economy; Food systems; Bio-based innovation systems; Circular systems
Amendment 124
Proposal for a regulation
Annex I – point 2 – paragraph 4 – point f – paragraph 1
Areas of intervention: Health; resilience and security; digital and industry; climate, energy and mobility; food and natural resources; support to the functioning of the internal market and the economic governance of the Union; support to Member States with implementation of legislation and development of smart specialisation strategies; analytical tools and methods for policy making; knowledge management; knowledge and technology transfer; support to science for policy platforms.
Areas of intervention: Health; Inclusive and creative society; Secure society; digital, industry and space; climate, energy and mobility; food and natural resources; support to the functioning of the internal market and the economic governance of the Union; support to Member States with implementation of legislation and development of smart specialisation strategies; analytical tools and methods for policy making; knowledge management; knowledge and technology transfer; support to science for policy platforms.
Amendment 125
Proposal for a regulation
Annex I – point 3 – introductory part
(3)  Pillar III 'Open Innovation'
(3)  Pillar III 'Innovative Europe'
Amendment 126
Proposal for a regulation
Annex I – point 3 – paragraph 1 – introductory part
Through the following activities, this pillar will, in line with Article 4, foster all forms of innovation, including breakthrough innovation, and strengthen market deployment of innovative solutions. It will also contribute to the Programme's other specific objectives as described in Article 3.
Through the following activities, this pillar will, in line with Article 4, foster all forms of innovation, including breakthrough technological and social innovation, and strengthen market deployment of innovative solutions, in particular by start-ups and SMEs working together with research institutions. It will also contribute to the Programme's other specific objectives as described in Article 3.
Amendment 127
Proposal for a regulation
Annex I – point 4 – paragraph 1
Through the following activities, this part will, in line with Article 4, optimise the Programme's delivery for increased impact within a strengthened European Research Area. It will also support the Programme's other specific objectives as described in Article 3. While underpinning the entire Programme, this part will support activities that contribute to a more knowledge-based and innovative and gender-equal Europe, at the front edge of global competition, thereby optimising national strengths and potential across Europe in a well-performing European Research Area (ERA), where knowledge and a highly skilled workforce circulate freely, where the outcomes of R&I are understood and trusted by informed citizens and benefit society as a whole, and where EU policy, notably R&I policy, is based on high quality scientific evidence.
Through the following activities, this part will, in line with Article 4, optimise the Programme's delivery for increased impact and attractiveness within a strengthened European Research Area. It will also support the Programme's other specific objectives as described in Article 3. While underpinning the entire Programme, this part will support activities that contribute to attract talent in the Union and tackle brain drain. It will also contribute to a more knowledge-based and innovative and gender-equal Europe, at the front edge of global competition, thereby optimising national strengths and potential across the whole of Europe in a well-performing European Research Area (ERA), where knowledge and a highly skilled workforce circulate freely in a balanced manner, where the outcomes of R&I are understood and trusted by informed citizens and benefit society as a whole, and where EU policy, notably R&I policy, is based on high quality scientific evidence.
Amendment 128
Proposal for a regulation
Annex I – point 4 – paragraph 2
Areas of intervention: Sharing Excellence; Reforming and enhancing the European R&I system.
Areas of intervention: Spreading excellence and widening participation through teaming, twinning, ERA-Chairs initiatives, COST, Excellence initiatives and widening fellowships; Reforming and enhancing the European R&I system.
Amendment 129
Proposal for a regulation
Annex II – paragraph 2 – indent 1
–  Research and innovation action: action primarily consisting of activities aiming to establish new knowledge and/or to explore the feasibility of a new or improved technology, product, process, service or solution. This may include basic and applied research, technology development and integration, testing and validation on a small-scale prototype in a laboratory or simulated environment;
–  Research and innovation action: action primarily consisting of activities aiming to establish new knowledge and/or to explore the feasibility of a new or improved technology, product, process, service or solution. This may include basic and applied research, technology development and integration, testing and validation on a small-scale prototype in a laboratory or simulated environment. The Fast Track to Research and Innovation logic will be applied for a selected number of collaborative research and innovation actions;
Amendment 130
Proposal for a regulation
Annex II – paragraph 2 – indent 6
–  Programme co-fund action: action to provide co-funding to a programme of activities established and/or implemented by entities managing and/or funding research and innovation programmes, other than Union funding bodies. Such a programme of activities may support networking and coordination, research, innovation, pilot actions, and innovation and market deployment actions, training and mobility actions, awareness raising and communication, dissemination and exploitation, or a combination thereof, directly implemented by those entities or by third parties to whom they may provide any relevant financial support such as grants, prizes, procurement, as well as Horizon Europe blended finance;
–  Programme co-fund action: action to provide co-funding to a programme of activities established and/or implemented by entities managing and/or funding research and innovation programmes, other than Union funding bodies. Such a programme of activities may support interconnection, networking and coordination, research, innovation, pilot actions, and innovation and market deployment actions, training and mobility actions, awareness raising and communication, dissemination and exploitation, or a combination thereof, directly implemented by those entities or by third parties to whom they may provide any relevant financial support such as grants, prizes, procurement, as well as Horizon Europe blended finance;
Amendment 131
Proposal for a regulation
Annex III – paragraph 1 – point 1 – point a – introductory part
(a)  Evidence that the European Partnership is more effective in achieving the related objectives of the Programme, in particular in delivering clear impacts for the EU and its citizens, notably in view of delivering on global challenges and research and innovation objectives, securing EU competitiveness and contributing to the strengthening of the European Research and Innovation Area and international commitments;
(a)  Evidence that the European Partnership is more effective in achieving the related objectives of the Programme, in particular in delivering clear impacts for throughout the Union and for its citizens, notably in view of delivering on global challenges and research and innovation objectives, securing EU competitiveness, sustainability and contributing to the strengthening of the European Research and Innovation Area and international commitments;
Amendment 132
Proposal for a regulation
Annex III – paragraph 1 – point 1 – point b
(b)  Coherence and synergies of the European Partnership within the EU research and innovation landscape;
(b)  Coherence and synergies of the European Partnerships within the EU research and innovation landscape, including national and regional strategies;
Amendment 133
Proposal for a regulation
Annex III – paragraph 1 – point 1 – point c
(c)  Transparency and openness of the European Partnership as regards the identification of priorities and objectives, and the involvement of partners and stakeholders from different sectors, including international ones when relevant;
(c)  Transparency and openness of the European Partnerships as regards the identification of priorities and objectives, as well as their governance, and the involvement of partners, and stakeholders from different sectors and backgrounds, including international ones when relevant.
Amendment 134
Proposal for a regulation
Annex III – paragraph 1 – point 1 – point d – indent 1
–  identification of measurable expected outcomes, deliverables and impacts within specific timeframes, including key economic value for Europe;
–  identification of measurable expected outcomes, deliverables and impacts within specific timeframes, including key economic value for the EU;
Amendment 135
Proposal for a regulation
Annex III – paragraph 1 – point 1 – point d – indent 2
–  demonstration of expected qualitative and quantitative leverage effects;
–  demonstration of strong expected qualitative and quantitative leverage effects;
Amendment 136
Proposal for a regulation
Annex III – paragraph 1 – point 1 – point d – indent 3
–  approaches to ensure flexibility of implementation and to adjust to changing policy or market needs, or scientific advances;
–  approaches to ensure flexibility of implementation and to adjust to changing policy, societal and/or market needs, or scientific advances;
Amendment 137
Proposal for a regulation
Annex III – paragraph 1 – point 1 – point e – paragraph 1
In the case of institutionalised European Partnerships, the financial and/or in-kind, contributions from partners other than the Union, will at least be equal to 50% and may reach up to 75% of the aggregated European Partnership budgetary commitments. For each institutionalised European Partnership, a share of the contributions from partners other than the Union will be in the form of financial contributions.
In the case of institutionalised European Partnerships, the financial and/or in-kind, contributions from partners other than the Union, will at least be equal to 50% in case of partnerships between the Union and private partners, and may reach up to 75%, in case of partnerships involving also Member States, of the aggregated European Partnership budgetary commitments.
Amendment 138
Proposal for a regulation
Annex III – paragraph 1 – point 1 – point e a (new)
(e a)  In agreement with regional authorities, ERDF shall be accepted as a partial national contribution for Programme co-funding of actions involving Member States.
Amendment 139
Proposal for a regulation
Annex III – paragraph 1 – point 2 – point c
(c)  Coordination and/or joint activities with other relevant research and innovation initiatives ensuring effective synergies;
(c)  Coordination and/or joint activities with other relevant research and innovation initiatives to secure optimum level of interconnections and ensure effective synergies;
Amendment 140
Proposal for a regulation
Annex III – paragraph 1 – point 2 – point d
(d)  Legally binding commitments, in particular for financial contributions, from each partner throughout the lifetime of the initiative;
(d)  Legally binding commitments, in particular for in kind and/or financial contributions, from each partner throughout the lifetime of the initiative;
Amendment 141
Proposal for a regulation
Annex III – paragraph 1 – point 3 – point a
(a)  A monitoring system in line with the requirements set out in Article 45 to track progress towards specific policy goals/objectives, deliverables and key performance indicators allowing for an assessment over time of achievements, impacts and potential needs for corrective measures;
(a)  A monitoring system in line with the requirements set out in Article 45 to track progress towards programme-specific policy goals/objectives, deliverables and key performance indicators allowing for an assessment over time of achievements, impacts and potential needs for corrective measures;
Amendment 142
Proposal for a regulation
Annex III – paragraph 1 – point 4 – point b
(b)  Appropriate measures ensuring phasing-out according to the agreed conditions and timeline, without prejudice to possible continued transnational funding by national or other Union programmes.
(b)  In the absence of renewal, appropriate measures ensuring phasing-out according to the agreed timeline and conditions agreed with the legally committed partners, without prejudice to possible continued transnational funding by national or other Union programmes, and without prejudice to private investment and ongoing projects.
Amendment 143
Proposal for a regulation
Annex IV – point 1 – point b
(b)  the CAP makes the best use of research and innovation results and promotes the use, implementation and deployment of innovative solutions, including those stemming from projects funded by the Framework Programmes for research and innovation and from the European Innovation Partnership "agricultural productivity and sustainability";
(b)  the CAP makes the best use of research and innovation results and promotes the use, implementation and deployment of innovative solutions, including those stemming from projects funded by the Framework Programmes for research and innovation, from the European Innovation Partnership "agricultural productivity and sustainability" and relevant EIT Knowledge and Innovation Communities (KICs);
Amendment 144
Proposal for a regulation
Annex IV – point 2 – point b
(b)  the EMFF supports the rolling out of novel technologies and innovative products, processes and services, in particular those resulting from the Programme in the fields of marine and maritime policy; the EMFF also promotes ground data collection and data processing and disseminates relevant actions supported under the Programme, which in turn contributes to the implementation of the Common Fisheries Policy, the EU Maritime Policy and International Ocean Governance.
(b)  the EMFF supports the rolling out of novel technologies and innovative products, processes and services, in particular those resulting from the Programme in the fields of marine and maritime policy; the EMFF also promotes ground data collection and data processing and disseminates relevant actions supported under the Programme, which in turn contributes to the implementation of the Common Fisheries Policy, the EU Maritime Policy, International Ocean Governance and International commitments.
Amendment 145
Proposal for a regulation
Annex IV – point 3 – point a
(a)  arrangements for combined funding from ERDF and Programme are used to support activities providing a bridge between smart specialisations strategies and international excellence in research and innovation, including joint trans-regional/trans-national programmes and pan European Research Infrastructures, with the aim of strengthening the European Research Area;
(a)  arrangements for combined funding from ERDF and Horizon Europe are used to support activities providing a bridge between regional Operational Programmes, smart specialisations strategies and international excellence in research and innovation, including joint trans-regional/trans-national programmes and pan European Research Infrastructures, with the aim of strengthening the European Research Area;
Amendment 146
Proposal for a regulation
Annex IV – point 3 – point a a (new)
(a a)  ERDF funds can be transferred on a voluntary basis to support activities under the Programme, in particular the Seal of excellence;
Amendment 147
Proposal for a regulation
Annex IV – point 3 – point b a (new)
(b a)  existing regional ecosystems, platform networks and regional strategies are enhanced;
Amendment 148
Proposal for a regulation
Annex IV – point 4 – point b
(b)  arrangements for complementary funding from ESF+ can be used to support activities promoting human capital development in research and innovation with the aim of strengthening the European Research Area;
(b)  arrangements for complementary funding from ESF+ can be used on a voluntary basis to support activities of the Programme that promote human capital development in research and innovation with the aim of strengthening the European Research Area;
Amendment 149
Proposal for a regulation
Annex IV – point 6 – point b
(b)  research and innovation needs related to digital aspects are identified and established in the Programme's strategic research and innovation plans; this includes research and innovation for High Performance Computing, Artificial Intelligence, Cybersecurity, combining digital with other enabling technologies and non-technological innovations; support for the scale-up of companies introducing breakthrough innovations (many of which will combine digital and physical technologies; the integration of digital across all the pillar 'Global Challenges and Industrial Competitiveness'; and the support to digital research infrastructures;
(b)  research and innovation needs related to digital aspects are identified and established in the Programme's strategic research and innovation plans; this includes research and innovation for High Performance Computing, Artificial Intelligence, Cybersecurity, Distributed Ledger Technologies, Quantum Technologies combining digital with other enabling technologies and non-technological innovations; support for the scale-up of companies introducing breakthrough innovations (many of which will combine digital and physical technologies; the integration of digital across all the pillar 'Global Challenges and European Industrial Competitiveness'; and the support to digital research infrastructures;
Amendment 150
Proposal for a regulation
Annex IV – point 6 – point c
(c)  DEP focuses on large-scale digital capacity and infrastructure building in High Performance Computing, Artificial Intelligence, Cybersecurity and advanced digital skills aiming at wide uptake and deployment across Europe of critical existing or tested innovative digital solutions within an EU framework in areas of public interest (such as health, public administration, justice and education) or market failure (such as the digitisation of businesses, notably small and medium enterprises); DEP is mainly implemented through coordinated and strategic investments with Member States, notably through joint public procurement, in digital capacities to be shared across Europe and in EU-wide actions that support interoperability and standardisation as part of developing a Digital Single Market;
(c)  DEP focuses on large-scale digital capacity and infrastructure building in High Performance Computing, Artificial Intelligence, Cybersecurity, Distributed Ledger Technologies, Quantum Technologies and advanced digital skills aiming at wide uptake and deployment across Europe of critical existing or tested innovative digital solutions within an EU framework in areas of public interest (such as health, public administration, justice and education) or market failure (such as the digitisation of businesses, notably small and medium enterprises); DEP is mainly implemented through coordinated and strategic investments with Member States, notably through joint public procurement, in digital capacities to be shared across Europe and in EU-wide actions that support interoperability and standardisation as part of developing a Digital Single Market;
Amendment 151
Proposal for a regulation
Annex IV – point 6 – point f
(f)  the Programme's initiatives for the development of skills and competencies curricula, including those delivered at the co-location centres of the European Institute of Innovation and Technology's KIC-Digital, are complemented by Digital Europe-supported capacity-building in advanced digital skills;
(f)  the Programme's initiatives for the development of skills and competencies curricula, including those delivered at the co-location centres of the European Institute of Innovation and Technology Knowledge and Innovation Communities, are complemented by Digital Europe-supported capacity-building in advanced digital skills;
Amendment 152
Proposal for a regulation
Annex IV – point 7 – point a
(a)  the Single Market Programme addresses the market failures which affect all SMEs, and will promote entrepreneurship and the creation and growth of companies. Full complementarity exists between the Single Market Programme and the actions of the future European Innovation Council for innovative companies, as well as in the area of support services for SMEs, in particular where the market does not provide viable financing;
(a)  the Single Market Programme addresses the market failures which affect all SMEs, and will promote entrepreneurship and the creation and growth of companies. Full complementarity exists between the Single Market Programme and the actions of both the EIT and the future European Innovation Council for innovative companies, as well as in the area of support services for SMEs, in particular where the market does not provide viable financing;
Amendment 153
Proposal for a regulation
Annex IV – point 7 – point b
(b)  the Enterprise Europe Network may serve, as other existing SME support structures (e.g. National Contact Points, Innovation Agencies), to deliver support services under the European Innovation Council.
(b)  the Enterprise Europe Network may serve, as other existing SME support structures (e.g. National Contact Points, Innovation Agencies, DIH, Competence Centres, certified incubators), to deliver support services under the Horizon Europe programme, including the European Innovation Council.
Amendment 154
Proposal for a regulation
Annex IV – point 8 – paragraph 1
Research and innovation needs to tackle environmental, climate and energy challenges within the EU are identified and established during the Programme’s strategic research and innovation planning process. LIFE will continue to act as a catalyst for implementing EU environment, climate and relevant energy policy and legislation, including by taking up and applying research and innovation results from the Programme and help deploying them at national and (inter-)regional scale where it can help address environmental, climate or clean energy transition issues. In particular LIFE will continue to incentivise synergies with the Programme through the award of a bonus during the evaluation for proposals which feature the uptake of results from the Programme. LIFE standard action projects will support the development, testing or demonstration of suitable technologies or methodologies for implementation of EU environment and climate policy, which can subsequently be deployed at large scale, funded by other sources, including by the Programme. The Programme’s European Innovation Council can provide support to scale up and commercialise new breakthrough ideas that may result from the implementation of LIFE projects.
Research and innovation needs to tackle environmental, climate and energy challenges within the EU are identified and established during the Programme’s strategic research and innovation planning process. LIFE will continue to act as a catalyst for implementing EU environment, climate and relevant energy policy and legislation, including by taking up and applying research and innovation results from the Programme and help deploying them at national and (inter-)regional scale where it can help address environmental, climate or clean energy transition issues. In particular LIFE will continue to incentivise synergies with the Programme through the award of a bonus during the evaluation for proposals which feature the uptake of results from the Programme. LIFE standard action projects will support the development, testing or demonstration of suitable technologies or methodologies for implementation of EU environment and climate policy, which can subsequently be deployed at large scale, funded by other sources, including by the Programme. The Programme’s EIT as well as the future European Innovation Council can provide support to scale up and commercialise new breakthrough ideas that may result from the implementation of LIFE projects.
Amendment 155
Proposal for a regulation
Annex IV – point 9 – point a
(a)  combined resources from the Programme and the Erasmus Programme are used to support activities dedicated to strengthening and modernising European higher education institutions. The Programme will complement Erasmus programme support for the European Universities initiative, in particular its research dimension as part of developing new joint and integrated long term and sustainable strategies on education, research and innovation based on trans-disciplinary and cross-sectoral approaches to make the knowledge triangle a reality, providing impetus to economic growth;
(a)  combined resources from the Programme and the Erasmus Programme are used to support activities dedicated to strengthening and modernising European higher education institutions. The Programme will complement Erasmus programme support for the European Universities initiative, in particular its research dimension as part of developing new joint and integrated long term and sustainable strategies on education, research and innovation based on trans-disciplinary and cross-sectoral approaches to make the knowledge triangle a reality, providing impetus to economic growth; the EIT’s educational activities could be both inspirational to and interlinked with the European Universities initiative.
Amendment 156
Proposal for a regulation
Annex IV – point 13 – point b
(b)  financial instruments for research and innovation and SMEs are grouped together under the InvestEU Fund, in particular through a dedicated R&I thematic window, and through products deployed under the SME window targeting innovative companies, in this way also helping to deliver the objectives of the Programme.
(b)  financial instruments for research and innovation and SMEs are grouped together under the InvestEU Fund, in particular through a dedicated R&I thematic window, and through products deployed under the SME window targeting innovative companies, in this way also helping to deliver the objectives of the Programme. Strong complementary links will be established between InvestEU and Horizon Europe.
Amendment 157
Proposal for a regulation
Annex IV – point 14 – point a
(a)  the Innovation Fund will specifically target innovation in low-carbon technologies and processes, including environmentally safe carbon capture and utilisation that contributes substantially to mitigate climate change, as well as products substituting carbon intensive ones, and to help stimulate the construction and operation of projects that aim at the environmentally safe capture and geological storage of CO2 as well as innovative renewable energy and energy storage technologies;
(a)  the Innovation Fund will specifically target innovation in low-carbon technologies and processes, including environmentally safe carbon capture and utilisation that contributes substantially to mitigate climate change, as well as products substituting carbon intensive ones, and to help stimulate the construction and operation of projects that aim at the environmentally safe capture and geological storage of CO2 as well as innovative renewable energy and energy storage technologies; An appropriate framework will be created to enable and to incentivise “greener” products with a sustainable added value for the customers/end-users.
Amendment 158
Proposal for a regulation
Annex IV – point 14 – point b
(b)  the Programme will fund the development and demonstration of technologies that can deliver on EU decarbonisation, energy and industrial transformation objectives, especially in its Pillar 2;
(b)  the Programme will fund the development, demonstration and implementation of technologies, including breakthrough solutions, that can deliver on a low-carbon economy and the Union’s decarbonisation, energy and industrial transformation objectives, especially in its Pillar 2 and through the EIT;
Amendment 159
Proposal for a regulation
Annex IV – point 14 – point c
(c)  the Innovation Fund may, subject to fulfilment of its selection and award criteria, support the demonstration phase of eligible projects that may have received the support from the Framework Programmes for research and innovation .
(c)  the Innovation Fund may, subject to fulfilment of its selection and award criteria, support the demonstration phase of eligible projects. Projects receiving support from the Innovation Fund may be eligible for support from the Framework Programmes for research and innovation and vice versa. To complement Horizon Europe, the Innovation Fund may concentrate on close-to-the-market innovations contributing to a significant and fast reduction of CO2 emissions. Strong complementary links will be established between the Innovation Fund and Horizon Europe.
Amendment 160
Proposal for a regulation
Annex IV – point 16
16.  Synergies with the European Defence Fund will benefit civil and defence research. Unnecessary duplication will be excluded.
16.  Potential synergies with the European Defence Fund will contribute to avoiding duplication.
Amendment 161
Proposal for a regulation
Annex IV – point 16 a (new)
16 a.  Synergies with Creative Europe will support competitiveness and innovation, contributing to economic and social growth and promoting the effective use of public funds.
Amendment 162
Proposal for a regulation
Annex IV – point 16 b (new)
16 b.  Synergies with any Important Projects of Common European Interest (IPCEI) may be envisaged.
Amendment 163
Proposal for a regulation
Annex V – paragraph 1
Impact pathways, and related key impact pathway indicators, shall structure the monitoring of the Framework Programme’s (FP) performance towards its objectives. The impact pathways are time-sensitive: they distinguish between the short, medium and long term. Impact pathway indicators serve as proxies to report on the progress made towards each type of Research and Innovation (R&I) impact at the FP-level. Individual Programme parts will contribute to these indicators to a different degree and through different mechanisms. Additional indicators may be used to monitor individual programme parts, where relevant.
Impact pathways, and related key impact pathway indicators, shall structure the monitoring of the Framework Programme’s (FP) performance towards its objectives as referred to in Article 3. The impact pathways are time-sensitive and reflect four complementary impact categories reflecting the non-linear nature of R&I investments: scientific, societal, economic and European Research Area. For each of these impact categories, proxy indicators will be used to track progress distinguishing between the short, medium and longer terms, with a relevant breakdown, and distinguishing between Member States and associated countries. Individual Programme parts will contribute to these indicators to a different degree and through different mechanisms. Additional indicators may be used to monitor individual programme parts, where relevant.
Amendment 164
Proposal for a regulation
Annex V – paragraph 2
The micro-data behind the key impact pathway indicators will be collected for all parts of the Programme and all delivery mechanisms in a centrally managed and harmonised way and at the appropriate level of granularity with minimal reporting burden on the beneficiaries.
The micro-data behind the key impact pathway indicators will be collected for all parts of the Programme and all delivery mechanisms in a centrally managed and harmonised way and at the appropriate level of granularity, with minimal reporting burden on the beneficiaries. Empirical evidence and indicators must be accompanied as much as possible by a qualitative analysis.
Amendment 165
Proposal for a regulation
Annex V – paragraph 4
The Programme is expected to have societal impact by addressing EU policy priorities through R&I, delivering benefits and impact through R&I missions and strengthening the uptake of innovation in society. Progress towards this impact will be monitored through proxy indicators set along the following four key impact pathways.
The Programme is expected to have societal impact by addressing the global challenges as identified in Pillar II including UN SDGs as well as EU policy priorities and commitments through R&I, delivering benefits and impact through R&I missions and strengthening the uptake of innovation in society ultimately contributing to people’s well-being. Progress towards this impact will be monitored through proxy indicators set along the following four key impact pathways.
Amendment 166
Proposal for a regulation
Annex V – table 2

Text proposed by the Commission

 

 

Towards societal impact

Short-term

Medium-term

Longer-term

 

Addressing EU policy priorities through R&I

Outputs -

Number and share of outputs aimed at addressing specific EU policy priorities

Solutions -

Number and share of innovations and scientific results addressing specific EU policy priorities

Benefits -

Aggregated estimated effects from use of FP-funded results, on tackling specific EU policy priorities, including contribution to the policy and law-making cycle

 

Delivering benefits and impact through R&I missions

R&I mission outputs -

Outputs in specific R&I missions

R&I mission results -

Results in specific R&I missions

R&I mission targets met -

Targets achieved in specific R&I missions

 

Strengthening the uptake of innovation in society

Co-creation -

Number and share of FP projects where EU citizens and end-users contribute to the co-creation of R&I content

Engagement -

Number and share of FP beneficiary entities with citizen and end-users engagement mechanisms after FP project

Societal R&I uptake

Uptake and outreach of FP co-created scientific results and innovative solutions

Amendment

 

 

Towards societal impact

Short-term

Medium-term

Longer-term

 

Addressing Horizon Europe objectives and EU policy priorities through R&I

Outputs -

Number and share of outputs aimed at addressing specific Horizon Europe objectives and EU policy priorities

Solutions -

Number and share of innovations and scientific results addressing specific Horizon Europe objectives and EU policy priorities

Benefits -

Aggregated estimated effects from use of FP-funded results, on tackling specific Horizon Europe objectives and EU policy priorities, contribution to the policy and law-making cycle

 

Delivering benefits and impact through R&I missions and Partnerships

R&I mission outputs -

Outputs in specific R&I missions and Partnerships

R&I mission results -

Results in specific R&I missions and Partnerships

R&I mission targets met -

Targets achieved in specific R&I missions and Partnerships

 

Fulfilling the Union’s climate commitment

Projects and outputs -

Number and share of projects and outputs that are climate-relevant (by missions, partnerships and budget lines of the Programme)

Innovations from climate-relevant FP project -

Number of innovations from FP projects that are climate-relevant, including from awarded IPRs

Societal and economic impact of climate-relevant projects -

Aggregated estimated effects from use of FP-funded results, on delivering EU’s long term climate and energy commitments under the Paris Agreement

Economic, societal and environmental costs and benefits of climate-relevant projects

- Uptake of innovative climate mitigation and adaptation solutions deriving from FP projects

- Aggregated estimated effects from the use of these solutions on jobs and company creation, economic growth, clean energy, health and well-being (including air, soil and water quality)

 

Strengthening the uptake of R&I in society, in MS

Co-creation -

Number and share of FP projects where EU citizens and end-users contribute to the co-creation of R&I content

Engagement -

Number and share of FP beneficiary entities with citizen and end-users engagement mechanisms after FP project

Societal R&I uptake

Access, uptake and outreach of FP scientific results and innovative solutions

Amendment 167
Proposal for a regulation
Annex V – paragraph 5
The Programme is expected to have economic/innovation impact by influencing the creation and growth of companies, creating direct and indirect jobs, and by leveraging investments for research and innovation. Progress towards this impact will be monitored through proxy indicators set along the following three key impact pathways.
The Programme is expected to have economic/innovation impact especially within the Union by influencing the creation and growth of companies, especially SMEs, creating direct and indirect jobs especially within the Union, and by leveraging investments for research and innovation. Progress towards this impact will be monitored through proxy indicators set along the following three key impact pathways.
Amendment 168
Proposal for a regulation
Annex V – table 3

Text proposed by the Commission

 

 

Towards economic / innovation impact

Short-term

Medium-term

Longer-term

 

Generating innovation-based growth

Innovative outputs -

Number of innovative products, processes or methods from FP (by type of innovation) & Intellectual Property Rights (IPR) applications

Innovations -

Number of innovations from FP projects (by type of innovation) including from awarded IPRs

Economic growth -

Creation, growth & market shares of companies having developed FP innovations

 

Creating more and better jobs

Supported employment -

Number of FTE jobs created, and jobs maintained in beneficiary entities for the FP project (by type of job)

Sustained employment -

Increase of FTE jobs in beneficiary entities following FP project (by type of job)

Total employment

Number of direct & indirect jobs created or maintained due to diffusion of FP results (by type of job)

 

Leveraging investments in R&I

Co-investment -

Amount of public & private investment mobilised with the initial FP investment

Scaling-up -

Amount of public & private investment mobilised to exploit or scale-up FP results

Contribution to ‘3% target’ -

EU progress towards 3% GDP target due to FP

Amendment

 

 

Towards economic / innovation impact

Short-term

Medium-term

Longer-term

 

Generating innovation-based growth in the Union

Innovative outputs -

Number of innovative products, processes or methods from FP (by type of innovation) & Intellectual Property Rights (IPR) applications in all participating countries

Innovations -

Number of innovations from FP projects (by type of innovation and by country) including from awarded IPRs

SMEs

SMEs introducing product or process innovations thanks to FP funding as % of FP-funded SMEs

Norms and standards

Number of norms and standards resulting from FP projects developed within the EU

Economic growth -

Creation, growth & market shares of companies having developed FP innovations within and outside the Union

 

Adressing the Union gap between R&D activities and the market

Exploitation of RDI results

Share of FP results leading to commercial exploitation within or outside the Union, depending on the sector concerned

Analysis of exploitation within or outside the Union

Reasons of (former) FP participants to exploit R&D outside of the Union

 

Creating more and better jobs

Supported employment -

For each participating country, number of FTE jobs created, and jobs maintained in beneficiary entities for the FP project (by type of job)

Sustained employment -

For each participating country, increase of FTE jobs in beneficiary entities following FP project (by type of job)

Total employment

- Number of direct & indirect jobs created or maintained or transferred in the Union due to diffusion of FP results (by type of job)

- Number of direct and indirect jobs created in knowledge-intensive sectors per participating country

 

Leveraging investments in R&I

Co-investment -

Amount of public & private investment mobilised with the initial FP investment

Scaling-up -

Amount of public & private investment mobilised to exploit or scale-up FP results

Contribution to ‘3% target’ -

EU progress towards 3% GDP target due to FP

Amendment 169
Proposal for a regulation
Annex V – subheading 4 a (new)
Impact pathway indicators for the European Research Area
Amendment 170
Proposal for a regulation
Annex V – table 3 a (new)

Text proposed by the Commission

 

Amendment

 

 

Towards impact for the ERA

Short-term

Medium-term

Longer-term

 

Attracting and retaining talents in the Union

FP-funded mobility

Incoming and outgoing mobilities or researchers and innovators, within and outside the Union, per country

FP funded internationalisation

- evolution and share foreign researchers and innovators based in all ERA countries

- Evolution of connectivity and networking activities of research institutions, including public-private connections

Attractive R&I systems

—  Foreign investments in innovative activities in the Union

- Number of patents in participating countries

—  Licences revenues from abroad

 

Spreading excellence and widening participation

Participation in FP

Share of coordinators and participants from widening countries per part of the Programme and per instruments,

- Share of evaluators and governance boards’ members including from widening countries and low-performing R&I regions

Creation and modernisation of pockets of excellence

Excellent R&I ecosystems, including low-performing R&I regions becoming hubs and drivers of change within their own country

 

R&I divide

Geographical concentration

- Success rates

- Utilisation of Union-funded research infrastructures in all ERA countries

Strategic planning of EU funding programmes

Synergies and interactions between FP and Smart Specialisation Strategies

Enhancing national R&I systems

- Increase of high-quality and independent competitive research funding and career evaluation systems

- Increase in private and in national public spending for R&I

(1) The matter was referred back for interinstitutional negotiations to the committee responsible, pursuant to Rule 59(4), fourth subparagraph (A8-0401/2018).


Programme implementing Horizon Europe***I
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Amendments adopted by the European Parliament on 12 December 2018 on the proposal for a decision of the European Parliament and of the Council on establishing the specific programme implementing Horizon Europe - the Framework Programme for Research and Innovation (COM(2018)0436 – C8-0253/2018 – 2018/0225(COD))(1)
P8_TA(2018)0510A8-0410/2018

(Ordinary legislative procedure: first reading)

Text proposed by the Commission   Amendment
Amendment 1
Proposal for a decision
Citation 5 a (new)
Having regard to the European Parliament’s report on the assessment of Horizon 2020 implementation in view of its interim evaluation and the 9th Framework Programme proposal,
Amendment 2
Proposal for a decision
Recital 3
(3)  In order to ensure uniform conditions for the implementation of the Specific Programme, implementing powers should be conferred on the Commission to adopt work programmes for the implementation of the Specific Programme. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council4 .
(3)  In order to ensure uniform conditions for the implementation of the Specific Programme, the Commission should be conferred delegated powers to adopt Strategic R&I Plans as well as implementing powers should be conferred on the Commission to adopt work programmes for the implementation of the Specific Programme. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council4.
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4 Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13)
4 Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission's exercise of implementing powers (OJ L 55, 28.2.2011, p. 13)
Amendment 3
Proposal for a decision
Recital 5
(5)  Reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Specific Programme will contribute to mainstream climate actions and to the achievement of an overall target of 25 % of the EU budget expenditures supporting climate objectives. Actions under this Specific Programme are expected to contribute 35% of the overall financial envelope of the Specific Programme to climate objectives. Relevant actions will be identified during the Specific Programme's preparation and implementation, and reassessed in the context of the relevant evaluations and review processes.
(5)  Reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Specific Programme will contribute to mainstream climate actions and to the achievement of an overall target of 25 % of the EU budget expenditures supporting climate objectives. Actions under this Specific Programme are expected to contribute at least 35% of the overall financial envelope of the Specific Programme to EU climate objectives and commitments, where appropriate. Relevant actions will be identified during the Specific Programme's preparation and implementation, monitored, reported, and reassessed in the context of the relevant evaluations and review processes.
Amendment 4
Proposal for a decision
Recital 6
(6)  The Specific Programme's actions should be used to address market failures or sub-optimal investment situations, in a proportionate manner, without duplicating or crowding out private financing and have a clear European added value.
(6)  The Specific Programme's actions should be used to reinforce, widen and extend the excellence of the Union's scientific and technological base, tackle major global challenges, increase the Union's industrial leadership, improve quality of life in the Union as well as boost investment, address market failures or sub-optimal investment situations , leveraging additional funding rather than crowding out private financing.
Amendment 5
Proposal for a decision
Recital 6 a (new)
(6 a)  Gender equality is an EU policy priority and a key societal challenge (UN SDG5). Furthermore, the goal of gender equality in society is a crucial driver for the social and industrial transformations required by other SDGs. Gender aspects thus should be appropriately integrated throughout the Programme and specific gender research should be also required to support the implementation and design of better EU gender equality policies.
Amendment 6
Proposal for a decision
Recital 6 b (new)
(6b)  The Specific Programme should be implemented in a transparent, participatory and strategic way seeking involvement of stakeholders and civil society. Stakeholder representation and civil society involvement should be balanced, representing various backgrounds.
Amendment 7
Proposal for a decision
Recital 7
(7)  Reflecting the important contribution that research and innovation should make to address challenges in food, agriculture, rural development and the bioeconomy, and to seize the corresponding research and innovation opportunities in close synergy with Common Agricultural Policy, relevant actions under the Specific Programme will be supported with EUR 10 billion for the cluster 'Food and Natural Resources' for the period 2021-2027.
(7)  Reflecting the important contribution that research and innovation should make to address challenges in food, agriculture, rural development and the bioeconomy, to make them more sustainable and to seize the corresponding research and innovation opportunities in close synergy with Common Agricultural Policy, relevant actions under the Specific Programme will be supported in a dedicated cluster 'Food, Natural Resources and Agriculture' for the period 2021-2027.
Amendment 8
Proposal for a decision
Recital 7 a (new)
(7 a)  The European cultural and creative sectors build bridges between arts, culture, business and technology. Cultural heritage is an integral part of European cohesion and supports the link between tradition and innovation. Preserving cultural heritage and developing creative solutions, in particular in the field of digitalisation, will be a priority of Programme.
Amendment 9
Proposal for a decision
Recital 8
(8)  The completion of the Digital Single Market and the growing opportunities from the convergence of digital and physical technologies requires a stepping up of investments. Horizon Europe will contribute to these efforts with a substantial increase of spending in main digital research and innovation activities compared to the Research and Innovation Framework Programme Horizon 20206 . This should ensure that Europe remains at the forefront of global research and innovation in the digital field.
(8)  The completion of the Digital Single Market and the growing opportunities from the convergence of digital and physical technologies requires a stepping up of investments. Horizon Europe will contribute to these efforts with a dedicated cluster to ensure that Europe remains at the forefront of global research and innovation in the digital field.
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6 The Communication from the Commission "A new, modern Multiannual Financial Framework for a European Union that deliver efficiently on its priorities post-2020" identifies EUR 13 billion spent in main digital activities under the Research and Innovation Framework Programme Horizon 2020 (https://eur-lex.europa.eu/legal-content/en/ALL/?uri=CELEX%3A52018DC0098).
Amendment 10
Proposal for a decision
Recital 8 a (new)
(8a)  Reflecting the importance to communicate better and to a wider audience the added value and the impact of EU actions, the Commission should increase its efforts towards the visibility of Horizon Europe. Similarly, beneficiaries should ensure to give visibility to their achievements from EU funding.
Amendment 11
Proposal for a decision
Recital 9
(9)  The types of financing and the methods of implementation under this Decision shall be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance. For grants, this shall include consideration of the use of lump sums, flat rates and scales of unit costs.
deleted
Amendment 12
Proposal for a decision
Article 2
Article 2
Article 2
Operational objectives
Operational objectives
1.  The Specific Programme shall contribute to the general and specific objectives set out in Article 3 of Regulation … FP/RfP Regulation
1.  The Specific Programme shall contribute to the general and specific objectives set out in Article 3 of Regulation … FP/RfP Regulation
2.  The Specific Programme has the following operational objectives:
2.  The Specific Programme has the following operational objectives:
(a)  reinforcing and spreading excellence;
(a)  strengthening and widening Europe’s scientific and technological base, reinforcing and spreading excellence;
(b)  increasing collaboration across sectors and disciplines;
(b)  increasing collaboration across sectors and disciplines;
(c)  connecting and developing research infrastructures across the European research area;
(c)  connecting, developing and facilitating wide access, including virtually, to research infrastructures across the European Research Area;
(d)  strengthening international cooperation;
(d)  strengthening international cooperation in S&T to support the Union's excellence;
(e)  attracting, training and retaining researchers and innovators in the European Research Area, including through mobility of researchers;
(e)  attracting, training and retaining EU and international researchers and innovators, including through mobility of researchers, with the aim of establishing the European Research Area as the world's most excellent and competitive;
(f)  fostering open science and ensuring visibility to the public and open access to results;
(f)  fostering open science and open access to results;
(g)  actively disseminating and exploiting results, in particular for policy development;
(g)  actively disseminating and exploiting results, in particular for policy development;
(h)  supporting the implementation of Union policy priorities;
(h)  supporting the implementation of Union policy goals and priorities;
(i)  reinforcing the link between research and innovation and other policies, including Sustainable Development Goals;
(i)  reinforcing the link between research, innovation, education, and other policies, including the Sustainable Development Goals and Paris Agreement;
(j)  delivering, through R&I missions, on ambitious goals within a set timeframe;
(j)  delivering, through R&I missions, on ambitious goals within a set timeframe;
(k)  involving citizens and end-users in co-design and co-creation processes;
(k)  involving relevant R&I stakeholders, including citizens, academia, research organisations and industry, in the co-design and co-creation processes;
(l)  improving science communication.
(l)  improving science communication;
(m)  accelerating industrial transformation;
(m)  driving the EU’s industrial transformation to unlock the potential of Europe’s strategic sectors, such as Key Enabling Technologies;
(n)  improving skills for innovation;
(n)  improving skills through training and fostering creativity for research and innovation;
(o)  stimulating the creation and scale-up of innovative companies, in particular SMEs;
(o)  stimulating the creation and scale-up of innovative companies, in particular start-ups and SMEs;
(p)  improving access to risk finance, in particular where the market does not provide viable financing.
(p)  improving access to risk finance, including through synergies with InvestEU, in particular where the market does not provide viable financing;
(p a)  strengthening gender mainstreaming and the integration of the gender dimension in research and innovation;
(p b)  maximising scientific, technological, societal and economic impact.
3.  Within the objectives referred to in paragraph 2, account may be taken of new and unforeseen needs that arise during the period of implementation of the Specific Programme. That may, if duly justified, include responses to emerging opportunities, crises and threats, as well as responses to needs relating to the development of new Union policies.
3.  Within the objectives referred to in paragraph 2, account may be taken of new and unforeseen needs that arise during the period of implementation of the Specific Programme. That may, if duly justified, include responses to emerging opportunities, crises and threats, as well as responses to needs relating to the development of new Union policies.
Amendment 13
Proposal for a decision
Article 3
Article 3
Article 3
Structure
Structure
1.  In accordance with Article 4(1) of Regulation … FP/RfP Regulation, the Specific Programme shall consist of the following parts:
1.  In accordance with Article 4(1) of Regulation … FP/RfP Regulation, the Specific Programme shall consist of the following parts:
(1)  Pillar I 'Open Science' with the following components:
(1)  Pillar I 'Excellent and Open Science' with the following components:
(a)  the European Research Council (ERC), as described in Annex I, Pillar I, section 1;
(a)  the European Research Council (ERC), as described in Annex I, Pillar I, section 1;
(b)  Marie Skłodowska-Curie actions (MSCA), as described in Annex I, Pillar I, section 2;
(b)  Marie Skłodowska-Curie actions (MSCA), as described in Annex I, Pillar I, section 2;
(c)  research infrastructures, as described in Annex I, Pillar I, section 3;
(c)  research infrastructures, as described in Annex I, Pillar I, section 3;
(2)  Pillar II 'Global Challenges and Industrial Competitiveness' with the following components:
(2)  Pillar II 'Global Challenges and European Industrial Competitiveness'; including a monobeneficiary, grant-based SME instrument as described in Article 43a of the Regulation and Annex I of the Specific Programme:
(a)  cluster 'Health', as described in Annex I, Pillar II, section 1;
(a)  cluster 'Health', as described in Annex I, Pillar II, section 1;
(b)  cluster 'Inclusive and Secure Society', as described in Annex I, Pillar II, section 2;
(b)  cluster 'Inclusive and Creative Society', as described in Annex I, Pillar II, section 2;
(b a)  cluster ‘Secure Society’
(c)  cluster 'Digital and Industry', as described in Annex I, Pillar II, section 3;
(c)  cluster 'Digital, Industry and Space', as described in Annex I, Pillar II, section 3;
(d)  cluster 'Climate, Energy and Mobility', as described in Annex I, Pillar II, section 4;
(d)  cluster 'Climate, Energy and Mobility', as described in Annex I, Pillar II, section 4;
(e)  cluster Food and Natural Resources', as described in Annex I, Pillar II, section 5;
(e)  cluster Food, Natural Resources and Agriculture, as described in Annex I, Pillar II, section 5;
(f)  non-nuclear direct actions of the Joint Research Centre (JRC), as described in Annex I, Pillar II, section 6;
(f)  non-nuclear direct actions of the Joint Research Centre (JRC), as described in Annex I, Pillar II, section 6;
(3)  Pillar III 'Open Innovation' with the following components:
(3)  Pillar III ‘Innovative Europe’ with the following components:
(a)  the European Innovation Council (EIC), as described in Annex I, Pillar III, section 1;
(a)  the European Innovation Council (EIC), as described in Annex I, Pillar III, section 1; including European innovation ecosystems, as described in Annex I, Pillar III, section 2;
(b)  European innovation ecosystems, as described in Annex I, Pillar III, section 2;
deleted
(c)   the European Institute of Innovation and Technology (EIT), as described in Annex I, Pillar III, section 3.
(b)   the European Institute of Innovation and Technology (EIT), as described in Annex I, Pillar III, section 3;
(4)  Part 'Strengthening the European Research Area' with the following components:
(4)  Part 'Strengthening the European Research Area' with the following components:
(a)  sharing excellence, as described in Annex I, Part 'Strengthening the European Research Area', section 1;
(a)  spreading excellence and widening participation, as described in Annex I, Part 'Strengthening the European Research Area', section 1;
(b)  reforming and enhancing the European R&I system, as described in Annex I, Part 'Strengthening the European Research Area', section 2.
(b)  reforming and enhancing the European R&I system, as described in Annex I, Part 'Strengthening the European Research Area', section 2.
2.  The activities to be carried out under the parts referred to in paragraph 1 are set out in Annex I.
2.  The activities to be carried out under the parts referred to in paragraph 1 are set out in Annex I.
Amendment 14
Proposal for a decision
Article 4
Article 4
Article 4
Budget
Budget
1.  In accordance with Article 9(1)of Regulation … FP/RfP Regulation, the financial envelope for the implementation of the Specific Programme for the period 2021 to 2027 shall be EUR 94 100 000 000 in current prices.
1.  In accordance with Article 9(1)of Regulation … FP/RfP Regulation, the financial envelope for the implementation of the Specific Programme for the period 2021 to 2027 shall be 120 000 000 000 in 2018 prices.
2.  The amount referred to in paragraph 1 of this Article shall be distributed among the components set out in Article 3(1) of this Decision in accordance with Article 9(2) of Regulation … FP/RfP Regulation. The arrangements of Article 9(3) to (8) of Regulation … FP/RfP Regulation shall apply.
2.  The amount referred to in paragraph 1 of this Article shall be distributed among the components set out in Article 3(1) of this Decision in accordance with Article 9(2) of Regulation … FP/RfP Regulation. The arrangements of Article 9(3) to (8) of Regulation … FP/RfP Regulation shall apply.
Amendment 15
Proposal for a decision
Article 5
Article 5
Article 5
Missions
Missions
1.  For each mission, a mission board may be established. It shall be composed of around 15 high level individuals including relevant end-users' representatives. The mission board shall advise upon the following:
1.  For each mission, a mission board shall be established for co-designing and steering implementation. It shall be composed of 15 to 20 independent high level individuals including R&I representatives from various sectors and disciplines, academia, research and technology organisations, industry of all sizes, national, regional authorities and civil society organisations. The members of the mission board shall be appointed by the Commission following an independent and transparent procedure, including an open call for expressions of interest. The mission board shall advise on the following:
(a)  content of work programmes and their revision as needed for achieving the mission objectives, in co-design with stakeholders and the public where relevant;
(a)  content of relevant work programmes and their revision as needed for achieving the mission objectives;
(b)  adjustment actions, or termination if appropriate, based on implementation assessments of the mission;
(b)  adjustment actions, or termination if appropriate, based on implementation assessments of the mission;
(c)  selection of expert evaluators, briefing of expert evaluators and evaluation criteria and their weighting;
(c)  selection of expert evaluators, prevention of conflict of interest of expert evaluators, briefing of expert evaluators and evaluation criteria and their weighting in addition to the standard criteria, namely “excellence; impact; and quality and efficiency of the implementation”;
(d)  framework conditions which help achieve the objectives of the mission;
(d)  framework conditions which help achieve the objectives of the mission in line with Union priorities;
(e)  communication.
(e)  communication.
(e a)  clear and measurable mission targets and possible outcomes;
(e b)  evaluation of social impact and business potential of the mission;
2.  Specific provisions to enable an efficient and flexible portfolio approach may be set out in the work programme provided for in Article 11.
2.  Specific provisions to enable an efficient and flexible portfolio approach shall be set out in the work programme provided for in Article 11.
2 a.  The content of the missions, details on the implementation, including their scope, indicators, measurable targets and milestones, estimated budget and synergies with other Union funds and links with European Partnerships shall be laid down in Strategic R&I Plans, as outlined in Annex I of this Decision.
2 b.  Missions shall be implemented through open calls within the work programmes of the relevant clusters, calling for project proposals which are contributing to the mission and which are situated in one or more of the intervention areas of the clusters.
Amendment 16
Proposal for a decision
Article 6
Article 6
Article 6
European Research Council
European Research Council
1.  The Commission shall establish a European Research Council ("ERC"), for implementing the actions under Pillar I 'Open Science' which relate to the ERC. The ERC shall succeed the ERC set up by Decision C(2013)18957 .
1.  The Commission shall establish a European Research Council ("ERC"), for implementing the actions under Pillar I ' 'Excellent and Open Science' which relate to the ERC. The ERC shall succeed the ERC set up by Decision C(2013)18957 .
2.  The ERC shall be composed of the independent Scientific Council provided for in Article 7 and the dedicated implementation structure provided for in Article 8.
2.  The ERC shall be composed of the independent Scientific Council provided for in Article 7 and the dedicated implementation structure provided for in Article 8.
3.  The ERC shall have a President who shall be chosen from among senior and internationally respected scientists.
3.  The ERC shall have a President who shall be chosen from among senior and internationally respected scientists.
The President shall be appointed by the Commission following a transparent recruitment process involving an independent dedicated search committee, for a term of office limited to four years, renewable once. The recruitment process and the candidate selected shall have the approval of the Scientific Council.
The President shall be appointed by the Commission following a transparent recruitment process involving an independent dedicated search committee, for a term of office limited to four years, renewable once. The recruitment process and the candidate selected shall have the approval of the Scientific Council.
The President shall chair the Scientific Council and shall ensure its leadership and liaison with the dedicated implementation structure, and represent it in the world of science.
The President shall chair the Scientific Council and shall ensure its leadership and liaison with the dedicated implementation structure, and represent it in the world of science.
4.  The ERC shall operate according to the principles of scientific excellence, autonomy, efficiency, effectiveness, transparency and accountability. It shall ensure continuity with ERC actions conducted under Decision …/EC.
4.  The ERC shall operate according to the principles of scientific excellence, autonomy, efficiency, effectiveness, transparency and accountability. It shall ensure continuity with ERC actions conducted under Decision …/EC.
5.  The activities of the ERC shall support research carried out across all fields by individual and transnational teams in competition at the European level.
5.  The activities of the ERC shall support research carried out across all fields by individual and transnational teams in competition at the European level. Support to innovation, i.e via the Proof of Concept scheme, should continue in order to encourage faster translation of new discoveries into commercial or socially valuable products, processes, and services. To contribute to this, excellent ERC applicants who have passed the threshold but could not be funded due to lack of resources are eligible to the proof of concept.
5 a.  A seal of excellence shall be awarded to a beneficiary of the ERC proof of concept, if the proposal is eligible, has passed applicable thresholds and could not be funded.
6.  The Commission shall act as the guarantor of the autonomy and integrity of the ERC and shall ensure the proper execution of the tasks entrusted to it.
6.  The Commission shall act as the guarantor of the autonomy and integrity of the ERC and shall ensure the proper execution of the tasks entrusted to it.
The Commission shall ensure that the implementation of the ERC actions is in accordance with the principles set out in paragraph 4 of this Article as well as with the overall strategy for the ERC, referred to in point (a) of Article 7(2), established by the Scientific Council.
The Commission shall ensure that the implementation of the ERC actions is in accordance with the principles set out in paragraph 4 of this Article as well as with the overall strategy for the ERC, referred to in point (a) of Article 7(2), established by the Scientific Council.
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7 OJ C 373, 20.12.2013, p. 23
7 OJ C 373, 20.12.2013, p. 23
Amendment 17
Proposal for a decision
Article 7
Article 7
Article 7
ERC Scientific Council
ERC Scientific Council
1.  The Scientific Council shall be composed of scientists, engineers and scholars of the highest repute and appropriate expertise, of both women and men in different age groups, ensuring a diversity of research areas and acting in their personal capacity, independent of extraneous interests.
1.  The Scientific Council shall be composed of scientists, engineers and scholars of the highest repute and appropriate expertise ensuring a diversity of research areas and acting in their personal capacity, independent of extraneous interests.
The members of the Scientific Council shall be appointed by the Commission, following an independent and transparent procedure for their identification agreed with the Scientific Council, including a consultation of the scientific community and a report to the European Parliament and the Council.
The members of the Scientific Council shall be appointed by the Commission, following an independent and transparent procedure for their identification agreed with the Scientific Council, including a consultation of the scientific community and a report to the European Parliament and the Council.
Their term of office shall be limited to four years, renewable once, on the basis of a rotating system which shall ensure the continuity of the work of the Scientific Council.
Their term of office shall be limited to four years, renewable once, on the basis of a rotating system which shall ensure the continuity of the work of the Scientific Council.
2.  The Scientific Council shall establish:
2.  The Scientific Council shall establish:
(a)  the overall strategy for the ERC;
(a)  the overall strategy for the ERC;
(b)  the work programme for the implementation of the ERC activities;
(b)  the work programme for the implementation of the ERC activities;
(c)  the methods and procedures for peer review and proposal evaluation on the basis of which the proposals to be funded are determined;
(c)  the methods and procedures for peer review and proposal evaluation on the basis of which the proposals to be funded are determined;
(d)  its position on any matter which from a scientific perspective may enhance achievements and impact of the ERC and the quality of the research carried out;
(d)  its position on any matter which from a scientific perspective may enhance achievements and impact of the ERC and the quality of the research carried out;
(e)  a code of conduct addressing, inter alia, the avoidance of conflict of interests.
The Commission shall depart from the positions established by the Scientific Council in accordance with points (a), (c), (d), and (e) of the first subparagraph only when it considers that the provisions of this Decision have not been respected. In that case, the Commission shall adopt measures to maintain continuity in the implementation of the specific programme and the achievements of its objectives, setting out the points of departure from the Scientific Council positions and duly motivating them.
The Commission shall establish a code of conduct addressing, inter alia, the avoidance of conflict of interests and depart from the positions established by the Scientific Council in accordance with points (a), (c), and (d) of the first subparagraph only when it considers that the provisions of this Decision have not been respected. In that case, the Commission shall adopt measures to maintain continuity in the implementation of the specific programme and the achievements of its objectives, setting out the points of departure from the Scientific Council positions and duly motivating them.
3.  The Scientific Council shall act in accordance with the mandate set out in Pillar I of Annex I, section 1.
3.  The Scientific Council shall act in accordance with the mandate set out in Pillar I of Annex I, section 1.
4.  The Scientific Council shall act exclusively in the interest of achieving the ERC, according to the principles set out in Article 6. It shall act with integrity and probity and carry out its work efficiently and with the greatest possible transparency.
4.  The Scientific Council shall act exclusively in the interest of achieving the ERC’s goals, according to the principles set out in Article 6. It shall act with complete independence, integrity and probity and carry out its work efficiently and with the greatest possible transparency and openness maximising ERC’s contribution to achieving the EU R&I policy objectives and Horizon Europe’s goals in particular.
Amendment 18
Proposal for a decision
Article 9
Article 9
Article 9
The European Innovation Council
The European Innovation Council
1.  The Commission shall establish a European Innovation Council (EIC) for implementing actions under Pillar III 'Open Innovation' which relate to the EIC. The EIC shall operate according to the following principles: focus on breakthrough and disruptive innovation, autonomy, ability to take risk, efficiency, effectiveness, transparency and accountability.
1.  The Commission shall establish a European Innovation Council (EIC) in accordance with article (7a) of the Regulation.
1 a.  The EIC shall be built into two instruments, the Pathfinder and the Accelerator, as described in Annex I of this Decision. The EIC instruments shall be continously evaluated in order to support innovation in a systematic way.
1 b.  Where appropriate, the EIC objectives and actions shall be linked to other parts of the Programme as well as to other national and Union Funds, in particular the EIT and InvestEU.
2.  The EIC shall include the High Level Board ("EIC Board") provided for in Article 10.
2.  The EIC shall include the High Level Board ("EIC Board") provided for in Article 10.
3.  The Commission shall ensure that the implementation of the EIC is:
3.  The Commission shall ensure that the implementation of the EIC is:
(a)  in accordance with the principles set out in paragraph 1 of this Article, taking due account of the opinion of the EIC Board on the overall strategy for the EIC, referred to Article 10(1)(a); and
(a)  in accordance with the principles set out in paragraph 1 of this Article, taking due account of the opinion of the EIC Board on the overall strategy for the EIC, referred to Article 10(1)(a); and
(b)  does not lead to distortions of competition contrary to the common interest.
(b)  does not lead to distortions of competition contrary to the common interest.
4.  For the purpose of managing EIC blended finance, the Commission shall make use of indirect management, or where this is not possible, may establish a special purpose vehicle. The Commission shall seek to ensure the participation of other public and private investors. Where this is not possible at the initial set up, the special purpose vehicle will be structured in such a way that it can attract other public or private investors in order to increase the leverage effect of the Union contribution.
4.  For the purpose of managing EIC blended finance, the Commission shall make use of indirect management, or where this is not possible, may establish a special purpose vehicle. The Commission shall seek to ensure the participation of other public and private investors. Where this is not possible at the initial set up, the special purpose vehicle will be structured in such a way that it can attract other public or private investors in order to increase the leverage effect of the Union contribution.
4 a.  The Commission shall ensure cooperation between the EIC and EIT, especially through its KICs.
Amendment 19
Proposal for a decision
Article 10
Article 10
Article 10
The EIC Board
The EIC Board
1.  The EIC Board shall advise the Commission upon:
1.  The EIC Board shall advise the Commission upon:
(a)  the overall strategy for the EIC component under Pillar III 'Open Innovation';
(a)  the overall strategy for the EIC component under Pillar III 'Innovative Europe';
(b)  the work programme for the implementation of the EIC actions;
(b)  the work programme for the implementation of the EIC actions;
(c)  the criteria for assessment of the innovativeness and risk profile of the proposals and the appropriate balance of grants, equity and other forms of financing for the EIC accelerator;
(c)  the criteria for assessment of the innovativeness and risk profile of the proposals and the appropriate balance of grants, equity and other forms of financing for the EIC accelerator;
(d)  the identification of strategic portfolio of projects;
(d)  the identification of strategic portfolio of projects;
(e)  the profile of programme managers.
(e)  the profile of programme managers.
(e a)  the systematic and continuous evaluation process of the EIC actions;
2.  The EIC Board may upon request address recommendations to the Commission on:
2.  The EIC Board may upon request, and wherever appropriate in coordination with the EIT Governing Board, address recommendations to the Commission on:
(a)  any matter which from an innovation perspective may enhance and foster innovation eco-systems across Europe, the achievements and impact of the objectives of the EIC component and the capacity of innovative firms to roll out their solutions;
(a)  any matter which from an innovation perspective may enhance and foster innovation eco-systems across Europe, the achievements and impact of the objectives of the EIC component and the capacity of innovative firms to roll out their solutions;
(b)  identify in cooperation with relevant Commission services possible regulatory barriers faced by entrepreneurs, in particular those awarded support under the EIC component;
(b)  identify in cooperation with relevant Commission services and the EIT possible regulatory barriers faced by entrepreneurs, in particular those awarded support under the EIC component;
(c)  emerging technology trends from EIC's portfolio, to inform the programming in other parts of the Specific Programme;
(c)  emerging technology trends from EIC's portfolio, to inform the programming in other parts of the Specific Programme;
(d)  identifying specific issues where advice from the EIC Board is needed.
(d)  identifying specific issues where advice from the EIC Board is needed.
The EIC Board shall act in the interest of achieving the objectives of the EIC component. It shall act with integrity and probity and carry out its work efficiently and with transparency.
The EIC Board shall act in the interest of achieving the objectives of the EIC taking into account EU’s industrial strategy, its competitiveness and global challenges. It shall act with integrity and probity and carry out its work efficiently and with transparency and openness, avoiding distortion of competition in the internal market.
The EIC Board shall act in accordance with its mandate set out in Pillar III of Annex I, section 1.
The EIC Board shall act in accordance with its mandate set out in Pillar III of Annex I, section 1.
3.  The EIC Board shall be composed of 15 to 20 high level individuals drawn from various parts of Europe's innovation ecosystem, including entrepreneurs, corporate leaders, investors and researchers. It shall contribute to outreach actions, with EIC Board members striving to enhance the prestige of the EIC brand.
3.  The EIC Board shall be composed of 15 to 20 independent high level individuals drawn from various parts of Europe's research and innovation ecosystem, including entrepreneurs from companies of all sizes, economists, investors, researchers and academic experts on innovation policy. It shall contribute to outreach actions, with EIC Board members striving to enhance the prestige of the EIC brand.
The members of the EIC Board shall be appointed by the Commission, following an open call for nominations or for expression of interests or both, whichever the Commission will find more appropriate,, and taking into account the need for balance in expertise, gender, age and geographical distribution.
The members of the EIC Board shall be appointed by the Commission, following an open call for nominations or for expression of interests or both, whichever the Commission will find more appropriate and taking into account the need for balance in expertise, gender, age and geographical distribution.
Their term of office shall be limited to two years, renewable twice, with a rolling appointments system (members appointed every two years).
Their term of office shall be limited to three years, renewable once, with a rolling appointments system (half of the members exchanged every two years).
4.  The EIC Board shall have a President who shall be appointed by the Commission following a transparent recruitment process. The President shall be a high profile public figure linked to the innovation world.
4.  The EIC Board shall have a President who shall be appointed by the Commission following a transparent recruitment process. The President shall be a high profile figure with a proven expertise in research and innovation.
The President shall be appointed for a term of office limited to four years, renewable once.
The President shall be appointed for a term of office limited to three years, renewable once.
The President shall chair the EIC Board, prepare its meetings, assign tasks to members, and may establish dedicated sub-groups, in particular to identify emerging technology trends from EIC's portfolio. He or she shall promote the EIC, act as interlocutor with the Commission and represent the EIC in the world of innovation. The Commission may provide for administrative support for the President to undertake his or her duties.
The President shall chair the EIC Board, prepare its meetings, assign tasks to members, and may establish dedicated sub-groups, in particular to identify emerging technology trends from EIC's portfolio. He or she shall promote the EIC, its role in achieving the Programme and the Union’s R&I goals, act as interlocutor with the Commission and represent the EIC in the world of research and innovation. The Commission shall provide for administrative support for the President to undertake his or her duties.
5.  A code of conduct addressing, inter alia, the avoidance of conflict of interests shall be established by the Commission. Members of the EIC Board are expected to accept the code of conduct upon assuming office.
5.  A code of conduct addressing, inter alia, the avoidance of conflict of interests shall be established by the Commission. Members of the EIC Board must accept the code of conduct upon assuming office.
Amendment 20
Proposal for a decision
Article 11
Article 11
Article 11
Work programmes
Strategic Planning and Work programmes
-1.  The implementation of the specific programme shall be based on Specific R&I Plans defined every two years, through delegated acts in accordance with Article 6 of the Regulation and following a transparent, inclusive and strategic multiannual planning process of research and innovation activities, in particular for the pillar 'Global Challenges and European Industrial Competitiveness'. Mandatory multi-stakeholder consultations with national authorities, the European Parliament, and RDI stakeholders’ representatives, including civil society, about priorities and the suitable types of action and forms of implementation, including for missions and European partnerships, shall ensure the necessary inter-disciplinary and cross-sectoral perspectives and alignment with other relevant existing initiatives at Union, national and regional level. This will contribute to leveraging additional private and public funding and thereby strengthening the ERA, as described in Annex I of this Decision.
1.  The Programme shall be implemented by work programmes referred to in Article 110 of Financial Regulation. They shall be prepared following a strategic planning process as described in Annex I to this Decision.
1.  Following the strategic R&I plan, the Programme shall be implemented by work programmes referred to in Article 110 of Financial Regulation.
Work programmes shall set out, where applicable, the overall amount reserved for blending operations.
Work programmes shall set out, where applicable, the overall amount reserved for blending operations.
2.  The Commission shall adopt separate work programmes, by means of implementing acts, for the implementation of actions under the following components, as set out in Article 3(1) of this Decision :
2.  The Commission shall adopt separate work programmes, by means of implementing acts, for the implementation of actions under the following components, as set out in Article 3(1) of this Decision:
(a)  the ERC, where the work programme shall be established by the Scientific Council under point (b) of Article 7(2), in accordance with the advisory procedure referred to in Article 12(3). The Commission shall depart from the work programme established by the Scientific Council only when it considers that it is not in accordance with the provisions of this Decision. In that case, the Commission shall adopt the work programme by means of an implementing act in in accordance with the examination procedure referred to in Article 12(4). The Commission shall duly motivate this measure;
(a)  the ERC, where the work programme shall be established by the Scientific Council under point (b) of Article 7(2), in accordance with the advisory procedure referred to in Article 12(3). The Commission shall depart from the work programme established by the Scientific Council only when it considers that it is not in accordance with the provisions of this Decision. In that case, the Commission shall adopt the work programme by means of an implementing act in in accordance with the examination procedure referred to in Article 12(4). The Commission shall duly motivate this measure;
(b)  all clusters under the pillar 'Global Challenges and Industrial Competitiveness', MSCA, research infrastructures, support to innovation ecosystems, sharing excellence and reforming and enhancing the European R&I System, in accordance with the examination procedure referred to in Article 12(4);
(b)  all clusters under the pillar 'Global Challenges and European Industrial Competitiveness', MSCA, research infrastructures, support to European innovation ecosystems, spreading excellence and widening participation, reforming and enhancing the European R&I System, in accordance with the examination procedure referred to in Article 12(4);
(c)  the EIC, where the work programme shall be prepared following the advice of the EIC Board under point (b) of Article 10(1), in accordance with the examination procedure referred to in Article 12(4);
(c)  the EIC, where the work programme shall be prepared following the advice of the EIC Board under point (b) of Article 10(1), in accordance with the examination procedure referred to in Article 12(4);
(d)  the JRC, where the multi-annual work programme shall take into account the opinion provided by the Board of Governors of the JRC referred to in Decision 96/282/Euratom.
(d)  the JRC, where the multi-annual work programme shall take into account the opinion provided by the Board of Governors of the JRC referred to in Decision 96/282/Euratom.
3.  In addition to requirement in Article 110 of the Financial Regulation, the work programmes referred to in paragraph 2 of this Article shall, as appropriate, contain:
3.  In addition to requirement in Article 110 of the Financial Regulation, the work programmes referred to in paragraph 2 of this Article shall, as appropriate, contain:
(a)  an indication of the amount allocated to each action and mission and an indicative implementation timetable;
(a)  an indication of the amount and budgetary share in relation to the Programme allocated to each action, mission and European Partnership and an indicative implementation timetable;
(b)  for grants the priorities, the selection and award criteria and the relative weight of the different award criteria and the maximum rate of funding of the total eligible costs;
(b)  for grants the priorities, the selection and award criteria and the relative weight of the different award criteria and the maximum rate of funding of the total eligible costs;
(c)  the amount allocated to blended finance in accordance with Articles 41 to 43 of Regulation … FP/RfP Regulation:
(c)  the amount allocated to blended finance in accordance with Articles 41 to 43 of Regulation … FP/RfP Regulation;
(d)  any additional obligations for beneficiaries, in accordance with Articles 35 and 37 of the FP/RfP Regulation.
(d)  any additional obligations for beneficiaries, in accordance with Articles 35 and 37 of the FP/RfP Regulation.
Amendment 21
Proposal for a decision
Article 12 a (new)
Article 12 a
Steering Board for Health
1.  The Commission shall establish a Steering Board for Health for implementing the actions under Pillar II 'Global Challenges and European Industrial Competitiveness' which relates to 'Health'.
2.  The Steering Board for Health shall be composed of 15 to 20 high level individuals drawn from across disciplines and activities, in the fields of research, innovation, public health and wellbeing.
3.  The Steering Board for Health shall focus on the following principles: coordination and synergies between EU and national health programmes, as well as between the Health cluster and other parts of Horizon Europe, including missions and partnerships. The Board shall promote patients and society engagement, providing scientific advice and recommendations. The actions should promote value-oriented health research, better health solutions and reduce health inequalities.
4.  The Steering Board for Health shall contribute to:
(a)  the strategy for the cluster 'Health',
(b)  the blueprint for steering coordination and cooperation between the health programmes, the related pillars, such as the EIC, ERC, as well as within Strategic Partnerships and the EU structural funds. The blueprint shall ensure more visibility and coordination of the existing financial mechanisms allocated to health research, shall steer coordination and cooperation, and shall develop the work programmes and missions related to Health,
(c)  the methods and procedures for designing, selecting and implementation of the health missions,
(d)  providing for citizens’ participation and engagement in a bottom-up decision making process,
(e)  fostering sustainability in funding strategies and mechanisms allowing for long-term projects and ambitious missions,
(f)  ensuring fruitful transnational research collaborations that maximize the European potential and translate results into health systems,
(g)  increasing the use of multidisciplinary research between disease areas where commonalities exist and thereby decreasing duplication and isolated research,
(h)  increasing visibility of Horizon Europe and its benefit for EU citizens, addressing fragmentation of responsibilities for science and research within the EU governing bodies, streamlining the existing funding mechanisms.
5.  The Steering Board for Health shall provide a comprehensive research strategy and steering in developing the work programmes and missions related to Health in complementarity with the dedicated mission Board.
6.  The Steering Board for Health shall be an independent science-led stakeholder group, composed of actors from biomedical research and innovation, other relevant sectors of research and industry and with strong participation of patient representatives and citizens.
7.  The members of the Steering Board for Health shall be appointed by the Commission, following an open call for nominations or for expression of interests or both, as appropriate, and taking into account the need for balance in expertise, gender, age and geographical distribution. Their term of office shall be limited to two years, renewable twice, with a rolling appointments system (members appointed every two years).
8.  The Steering Board for Health shall have a Chair who shall be appointed by the Commission following a transparent recruitment process. The President shall be a high profile public figure linked to the health research field.
9.  The activities and outcome of the Board shall be reviewed and reported in the Programme’s interim evaluation, where measures to prolong, adapt or close the group according to the review shall be identified.
Amendment 22
Proposal for a decision
Annex I – Programme activities
PROGRAMME ACTIVITIES
PROGRAMME ACTIVITIES
The following will be applied in the implementation of the Programme.
The following will be applied in the implementation of the Programme.
Strategic Planning
Strategic Planning
The implementation of Horizon Europe's programme-level objectives in an integrated manner will be ensured by multiannual Strategic Planning. Such planning will provide the focus on impact for the Programme overall and coherence between its different pillars, as well as synergy with other EU programmes and support to and from other EU policies.
The implementation of Horizon Europe shall be steered by an inclusive and transparent strategic planning process of the research and innovation activities funded by the Programme. The Strategic Planning process shall lead to the implementation of Horizon Europe's programme objectives by defining the funding priorities. It will provide focus on impact for the Programme and coherence between its different pillars, as well as synergy with other EU programmes and support to other EU policies.
The strategic planning process and the adoption of the strategic R&I plan by means of a delegated act will increase ownership and understanding for the purpose of the Programme by a wider public and will allow the co-legislators, stakeholders and Member States to be fully informed on the envisaged initiatives. The Strategic Planning process will help to develop and implement policy for the relevant areas covered, at Union level as well as complementing policies in the Member States while ensuring that main European policy targets are reflected and supported by Horizon Europe with adequate resources. It will allow simplification of the funding landscape, avoid duplication and overlaps between funding possibilities while leveraging additional private and public funding and promote faster dissemination and uptake of research and innovation results.
A systemic, cross-disciplinary, cross-sectoral and cross-policy approach to research and innovation will ensure that societal and economic challenges can be tackled, knowledge is generated and where possible, give rise to new competitive and sustainable businesses and industries, social and technological innovation, fostering competition, stimulating private investments and preserving the level playing field in the internal market.
The Strategic Planning will promote strong engagement with citizens and civil society organisations at all stages of research and innovation, the co-creation of knowledge, effective promotion of gender equality, including the integration of the gender dimension in research and innovation content, and will ensure and promote the adherence to the highest ethics and integrity standards.
The Strategic Planning process will promote strong engagement with citizens and civil society organisations in research and innovation, the co-creation of knowledge, effective promotion of gender equality, including the integration of the gender dimension in research and innovation, and will promote the adherence to the highest ethics and integrity standards.
It will include extensive consultations and exchanges with Member States, the European Parliament as appropriate, and with various stakeholders about priorities, including missions, under the 'Global Challenges and Industrial Competitiveness' pillar, and the suitable types of action to use, in particular European partnerships.
In order to respond to those objectives, the Commission will launch an open consultation phase with Member States, the European Parliament, and a variety of stakeholders, including the scientific community, research and technology organisations, industry, civil society organisations, among others. The consultation will cover the Programme´s strategic priorities including missions under the Global Challenges and European Industrial Competitiveness pillar, and the suitable types of instruments, in particular the European partnerships. Results of the consultation will be published on a dedicated web page, which should also provide the details on the content and process defining the Strategic Planning.
As regards European partnerships, the Strategic R&I Plan will outline and give the rationale for the creation, merge and phasing out of the European partnerships. The positively reviewed Joint Technology Initiatives and Contractual Public Private Partnerships, should be considered for continuation beyond 2020 due to their added-value in delivering social and economic impact as well as leveraging private investment and their contribution to synergies of funds.
On-going and potential new KICs will be defined in the legislative proposal for a Decision of the European Parliament and the Council on the EIT Strategic Innovation Agenda, in line with the Strategic R&I Plan. Nevertheless, the creation of any new KIC should be subject to adequate funding, allowing the existing KICs to develop the ecosystems, build partnerships and pursue and implement efficiently their ambitious objectives.
'FET Flagships' supported under Horizon 2020 will continue to be supported under the Programme. As they present substantial analogies with missions, other 'FET flagships', may be supported under this Framework Programme as missions geared towards future and emerging technologies. The missions should strengthen the collaborative aspects of the Programme and complement existing European partnerships, which could work as supporting implementation pillars of the missions. The missions will have technological and societal elements and will also be defined in close cooperation with all relevant DGs. The Strategic Planning process will define the missions according to Article 7 of the Regulation and Article 5 of this Decision.
Based on such extensive consultations, the Strategic Planning will identify common objectives and common areas for activities such as partnership areas (the proposed legal basis sets out only the instruments and criteria that will guide their use) and mission areas.
The Strategic Planning will help to develop and realise the implementation of policy for the relevant areas covered, at EU level as well as complementing policy and policy approaches in the Member States. EU policy priorities will be taken into consideration during the Strategic Planning process to increase the contribution of research and innovation to the realisation of policy. It will also take into account foresight activities, studies and other scientific evidence and take account of relevant existing initiatives at EU and national level.
The Strategic Planning will promote synergies between Horizon Europe and other Union Programmes, including the Euratom programme, thus becoming a point of reference for research and innovation in all related programmes across the EU budget and non-funding instruments. This will also promote faster dissemination and uptake of research and innovation results and avoid duplication and overlaps between funding possibilities. It will provide the frame for linking the direct research actions of the Joint Research Centre and other actions supported under the Programme, including the use of results for support to policy.
The Strategic Planning process will identify existing links between Horizon Europe and other Union Programmes, and offer possibilities for synergies between EU, regional and national funds. Horizon Europe will become a point of reference for research and innovation in all related programmes across the EU budget in order to help deliver the EU’s political priorities and objectives. It will also provide the frame for linking the direct research actions of the Joint Research Centre and other actions supported under the Programme, including the use of results to support policy.
A Strategic Plan will lay out a multiannual strategy for realising content in the work programme (as set out in Article 11), while retaining sufficient flexibility to respond rapidly to unexpected opportunities and crises. As Horizon Europe is a programme for 7 years, the economic, societal and policy context in which it will operate may change significantly during its life-time. Horizon Europe needs to be able to swiftly adapt to these changes. There will therefore be the possibility to include support for activities beyond the descriptions set out below, where this is duly justified, to address major developments or unforeseen events, policy needs, or crisis situations, for example in response to serious threats to health arising for example from epidemics.
In the implementation of Horizon Europe, particular attention will be paid to ensuring a balanced and broad approach to research and innovation, which is not only limited to the development of new products processes and services on the basis of scientific and technological knowledge and breakthroughs, but also incorporates the use of existing technologies in novel applications and continuous improvement and non-technological and social innovation. A systemic, cross-disciplinary, cross-sectoral and cross-policy approach to research innovation will ensure that challenges can be tackled while also giving rise to new competitive businesses and industries, fostering competition, stimulating private investments and preserving the level playing field in the internal market.
In the 'Global Challenges and Industrial Competitiveness' and the 'Open Innovation' Pillars, research and innovation will be complemented with activities which operate close to the end-users and the market, such as demonstration, piloting or proof-of-concept, excluding however commercialisation activities going beyond the research and innovation phase. This will also include support to demand-side activities that help accelerate the deployment and diffusion of a broad range of innovations. Emphasis will be put on non-prescriptive calls for proposals.
Under the 'Global Challenges and Industrial Competitiveness' pillar, building on experience in Horizon 2020, the social sciences and the humanities will be fully integrated across all clusters, including specific and dedicated activities. Likewise, activities involving marine and maritime research and innovation will be implemented in a strategic and integrated manner in line with the EU Integrated Maritime Policy, the Common Fisheries Policy Policies and international commitments.
'FET Flagships' supported under Horizon 2020 will continue to be supported under this Programme. As they present substantial analogies with missions, other 'FET flagships', if any, will be supported under this Framework Programme as missions geared towards future and emerging technologies.
Science and Technology Cooperation dialogues with the EU's international partners and policy dialogues with the main world regions will make important contributions to the systematic identification of opportunities for cooperation which, when combined with differentiation by country/region, will support priority setting.
While the European Institute of Innovation and Technology's (EIT) focus on innovation ecosystems makes it naturally fit within the Open Innovation pillar of Horizon Europe, the planning of the EIT Knowledge and Innovation Communities (KICs) will be aligned through the Strategic Planning process with the Global Challenges and Industrial Competitiveness pillar.
Fast Track to Research and Innovation
Horizon Europe will provide the possibility for beneficiaries to apply for funding in a faster manner, where provided for in the Work Programme's of all clusters, EIC and "spreading excellence", covering research and innovation activities. Building on the success of the existing Fast Track to Innovation instrument in Horizon 2020, this approach will have a bottom-up-driven logic on the basis of continuously open calls and "time to grant" not exceeding six months. In the “spreading excellence” part, this approach will support less developed EU countries to access funds in a faster and bottom-up manner. This modality will be applied to at least 15% of the Programme’s budget.
Dissemination and Communication
Dissemination and Communication
Horizon Europe will provide dedicated support for open access to scientific publications, to knowledge repositories and other data sources. Dissemination and knowledge diffusion actions will be supported, also from cooperation with other EU programmes, including clustering and packaging results and data in languages and formats for target audiences and networks for citizens, industry, public administrations, academia, civil society organisations, and policy makers. For this purpose, Horizon Europe may make use of advanced technologies and intelligence tools.
Horizon Europe will provide dedicated support for open access to scientific publications, to knowledge repositories and other data sources. Dissemination and knowledge diffusion actions will be supported, also from cooperation with other EU programmes, including clustering and packaging results and data in languages and formats for target audiences and networks for citizens, industry, public administrations, scientific community, civil society organisations, and policy makers. For this purpose, Horizon Europe may make use of advanced technologies and intelligence tools.
There will be appropriate support for mechanisms to communicate the programme to potential applicants (e.g. National Contact Points).
There will be appropriate support for mechanisms to communicate the programme to potential applicants (e.g. National Contact Points).
The Commission will also implement information and communication activities relating to Horizon Europe, to promote the fact that results were obtained with the support of EU funding. They will also seek to raise public awareness on the importance of research and innovation and the broader impact and relevance of EU funded research and innovation, by means of e.g. publications, media relations, events, knowledge repositories, databases, multi-channel platforms, websites or a targeted use of social media. Horizon Europe will also provide support to the beneficiaries to communicate their work and its impact to society at large.
The Commission will also implement information and communication activities relating to Horizon Europe, to promote the fact that results were obtained with the support of EU funding. They will also seek to raise public awareness on the importance of research and innovation and the broader impact and relevance of EU funded research and innovation, by means of e.g. publications, media relations, events, knowledge repositories, databases, multi-channel platforms, websites or a targeted use of social media. Horizon Europe will also provide support to the beneficiaries to communicate their work and its impact to society at large.
Exploitation and Market Uptake
Exploitation and Market Uptake
The Commission will establish comprehensive measures for exploitation of Horizon Europe results and the knowledge produced. This will accelerate exploitation towards market uptake and boost the impact of the Programme.
The Commission will establish comprehensive measures for exploitation of Horizon Europe results and the knowledge produced, which will also include promoting standardisation. This will accelerate exploitation towards market uptake and boost the impact of the Programme.
The Commission will systematically identify and record the results of the research and innovation activities under the Programme and transfer or disseminate these results and knowledge produced in a non-discriminatory fashion to industry and enterprises of all sizes, public administrations, academia, civil society organisations and policy-makers, in order to maximise the European added value of the Programme.
The Commission will systematically identify and record the results of the research and innovation activities under the Programme and transfer or disseminate these results and knowledge produced in a non-discriminatory fashion to industry and enterprises of all sizes, public administrations, scientific community, civil society organisations and policy-makers, in order to maximise the European added value of the Programme. A specific monitoring procedure will be implemented for the new European Innovation Council.
International Cooperation
International Cooperation
Greater impact will be obtained through aligning actions with other nations and regions of the world within an international cooperation effort of unprecedented scale. Based on mutual benefit, partners from across the world will be invited to join EU efforts as an integral part of initiatives in support of EU action for sustainability, reinforced research and innovation excellence, and competitiveness.
Greater impact will be obtained through aligning actions with other nations and regions of the world within an international cooperation effort of unprecedented scale. Based on mutual benefit, partners from across the world, including the scientific community, industry, civil society organisations, governments and NGOs will be invited to join EU efforts as an integral part of initiatives in support of EU action for sustainability, reinforced research and innovation excellence, and competitiveness. The transfer of knowledge, sharing of capacity and infrastructure between the partners internationally will drive shared approaches and regulation that will bring synergistic trading to all parties.
International joint action will ensure effective tackling of global societal challenges and Sustainable Development Goals, access to the world's best talents, expertise and resources, and enhanced supply and demand of innovative solutions.
International joint action will ensure effective tackling of global challenges and Sustainable Development Goals, access to the world's best talents, expertise and resources, and enhanced supply and demand of innovative solutions. International collaboration will be designed around common goals. This will facilitate European researchers to engage with the best researchers in their field.
Working Methodologies for Evaluation
Working Methodologies for Evaluation
The use of high quality independent expertise in the evaluation process underpins the engagement of the programme across all stakeholders, communities and interests, and is a prerequisite for maintaining the excellence and relevance of the funded activities.
The use of high quality independent expertise in the evaluation process underpins the engagement of the programme across all stakeholders, communities and interests, and is a prerequisite for maintaining the excellence and relevance of the funded activities.
The Commission or funding body will ensure the impartiality of the process, and avoid conflicts of interest in line with Article 61 of the Financial Regulation.
The Commission or funding body will ensure the impartiality of the process, and avoid conflicts of interest in line with Article 61 of the Financial Regulation.
Exceptionally, when justified by the requirement to appoint the best available experts and/or by the limited size of the pool of qualified experts, independent experts assisting or being members of the evaluation committee may evaluate specific proposals for which they declare a potential interest. In this case, the Commission or funding body shall take all necessary remedial measures to ensure the integrity of the evaluation process. The evaluation process will be managed accordingly, including a stage involving an interaction between diverse experts. The evaluation committee will take into account the particular circumstances when identifying proposals for funding.
When justified by the requirement to appoint the best available experts and/or by the limited size of the pool of qualified experts, independent experts assisting or being members of the evaluation committee may evaluate specific proposals for which they declare a potential interest. In this case, the Commission or funding body shall take all necessary remedial measures to ensure the integrity of the evaluation process, including in regards to conflicts of interests. The evaluation process will be managed accordingly, including a stage involving an interaction between diverse experts. The use of this process will be reported in the annual monitoring report of the Programme. The evaluation committee will take into account the particular circumstances when identifying proposals for funding.
Amendment 23
Proposal for a decision
Annex I – part I
I OPEN SCIENCE
I EXCELLENT AND OPEN SCIENCE
The search for breakthroughs in understanding and the acquisition of knowledge; the world class facilities needed to achieve this including physical and knowledge infrastructures for research and innovation as well as the means to openly disseminate and share knowledge; and an adequate supply of excellent researchers; are at the very heart of economic, social and cultural progress in all its forms.
The search for breakthroughs in understanding and the acquisition of knowledge; the world class facilities needed to achieve this including physical and e-infrastructures for research and innovation as well as the means to openly disseminate and share knowledge; and an adequate supply of excellent researchers and innovators; are at the very heart of economic, social and cultural progress in all its forms.
Open and excellent science is inextricably linked to the achievement of world leading innovation. Scientific and technological paradigm shifts have been identified as key drivers for productivity growth, competitiveness, wealth, sustainable development and social progress. Such paradigm shifts have historically tended to originate from the public-sector science base before going on to lay the foundations for whole new industries and sectors.
Open and excellent science is inextricably linked to the achievement of world leading innovation. Scientific and technological paradigm shifts have been identified as key drivers for productivity, sustainable and inclusive growth and development, competitiveness, wealth, and social progress. Such paradigm shifts have historically tended to originate from the public-sector science base before going on to lay the foundations for whole new industries and sectors.
Public investment in research, especially through universities and public research institutions (PRIs) and research facilities, often undertakes the longer-term, higher-risk research and complements the activities of the private sector. Besides this it creates skills, knowhow and experience, new scientific instruments and methodologies, as well creating the networks which transmit the latest knowledge.
Public investment in research, especially through universities and public research institutions (PRIs) and research facilities, often undertakes the longer-term, higher-risk research and complements the activities of the private sector. Besides this it creates highly skilled human resources, knowhow and experience, new scientific instruments and methodologies, as well creating the networks which transmit the latest knowledge.
European science and researchers have been and continue to be at the forefront in many areas. But this is not a position we can take for granted. There is ample evidence to show that as the pace of research continues to grow, so the number of countries competing to be the best is increasing as well. The traditional challenge from countries such as the United States is now being joined by economic giants such as China and India, from the newly industrialising parts of the world in particular, and from all countries where governments recognise the manifold and abundant returns which derive from investing in research.
European science and researchers have been and continue to be at the forefront in many areas. But this is not a position we can take for granted. There is ample evidence to show that as the pace of research continues to grow, so the number of countries competing to be the best is increasing as well. The traditional challenge from countries such as the United States is now being joined by economic giants such as China and India, from the newly industrialising parts of the world in particular, and from all countries where governments recognise the manifold and abundant returns which derive from investing in research.
Amendment 24
Proposal for a decision
Annex I – part I – point 1 – point 1.1
1.1.  Rationale
1.1.  Rationale
Although the EU remains the largest producer of scientific publications in the world, it is essentially a 'mass producer' of knowledge with, relative to its size, comparatively few centres of excellence that standout at the world level and with large areas of average and poor performance. Compared with the US and now China to some degree, the EU still tends to follow a 'distributed excellence model' in which resources are spread across a larger number of researchers and research institutions Another challenge is that in many EU countries the public sector still does not offer sufficiently attractive conditions for the best researchers. These factors compound Europe's relative unattractiveness in the global competition for scientific talent.
The EU remains the largest producer of scientific publications in the world. Compared with the US and now China to some degree, the EU follows a 'distributed excellence model' in which resources are spread across a larger number of researchers and research institutions. Another challenge is that in many EU countries the public sector investment in research is below any acceptable threshold and thus does not offer sufficiently attractive conditions for the best researchers. These factors compound Europe's relative unattractiveness in the global competition for scientific talent.
The global research landscape is evolving dramatically and becoming increasingly multipolar as a result of a growing number of emerging countries, in particular China, expanding their scientific production. So whereas the EU and the United States accounted for nearly two-thirds of world expenditure on research and development in 2000, this share had fallen to less than half by 2013.
The global research landscape is evolving dramatically and becoming increasingly multipolar as a result of a growing number of emerging countries, in particular China, expanding their scientific production. So whereas the EU and the United States accounted for nearly two-thirds of world expenditure on research and development in 2000, this share had fallen to less than half by 2013. In addition, the European Innovation Scoreboard 2018 confirmed that public and private R&D expenditures across the EU remains below 2010 levels and falls short in meeting the long-standing objective to devote 3% of GDP to R&D activities.
The ERC supports the best researchers with flexible, long-term funding to pursue ground breaking, high-gain/high-risk research. It operates autonomously led by an independent Scientific Council made up of scientists, engineers and scholars of the highest repute and appropriate expertise and diversity. The ERC is able to draw on a wider pool of talents and ideas than would be possible for any national scheme, reinforcing excellence through the way in which the best researchers and the best ideas compete against each other.
The ERC supports the best researchers, including young researchers, with flexible, long-term funding to pursue ground breaking, high-gain/high-risk research. It operates autonomously led by an independent, gender and discipline-balanced, Scientific Council made up of scientists, engineers and scholars of the highest repute and appropriate expertise and diversity. The ERC is able to draw on a wider pool of talents and ideas than would be possible for any national scheme, reinforcing excellent research in all fields of science through the way in which the best researchers and the best ideas compete against each other.
Frontier research funded by the ERC has a substantial direct impact in the form of advances at the frontiers of knowledge, opening the way to new and often unexpected scientific and technological results and new areas for research. In turn, this generates radically new ideas which drive innovation and business inventiveness and tackle societal challenges. The ERC also has a significant structural impact, driving up the quality of the European research system over and above the researchers and actions it funds directly. ERC-funded actions and researchers set an inspirational target for frontier research in Europe, raising its profile and making it more attractive for the best researchers worldwide as a place to work, and work with. The prestige of hosting ERC grant- holders creates competition between Europe's universities and research organisations to offer the most attractive conditions for top researchers and can indirectly help them to assess their relative strengths and weaknesses and bring about reforms.
Frontier research funded by the ERC has a substantial direct impact in the form of advances at the frontiers of knowledge, opening the way to new and often unexpected scientific, technological and societal results and new areas for research. In turn, this generates radically new ideas which drive innovation and business inventiveness and tackle societal challenges. The ERC also has a significant structural impact, driving up the quality of the European research system over and above the researchers and actions it funds directly. ERC-funded actions and researchers set an inspirational target for frontier research in Europe, raising its profile and making it more attractive for the best researchers worldwide as a place to work, and work with. The prestige of hosting ERC grant- holders creates competition between Europe's universities and research organisations to offer the most attractive conditions for top researchers and can indirectly help them to assess their relative strengths and weaknesses and bring about reforms.
The gap between the research performance of the US and the EU countries has narrowed over the 10 years since the ERC was established. The ERC funds a relatively small percentage of all European research, but from this achieves a disproportionally high scientific impact. The average citation impact of the research supported by the ERC is comparable to that of the world’s top elite research universities. The ERC’s research performance is extremely high when compared with the world’s largest research funders. The ERC funds a great deal of frontier research in many of the research areas that have received the highest numbers of citations, including those areas that are rapidly emerging. Although ERC funding is targeted to frontier research it has resulted in a substantial number of patents.
The gap between the research performance of the US and the EU countries has narrowed over the 10 years since the ERC was established. The ERC funds a relatively small percentage of all European research, but from this achieves a disproportionally high scientific impact. The average citation impact of the research supported by the ERC is comparable to that of the world’s top elite research universities. The ERC’s research performance is extremely high when compared with the world’s largest research funders. The ERC funds a great deal of frontier research in many of the research areas that have received the highest numbers of citations, including those areas that are rapidly emerging. Although ERC funding is targeted to frontier research it has resulted in a substantial number of patents.
So there is clear evidence that the ERC attracts and funds excellent researchers through its calls and ERC actions are producing a substantial number of the most significant and high impact research findings worldwide in emerging areas leading to breakthroughs and major advances. The work of ERC grantees is also highly interdisciplinary and ERC grantees collaborate internationally and publish their results openly across all fields of research including the social sciences and humanities.
So there is clear evidence that the ERC attracts and funds excellent researchers through its calls and ERC actions are producing a substantial number of the most significant and high impact research findings worldwide in emerging areas leading to breakthroughs and major advances. The work of ERC grantees is expected also to become increasingly interdisciplinary and ERC grantees collaborate internationally and publish their results openly across all fields of research including the social sciences and humanities.
There is also already evidence of the longer term impacts of ERC grants on careers, on training highly skilled postdocs and PhDs, on raising the global visibility and prestige of European research and on national research systems through its strong benchmarking effect. This effect is particularly valuable in the EU's distributed excellence model because ERC funded status can replace and serve as a more accurate indicator of research quality than recognition based on the status of institutions. This allows ambitious individuals, institutions, regions and countries to seize the initiative and scale up the research profiles in which they are particularly strong.
There is also already evidence of the longer term impacts of ERC grants on careers, on training highly skilled researchers, doctoral and post doctoral degree holders, on raising the global visibility and prestige of European research and on national research systems through its strong benchmarking effect. This effect is particularly valuable in the EU's distributed excellence model because ERC funded status can replace and serve as a reliable indicator of research quality than recognition based on the status of institutions. This allows ambitious individuals, institutions, regions and countries to seize the initiative and scale up the research profiles in which they are particularly strong.
Amendment 25
Proposal for a decision
Annex I – part I – point 1 – point 1.2 – point 1.2.1
1.2.  Areas of intervention
1.2.  Areas of intervention
1.2.1.  Frontier Science
1.2.1.  Frontier Science
Research funded by the ERC is expected to lead to advances at the frontier of knowledge, with scientific publications of the highest quality, to research results with high societal and economic potential impact and with the ERC setting a clear and inspirational target for frontier research across the EU, Europe and internationally. Aiming to make the EU a more attractive environment for the world's best scientists, the ERC will target a measurable improvement in the EU's share of the world's top 1 % most highly cited publications, and aim at a substantial increase in the number of excellent researchers from outside Europe which it funds. ERC funding shall be awarded in accordance with the following well-established principles. Scientific excellence shall be the sole criterion on which ERC grants are awarded. The ERC shall operate on a 'bottom-up' basis without predetermined priorities.
Research funded by the ERC is expected to lead to advances at the frontier of knowledge, with scientific publications of the highest quality, to research results with potential high societal, economic and environmental impact and with the ERC setting a clear and inspirational target for frontier research across the EU, Europe and internationally. Aiming to make the EU a more attractive environment for the world's best scientists, the ERC will target a measurable improvement in the EU's share of the world's top 1 % most highly cited publications, and aim at a substantial increase in the number of excellent researchers from outside Europe which it funds. ERC funding shall be awarded in accordance with the following well-established principles. Scientific excellence shall be the sole criterion on which ERC grants are awarded. The ERC shall operate on a 'bottom-up' basis without predetermined priorities.
Broad Lines
Broad Lines
–  Long-term funding to support excellent investigators and their research teams to pursue ground-breaking, high-gain/high-risk research;
–  Long-term funding to support excellent investigators and their research teams to pursue ground-breaking, high-gain/high-risk research;
–  Starting researchers with excellent ideas to make the transition to independence while consolidating their own research team or programme;
–  Starting researchers with excellent ideas to make the transition to independence while consolidating their own research team or programme;
–  New ways of working in the scientific world with the potential to create breakthrough results and facilitate commercial and social innovation potential of funded research;
–  New ways of working in the scientific world with the potential to create breakthrough results and facilitate commercial and social innovation potential of funded research;
–  Sharing experience and best practices with regional and national research funding agencies to promote the support of excellent researchers;
–  Sharing experience and best practices with regional and national research funding agencies as well as other Union bodies to promote the support of excellent researchers;
–  Raising the visibility of ERC programmes.
–  Raising the visibility of ERC programmes.
Amendment 26
Proposal for a decision
Annex I – part I – point 1 – point 1.3 – point 1.3.1 – paragraph 2 – point 2 – indent 4
–  review and assess the ERC's achievements and the quality and impact of the research funded by the ERC and make recommendations for corrective or future actions;
–  periodically submit to external review and assessment the ERC's achievements and the quality and impact of the research funded by the ERC and accordingly, adopt recommendations and draw guidelines for corrective or future actions;
Amendment 27
Proposal for a decision
Annex I – part I – point 2 – point 2.1
2.1.  Rationale
2.1.  Rationale
Europe needs a highly-skilled and resilient human capital base in research and innovation that can easily adapt to and find sustainable solutions for future challenges, such as major demographic changes in Europe. To ensure excellence, researchers need to be mobile, collaborate and diffuse knowledge across countries, sectors and disciplines, with the right combination of knowledge and skills to tackle societal challenges and support innovation.
Europe needs highly-skilled and resilient human resources in research and innovation that can easily adapt to and find sustainable solutions for current and future challenges, such as major demographic changes in Europe. To ensure excellence, researchers need to be mobile, have access to top quality infrastructure in many fields, collaborate and diffuse knowledge across countries, sectors and disciplines, with the right combination of knowledge and skills to tackle societal challenges and support innovation.
Europe is a scientific powerhouse with around 1.8 million researchers working in thousands of universities, research centres and world-leading companies. However, it is estimated that the EU will need to train and employ at least one million new researchers by 2027 in order to achieve the targets beings set for increased investment in research and innovation. This need is particularly acute in the non-academic sector. The EU must reinforce its efforts to entice more young women and men to a career in research, to attract researchers from third countries, retain its own researchers and reintegrate European researchers working elsewhere back to Europe. In addition, in order to more widely spread excellence, the conditions under which researchers perform must be further improved throughout the European Research Area (ERA). In this respect, stronger links are needed notably with the European Education Area (EEdA), the European Regional Development Fund (ERDF), and European Social Fund (ESF+).
Europe is a scientific powerhouse with around 1.8 million researchers working in thousands of universities, research centres and world-leading companies. However, it is estimated that the EU will need to train and employ at least one million new researchers by 2027 in order to achieve the targets beings set for increased investment in research and innovation. This need is particularly acute in the non-academic sector.
The EU must reinforce its efforts to entice more young women and men to a career in research, to attract researchers from third countries, retain its own researchers and reintegrate European researchers working elsewhere back to Europe.
To achieve these goals, attention should also be paid to schemes adding more flexibility for researchers of both sexes to ensure work-life balance.
Mobility programs should also ensure effective equal opportunities and include specific measures to remove obstacles to the mobility of researches, in particular female ones.
In addition, in order to ensure synergies and more widely spread excellence, the Seal of Excellence label will continue to be applied to calls under MSCA and the conditions under which researchers perform must be further improved throughout the European Research Area (ERA). In this respect, stronger links are needed notably with the European Education Area (EEdA), the European Regional Development Fund (ERDF), and European Social Fund (ESF+).
These challenges can best be addressed at EU level due to their systemic nature and to the cross-country effort needed to solve them.
These challenges can best be addressed at EU level due to their systemic nature and to the cross-country effort needed to solve them.
The Marie Skłodowska-Curie Actions (MSCA) focus on excellent research that is fully bottom-up, open to any field of research and innovation from basic research up to market take-up and innovation services. This includes research fields covered under the Treaty on the Functioning of the European Union and the Treaty establishing the European Atomic Energy Community (Euratom). If specific needs arise and additional funding sources become available, the MSCA may target certain activities in specific challenges (incl. identified missions), types of research and innovation institutions, or geographical locations in order to respond to the evolution of Europe's requirements in terms of skills, research training, career development and knowledge sharing.
The Marie Skłodowska-Curie Actions (MSCA) focus on excellent research that is fully bottom-up, open to any field of research and innovation from basic research up to market take-up and innovation services. This includes research fields covered under the Treaty on the Functioning of the European Union and the Treaty establishing the European Atomic Energy Community (Euratom). If specific needs arise and additional funding sources become available, the MSCA may target certain types of activities in specific challenges (incl. identified missions), and certain types of research and innovation institutions, or geographical locations in order to respond to the evolution of Europe's requirements in terms of skills, research training, career development and knowledge sharing.
The MSCA are the main instrument at EU-level for attracting researchers from third countries to Europe, thus making a major contribution to global cooperation in research and innovation. Evidence shows that the MSCA not only have a positive impact on individuals, organisations, and at system level, but also yield high-impact and breakthrough research results while at the same time contributing significantly to societal as well as strategic challenges. Long-term investment in people pays off, as indicated by the number of Nobel Prize winners who have been either former MSCA fellows or supervisors.
The MSCA, jointly with the ERC, are the main instruments at EU-level for attracting researchers from third countries to Europe, thus making a major contribution to global cooperation in research and innovation. Evidence shows that the MSCA not only have a positive impact on individuals, organisations, and at system level, but also yield high-impact and breakthrough research results while at the same time contributing significantly to societal as well as strategic challenges. Long-term investment in people pays off, as indicated by the number of Nobel Prize winners who have been either former MSCA fellows or supervisors.
Through global research competition between scientists and between host organisations from both the academic and non-academic sector, and through the creation and sharing of high-quality knowledge across countries, sectors and disciplines, the MSCA contribute notably to the goals of the 'Jobs, growth and investment' agenda, the EU Global Strategy and to the United Nations Sustainable Development Goals.
Through global research competition between scientists and between host organisations from both the academic and non-academic sector, and through the creation and sharing of high-quality knowledge across countries, sectors and disciplines, the MSCA contribute notably to the goals of the 'Jobs, growth and investment' agenda, the EU Global Strategy and to the United Nations Sustainable Development Goals.
The MSCA contribute to making the ERA more effective, competitive and attractive on a global scale. This can be achieved by focusing on a new generation of highly-skilled researchers and providing support for emerging talent from across the EU and beyond; by fostering the diffusion and application of new knowledge and ideas to European policies, the economy and society, inter alia through improved science communication and public outreach measures; by facilitating cooperation between research-performing organisations; and by having a pronounced structuring impact on the ERA, advocating an open labour market and setting standards for quality training, attractive employment conditions and open recruitment for all researchers.
The MSCA contribute to making the ERA more effective, competitive and attractive on a global scale. This can be achieved by focusing on a new generation of highly-skilled researchers and providing support for emerging talent from across the EU and beyond; by fostering the diffusion and application of new knowledge and ideas to European policies, the economy and society, inter alia through improved science communication and public outreach measures; by facilitating cooperation between research-performing organisations; and by having a pronounced structuring impact on the ERA, advocating an open labour market and setting standards for quality training, attractive employment conditions and open and transparent recruitment for all researchers.
Amendment 28
Proposal for a decision
Annex I – part I – point 2 – point 2.2 – point 2.2.2 – paragraph 1
The EU needs a strong, resilient and creative human resource base, with the right combination of skills to match the future needs of the labour market, to innovate and to convert knowledge and ideas into products and services for economic and social benefit. This can be achieved through training researchers to further develop their core research competences as well as enhance their transferable skills such as a creative and entrepreneurial mindset. This will allow them to face current and future global challenges, and improve their career prospects and innovation potential.
The EU needs a strong, resilient and creative human resource base, with the right combination of skills to match the future needs of the labour market, to innovate and to convert knowledge and ideas into products and services for scientific, economic and social benefit. This can be achieved through training researchers to further develop their core research competences as well as enhance their transferable skills such as a creative and entrepreneurial mindset including the understanding of the benefits that standards bring to market new products and services. This will allow them to face current and future global challenges, and improve their career prospects and innovation potential. This can be achieved, where appropriate, in complementarity with the EIT’s educational activities.
Amendment 29
Proposal for a decision
Annex I – part I – point 2 – point 2.2 – point 2.2.3
2.2.3.  Strengthening Human Capital and Skills Development across the European Research Area
2.2.3.  Strengthening Human Resources and Skills Development across the European Research Area
In order to foster excellence, promote cooperation between research-performing organisations and create a positive structuring effect, high-quality training standards, good working conditions and effective career development of researchers need to be more widely spread across the ERA. This will help modernise or enhance research training programmes and systems as well as increasing institutions' worldwide attractiveness.
In order to foster excellence, promote cooperation between research-performing organisations and create a positive structuring effect, high-quality training standards, good working conditions and effective career development of researchers need to be more widely spread across the ERA. This will help modernise or enhance research training programmes and systems as well as increasing institutions' worldwide attractiveness, developed in cooperation with other parts of Horizon Europe.
Broad Lines
Broad Lines
–  Training programmes to foster excellence and spread best practices across institutions and research and innovation systems;
–  Training programmes to foster excellence and spread best practices across institutions and research and innovation systems;
–  Cooperation, production and diffusion of knowledge within the EU and with third countries.
–  Cooperation, production and diffusion of knowledge within the EU and with third countries.
Amendment 30
Proposal for a decision
Annex I – part I – point 2 – point 2.2 – point 2.2.5
2.2.5.  Promoting Public Outreach
2.2.5.  Promoting Public Outreach
The awareness of the programme’s activities and the public recognition of researchers need to be enhanced across the EU and beyond, to raise the global profile of the MSCA and to develop a better understanding of the impact of researchers’ work on citizens’ daily lives, and to encourage young people to embark on research careers. This can be achieved through better dissemination, exploitation and diffusion of knowledge and practices.
The awareness of the programme’s activities and the public recognition of researchers need to be enhanced across the EU and beyond, to raise the global profile of the MSCA and to develop a better understanding of the impact of researchers’ work on citizens’ daily lives, and to encourage young people, in particular women, to embark on research careers. This can be achieved through better dissemination, exploitation and diffusion of knowledge and practices.
Broad Lines
Broad Lines
–  Public outreach initiatives to stimulate interest in research careers, especially amongst young people;
–  Public outreach initiatives to stimulate interest in research careers, especially amongst young people;
–  Promotion activities to raise the global profile, visibility and awareness of the MSCA;
–  Promotion activities to raise the global profile, visibility and awareness of the MSCA;
–  Diffusion and clustering of knowledge through cross-project collaboration and other networking activities such as an alumni service.
–  Diffusion and clustering of knowledge through cross-project collaboration and other networking activities such as an alumni service and national contact points.
Amendment 31
Proposal for a decision
Annex I – part I – point 3 – point 3.1
3.1.  Rationale
3.1.  Rationale
State of the art research infrastructures provide key services to research and innovation communities, playing an essential role in extending the frontiers of knowledge. Supporting research infrastructures at the EU level helps to mitigate what in many cases is the reality of scattered national research infrastructures and pockets of scientific excellence, as well as tackling the low circulation of knowledge across silos.
State of the art research infrastructures provide key services to research and innovation communities, playing an essential role in extending the frontiers of knowledge. Supporting all types of research infrastructures, including small and medium-sized ones and those financed from ERDF, at the EU level helps to mitigate what in many cases is the reality of scattered national and regional research infrastructures, complementing and upgrading pockets of scientific excellence, as well as increasing the circulation of knowledge across silos.
The overall aim is to endow Europe with world-class sustainable research infrastructures open and accessible to all researchers in Europe and beyond, which fully exploit their potential for scientific advance and innovation. Key objectives are to reduce the fragmentation of the research and innovation ecosystem, avoiding duplication of effort, and better coordinate the development and use of research infrastructures. It is crucial to support open access to research infrastructures for all European researchers as well as, through the European Open Science Cloud (hereafter 'EOSC'), increased access to digital research resources, specifically tackling the currently sub-optimal embracement of open science and open data practises. Equally, the EU needs to tackle the rapid increase of global competition for talent by attracting third country researchers to work with European world-class research infrastructures. Increasing the competitiveness of European industry is also a major objective, supporting key technologies and services relevant for research infrastructures and their users, thus improving the conditions for supply of innovative solutions.
The overall aim is to endow Europe with world-class sustainable research infrastructures open and accessible to all researchers and innovators in Europe and beyond, which fully exploit their potential for scientific advance and innovation. Key objectives are to reduce the fragmentation of the research and innovation ecosystem, ensure continuous modernisation, avoiding duplication of effort, and better coordinate the development, use and accessibility of research infrastructures.
It is also crucial to support open access to research infrastructures for all European researchers as well as, through the European Open Science Cloud (hereafter 'EOSC'), increased access to digital research resources, specifically tackling the currently sub-optimal embracement of open science and open data practises. Equally, the EU needs to tackle the rapid increase of global competition for talent by attracting third country researchers to work with European world-class research infrastructures. Increasing the competitiveness of European industry is also a major objective, supporting key technologies and services relevant for research infrastructures and their users, thus improving the conditions for supply and utilisation of innovative solutions.
Past framework programmes have made a significant contribution towards the more efficient and effective use of national infrastructures as well as developed with the European Strategy Forum on Research Infrastructures (ESFRI) a coherent and strategy-led approach to policy making on pan-European research infrastructures. This strategic approach has generated clear advantages, including reducing duplication of effort with more efficient overall use of resources, as well as standardising processes and procedures.
Past framework programmes have made a significant contribution towards the more efficient and effective use of national infrastructures and towards the removal of barriers for transnational access, as well as developed with the European Strategy Forum on Research Infrastructures (ESFRI) a coherent and strategy-led approach to policy making on pan-European research infrastructures. This strategic approach has generated clear advantages, including reducing duplication of effort with more efficient overall use of resources, as well as standardising and harmonising processes and procedures. Strengthening and opening existing excellent R&I networks as well as creating new ones where appropriate, will also be a priority under this heading.
EU supported activity will provide added value through: consolidating and optimised existing research infrastructures alongside efforts to develop new infrastructures; establishing the European Open Science Cloud (EOSC) as an effective scalable and sustainable environment for data-driven research; the interconnection of national and regional research and education networks, enhancing and securing high-capacity network infrastructure for massive amounts of data and access to digital resources across borders and domain boundaries; overcoming barriers preventing the best research teams from accessing the best research infrastructures services in the EU; fostering the innovation potential of research infrastructures, focused on technology development and co-innovation as well as increased use of research infrastructures by industry.
EU supported activity will provide added value through: consolidating and optimised existing research infrastructures, including e-infrastructures, alongside efforts to develop new infrastructures; establishing the European Open Science Cloud (EOSC) as effective scalable and sustainable environment for data-driven research, the interconnection of national and regional research and education networks, enhancing and securing high-capacity network infrastructure for massive amounts of data and access to digital resources across borders and domain boundaries; overcoming barriers preventing the best research teams from accessing the best research infrastructures services in the EU; fostering the innovation potential of research infrastructures, focused on technology development and co-innovation as well as increased use of research infrastructures by industry.
And the international dimension of EU research infrastructures must be reinforced, fostering stronger cooperation with international counterparts and international participation in European research infrastructures for mutual benefit.
And the international dimension of EU research infrastructures must be reinforced, fostering stronger cooperation, access and connectivity with international counterparts and international participation in European research infrastructures for mutual benefit.
Activities will contribute to different Sustainable Development Goals (SDGs) such as: SDG 3 – Good Health and Well-Being for People; SDG 7 – Affordable and Clean Energy; SDG 9 – Industry Innovation and Infrastructure; SDG 13 – Climate Action.
Activities will contribute to different Sustainable Development Goals (SDGs) such as: SDG 3 – Good Health and Well-Being for People; SDG 7 – Affordable and Clean Energy; SDG 9 – Industry Innovation and Infrastructure; SDG 13 – Climate Action.
Amendment 32
Proposal for a decision
Annex I – part I – point 3 – point 3.2 – point 3.2.1
3.2.1.  Consolidating the Landscape of European Research Infrastructures
3.2.1.  Consolidating the Landscape of European Research Infrastructures
The establishment, operation and long-term sustainability of research infrastructures identified by ESFRI is essential for the EU to ensure a leading position in frontier research, the creation and use of knowledge and the competitiveness of its industries.
The establishment, operation and long-term sustainability of research infrastructures including the ones identified by ESFRI, as well as maximising their involvement in excellent Horizon Europe’s projects, is essential for the EU to ensure a leading position in frontier research, the creation and use of knowledge and the competitiveness of its industries.
The European Open Science Cloud (EOSC) should become an effective and comprehensive delivery channel for research infrastructures services and should provide Europe's research communities with the next generation of data services for harvesting, storing, processing (e.g. analytics, simulation, visualisation services) and sharing big science data. The EOSC should also provide researchers in Europe with access to the majority of data generated and collected by research infrastructures as well as to HPC and exascale resources deployed under the European Data Infrastructure (EDI)13 .
The European Open Science Cloud (EOSC) should become an effective and comprehensive delivery channel for research infrastructures services and should allow Europe's research communities to develop the next generation of data services for harvesting, storing, processing (e.g. analytics, simulation, visualisation services) and sharing big science data. The EOSC should also provide researchers in Europe with services encouraging the storage and processing of the majority of data generated and collected by researchers inside and outside of research infrastructures and should as well give access to HPC and exascale resources deployed under the European Data Infrastructure (EDI) 13.
The pan-European research and education network will link together and enable remote access to research infrastructures and research resources, by providing interconnectivity between universities, research institutes and research and innovation communities at EU level as well as international connections to other partner networks worldwide.
The pan-European research and education network will link together and enable remote access to research infrastructures and research resources, by providing interconnectivity between universities, research institutes and research and innovation communities at EU level as well as international connections to other partner networks worldwide.
Broad Lines
Broad Lines
–  The life-cycle of pan European research infrastructures through the design of new research infrastructures; their preparatory and implementation phase, their early-phase operation in complementarity with other funding sources, as well as the consolidation and optimisation of the research infrastructure ecosystem by monitoring the ESFRI landmarks and facilitating service agreements, evolutions, mergers or decommissioning of pan-European research infrastructures;
–  The life-cycle of pan European research infrastructures through the design of new research infrastructures; their preparatory and implementation phase, their early-phase operation in complementarity with other funding sources, as well as the consolidation and optimisation of the research infrastructure ecosystem by monitoring the ESFRI landmarks and facilitating service agreements, evolutions, mergers or decommissioning of pan-European research infrastructures;
–  The European Open Science Cloud, including: scalability and sustainability of the access channel; effective federation of European, national, regional and institutional resources; its technical and policy evolution to cope with new research needs and requirements (e.g. usage of sensitive data sets, privacy by design); data inter-operability and compliance with the FAIR principles; and a wide user base;
–  The European Open Science Cloud, including: scalability and sustainability of the access channel; effective federation of European, national, regional and institutional resources; its technical and policy evolution to cope with new research needs and requirements (e.g. usage of sensitive data sets, privacy by design); data inter-operability and compliance with the FAIR principles; and a wide user base;
–  The pan-European research and education network underpinning the EOSC and EDI as well as enabling the delivery of HPC/data services in a cloud based environment capable of coping with extreme large data sets and computational processes.
–  The pan-European research and education network underpinning the EOSC and EDI as well as enabling the delivery of HPC/data services in a cloud based environment capable of coping with extreme large data sets and computational processes.
__________________
__________________
13 The European Data Infrastructure will underpin the European Open Science cloud by providing world-class High Performance Computing capability, high speed connectivity and leading-edge data and software services.
13 The European Data Infrastructure will underpin the European Open Science cloud by providing world-class High Performance Computing capability, high speed connectivity and leading-edge data and software services.
Amendment 33
Proposal for a decision
Annex I – part I – point 3 – point 3.2 – point 3.2.2
3.2.2.  Opening, Integrating and Interconnecting Research Infrastructures
3.2.2.  Opening, Integrating and Interconnecting Research Infrastructures
The research landscape will be significantly enhanced through ensuring openness to key international, national and regional research infrastructures for all EU researchers and integrating their services when necessary so as to harmonise access conditions, improve and enlarge service provision and encourage common development strategy of high tech components and advanced services through innovation actions.
The research landscape will be significantly enhanced through ensuring openness to key international, national and regional research infrastructures for all EU researchers and innovators and integrating their services when necessary so as to harmonise access conditions, improve and enlarge service provision and encourage common development strategy of high tech components and advanced services through innovation actions.
Broad Lines
Broad Lines
–  Networks that bring together national and regional funders of research infrastructures for the co-funding of trans-national access of researchers;
–  Networks that bring together national and regional funders of research infrastructures for the co-funding of trans-national access of researchers;
–  Networks of pan EU, national and regional research infrastructures addressing global challenges for the provision of access to researchers as well as for the harmonisation and improvement of the infrastructures' services;
–  Networks of pan-European, national and regional research infrastructures, including small and medium-sized ones, for the provision of access to researchers as well as for the harmonisation and improvement of the infrastructures' services;
–  Integrated networks of research infrastructures for development and implementation of a common strategy/roadmap for technological development required to improve their services through partnership with industry; as well as high-tech components in areas such as scientific instrumentation; and for fostering the use of research infrastructures by industry, e.g. as experimental test facilities.
–  Integrated networks of research infrastructures for development and implementation of a common strategy/roadmap for technological development required to improve their services through partnership with industry; as well as high-tech components in areas such as scientific instrumentation; and for fostering the use of research infrastructures by industry, e.g. as experimental test facilities.
Amendment 34
Proposal for a decision
Annex I – part II
II GLOBAL CHALLENGES AND INDUSTRIAL COMPETITIVENESS
II GLOBAL CHALLENGES AND EUROPEAN INDUSTRIAL COMPETITIVENESS
Many of the challenges which confront the EU are also global challenges. The scale and complexity of the problems are vast, and need to be matched by the appropriate money, resources and effort in order to find solutions. These are precisely the areas where the EU must work together; smart, flexible and joined-up for the benefit and well-being of our citizens.
In an interconnected world, many of the challenges which confront the EU are also global. The scale and complexity of the problems are vast, and need to be matched by the appropriate financial and human resources and effort in order to find solutions. These are precisely the areas where the EU must work together; smart, flexible and joined-up for the benefit and well-being of our citizens.
Greater impact can be obtained through aligning actions with other nations and regions of the world within an unprecedented international cooperation along the lines indicated by the Sustainable Development Goals and the Paris climate agreement. Based on mutual benefit, partners from across the world will be invited to join EU efforts as an integral part of research and innovation for sustainability.
Greater impact can be obtained through aligning actions with other nations and regions of the world within an unprecedented international cooperation as indicated by the Sustainable Development Goals and the Paris climate agreement. Based on mutual benefit, partners from across the world will be invited to join EU efforts as an integral part of research and innovation for sustainability.
Research and innovation are key drivers of sustainable growth and industrial competitiveness, and they will contribute to finding solutions to today’s problems, to reverse as quickly as possible, the negative and dangerous trend that currently links economic development, the use of natural resources and social issues, and turn it into new business opportunities.
Research and innovation are key drivers of sustainable development, including growth and industrial competitiveness, and they will contribute to finding solutions to today’s problems, to reverse as quickly as possible, the negative and dangerous trend that currently links economic development, the use of natural resources and social issues, and turn it into jobs and new business opportunities and economic, social and environmental development.
The EU will benefit as user and producer of technologies and industries showcasing how modern industrialised, sustainable inclusive, open and democratic society and economy can function and develop. The growing economic-environmental-social examples of the sustainable industrial economy of the future will be fostered and boosted, be they for: health and well-being for all; or resilient inclusive and secure societies; or available clean energy and mobility; or a digitised economy and society; or a transdisciplinary and creative industry; or space marine or land-based solutions; or food and nutrition solutions; sustainable use of natural resources climate protection and adaptation, all generating wealth in Europe and offering higher quality jobs. Industrial transformation will be crucial.
The EU will benefit as user and producer of knowledge, technologies and industries. It can showcase how modern industrialised, sustainable inclusive, open and democratic society and economy can function and develop. The growing economic-environmental-social examples of the sustainable industrial economy of the future will be fostered and boosted, be they for: health and well-being for all; or inclusive and creative societies; or secure societies; or available clean energy and mobility; or a digitised economy and society; or a transdisciplinary and effective industry; or space marine or land-based solutions; or food and nutrition solutions; sustainable use of natural resources climate protection and mitigation, all generating wealth in Europe and offering higher quality jobs. Industrial transformation will be crucial.
Research and innovation under this pillar of Horizon Europe is grouped into integrated clusters of activities. Rather than addressing sectors, the investments aim at systemic changes for our society and economy along a sustainability vector. These will only be achieved if all actors, both private and public, engage in co-designing and co-creating research and innovation; bringing together end-users, scientists, technologists, producers, innovators, businesses, educators, citizens and civil society organisations. Therefore, none of the thematic clusters is intended for only one set of actors.
Research and innovation under this pillar of Horizon Europe is grouped into integrated clusters of activities. Rather than addressing sectors, the investments aim at systemic changes for our society and economy along an inclusiveness and a sustainability vector. These will only be achieved if all actors, both private and public, engage in co-designing and co-creating research and innovation; bringing together end-users, researchers, scientists, technologists, designers, producers, innovators, businesses, educators, citizens and civil society organisations. Therefore, none of the thematic clusters is intended for only one set of actors.
Clusters will support knowledge creation in all its stages of development, including early stage research activities, complemented by cross-cutting support to ambitious, long-term, large-scale research initiatives geared towards future and emerging technologies (FET Flagships) initiated under the previous framework programme: Human Brain Project, Graphene, Quantum Technologies and Future Battery Technologies.
Clusters will develop and apply digital, key enabling and emerging technologies as part of a common strategy to promote the EU's industrial leadership. Where appropriate this will use EU space-enabled data and services.
Clusters will also develop and apply digital, key enabling and future emerging technologies as part of a common strategy to promote the EU's industrial leadership. Where appropriate this will use EU space-enabled data and services.
There will be support to bring technology from lab to market and to develop applications including pilot lines and demonstrators, measures to stimulate market uptake and to boost private sector commitment. Synergies with other programmes will be maximised.
There will be support to bring technology from lab to market and to develop applications including pilot lines and demonstrators, measures to stimulate market uptake and to boost private sector commitment. Synergies with other parts of Horizon Europe, especially the EIT, as well as other programmes will be maximised.
The clusters will boost the quick introduction of first-of-its-kind innovation in the EU through a broad range of embedded activities, including communication, dissemination and exploitation, standardisation as well as support to non-technological innovation and innovative delivery mechanisms, helping create innovation friendly societal, regulatory and market conditions such as the innovation deals. Pipelines of innovative solutions originating from research and innovation actions will be established and targeted to public and private investors as well as other relevant EU and national programmes.
The clusters will boost the quick introduction of first-of-its-kind innovation in the EU, while studying its impact on society, through a broad range of embedded activities, including communication, dissemination and exploitation, standardisation as well as support to non-technological innovation and innovative delivery mechanisms, helping create innovation friendly societal, regulatory and market conditions such as the innovation deals. Pipelines of innovative solutions originating from research and innovation actions will be established and targeted to leverage additional public and private investors as well as other relevant EU and national programmes.
Special attention will be put into supporting SMEs across Pillar 2 in collaborative parts and via a dedicated mono-beneficiary, grant-based SME Instrument. All clusters shall dedicate an appropriate amount to the SME instrument, which will be fully bottom up, with continuously open calls and a number of cut-off dates, dedicated exclusively to incremental innovation. Only SMEs will be allowed to apply for funding, including via collaborations or subcontracting. Projects must have a clear European dimension and contribute to EU added value.
Support via the SME instrument will be provided in three phases, based on the model on Horizon Europe:
—  Phase 1: Concept and feasibility assessment:
SMEs will receive funding to explore the scientific or technical feasibility and the commercial potential of a new idea (proof of concept) in order to develop an innovation project. A positive outcome of this assessment, in which the linkage between project-topic and potential user/buyer needs is an important issue, will allow for funding under the following phase(s).
—  Phase 2: R&D, demonstration, market replication:
With due attention to the innovation voucher concept, research and development will be supported with a particular focus on demonstration activities (testing, prototype, scale-up studies, design, piloting innovative processes, products and services, validation, performance verification etc.) and market replication encouraging the involvement of end users or potential clients. Innovation Vouchers will promote the participation of young entrepreneurs.
—  Phase 3: Commercialisation:
This phase will not provide direct funding other than support activities, but aims to facilitate access to private capital and innovation enabling environments. Links with the EIC and InvestEU will be foreseen. SMEs will also benefit from support measures such as networking, training, coaching and advice. In addition, this phase may connect to measures promoting pre-commercial procurement and procurement of innovative solutions.
Amendment 35
Proposal for a decision
Annex I – part II – point 1 – point 1.1
1.1.  Rationale
1.1.  Rationale
The EU Pillar of Social Rights asserts that everyone has the right to timely access to affordable, preventive and curative health care of good quality. This underlines the EU’s commitment to the UN’s Sustainable Development Goals calling for universal health coverage for all at all ages by 2030, leaving no one behind, and ending preventable deaths.
The EU Pillar of Social Rights asserts that everyone has the right to timely access to affordable, preventive and curative health care of good quality. This underlines the EU’s commitment to the UN’s Sustainable Development Goals calling for universal health coverage for all at all ages by 2030, leaving no one behind, and ending preventable deaths.
A healthy population is vital for a stable, sustainable and inclusive society, and improvements in health are crucial in reducing poverty, in fostering social progress and prosperity, and in increasing economic growth. According to the OECD a 10% improvement in life expectancy is also associated with a rise in economic growth of 0.3-0.4% a year. Life expectancy in the EU increased by 12 years since its establishment as a result of tremendous improvements achieved in the quality of life, education, health and care of its people. In 2015, overall life expectancy at birth was 80.6 years in the EU compared to 71.4 years globally. In the past years, it increased in the EU on average by 3 months annually.
A healthy population is vital for a stable, sustainable and inclusive society, and improvements in health are crucial in reducing poverty, in fostering social progress and prosperity, and in increasing economic growth. According to the OECD a 10% improvement in life expectancy is also associated with a rise in economic growth of 0.3-0.4% a year. Life expectancy in the EU increased by 12 years since its establishment as a result of tremendous improvements achieved in the quality of life, including education and health. In 2015, overall life expectancy at birth was 80.6 years in the EU compared to 71.4 years globally. In the past years, it increased in the EU on average by 3 months annually.
Health research and innovation research and innovation have played a significant part in this achievement but also in improving productivity and quality in the health and care industry. However, the EU continues to face novel, newly emerging or persisting challenges that are threatening its citizens and public health, the sustainability of its health care and social protection systems, as well as the competitiveness of its health and care industry. Major health challenges in the EU include: the lack of effective health promotion and disease prevention; the rise of non-communicable diseases; the spread of antimicrobial drug resistance and the emergence of infectious epidemics; increased environmental pollution; the persistence of health inequalities among and within countries affecting disproportionally people that are disadvantaged or in vulnerable stages of life; the detection, understanding, control, prevention and mitigation of health risks in a rapidly changing social, urban and natural environment; the increasing costs for European health care systems and the progressive introduction of personalised medicine approaches and digitalisation in health and care; and the increasing pressure on the European health and care industry to remain competitive in and by developing health innovation vis-a-vis new and emerging global players.
Health research and innovation have played a significant part in this achievement but also in improving productivity and quality in the health and care industry as well as in providing the knowledge basis for healthier people and for better patient care. Health research has unique features, connecting and interacting closely with innovation, patient care and population health, and operating in a multidisciplinary environment with complex regulation.
However, the EU continues to face novel, newly emerging or persisting challenges that are threatening its citizens and public health, the sustainability of its health care and social protection systems, as well as the competitiveness of its health and care industry. Major health challenges in the EU include: the increased cases of cancer; the lack of effective health promotion and disease prevention; the rise of non-communicable diseases; the spread of antimicrobial drug resistance and the emergence of infectious epidemics; increased environmental pollution; the persistence of health inequalities among and within countries affecting disproportionally people that are disadvantaged or in vulnerable stages of life; the early detection, understanding, control, prevention and mitigation of health risks in a rapidly changing social, urban and natural environment; increasing the number of healthy life years; the high costs of some innovative health tools and technologies for end-users; the increasing costs for European health care systems and the progressive introduction of precision medicine approaches including the relevant research and digitalisation in health and care; and the increasing pressure on the European health and care industry to remain competitive in and by developing health innovation vis-a-vis new and emerging global players.
Digital health solutions have created many opportunities to solve the problems of care services and to address the other emerging issues of ageing society. Challenges also include taking full advantage of the progressive introduction of the opportunities that digitalisation in health and care provide without jeopardising the right to privacy and data protection. Digital devices and software have been developed to diagnose, treat and facilitate patients’ self-management of illness, including chronic diseases. Digital technologies are also increasingly used in medical training and education and for patients and other healthcare consumers to access, share and create health information.
These health challenges are complex, interlinked and global in nature and require multidisciplinary, cross-sectorial and transnational collaborations. Research and innovation activities will build close linkages between discovery, clinical, epidemiological, environmental and socio-economic research as well as with regulatory sciences. They will harness the combined skills of academia and industry and foster their collaboration with health services, patients, policy-makers and citizens in order to leverage on public funding and ensure the uptake of results in clinical practice as well as in health care systems. They will foster strategic collaboration at EU and international level in order to pool the expertise, capacities and resources needed to create economies of scale, scope and speed as well as to share the expected benefits and financial risks involved.
Today’s health challenges are complex, interlinked and global in nature and require multidisciplinary, cross-sectorial, translational and transnational collaborations, including with low-and middle-income countries. Research and innovation will build close linkages between clinical, epidemiological, ethical, environmental and socio-economic research as well as with regulatory sciences. They will harness the combined skills of academia and industry and foster their collaboration with health services, patients, policy-makers, civil society organisations and citizens in order to leverage on public funding and ensure the uptake of results in clinical practice as well as in health care systems. They will foster strategic collaboration at EU and international level in order to pool the expertise, capacities and resources needed to create economies of scale, scope and speed as well as to share the expected benefits and financial risks involved. Studies and research under this cluster shall take into account the gender perspective and differences.
The research and innovation activities of this global challenge will develop the knowledge base, build the research and innovation capacity and develop the solutions needed for a more effective promotion of health and the prevention, treatment and cure of diseases. Improving health outcomes will in turn result in increased life expectancy, healthy active lives and productivity of working age people, and sustainability of health and care systems.
The research and innovation activities of this global challenge will develop the human resources and knowledge base, build the research and innovation capacity and develop the solutions needed for a more effective promotion of health and the prevention, treatment and cure of diseases. Improving health outcomes will in turn result in increased life expectancy, generalised healthy and active lives and productivity of working age people, and sustainability of health and care systems. Innovation in the field of rapid diagnostic techniques and new antibiotics may prevent the development of antimicrobial resistance and will be promoted.
Addressing major health challenges will contribute to the EU's policy goals and strategies, notably to the EU Pillar of Social Rights, the EU Digital Single Market, the EU Directive on cross-border healthcare, and the European One Health Action Plan against antimicrobial resistance (AMR), and to the implementation of the relevant EU regulatory frameworks. It will also support the EU’s commitment to the United Nation's 2030 Agenda for Sustainable Development and those in the context of other UN organisations and international initiatives, including the global strategies and plans of action of the World Health Organization (WHO).
Addressing major health challenges will contribute to the EU's policy goals and strategies, notably to the EU Pillar of Social Rights, the EU Digital Single Market, the EU Directive on cross-border healthcare, and the European One Health Action Plan against antimicrobial resistance (AMR), and to the implementation of the relevant EU regulatory frameworks. It will also support the EU’s commitment to the United Nation's 2030 Agenda for Sustainable Development and those in the context of other UN organisations and international initiatives, including the global strategies and plans of action of the World Health Organization (WHO).
A High-Level group will support achieving these aims, namely, the Steering Board for Health. It shall ensure coordination with other EU and national research programmes as well as synergies between the health cluster and other parts of Horizon Europe, including missions and partnerships. It will be science-led and include all relevant stakeholders, with strong participation of society, citizens and patients. It will be tasked to provide steering and advice in developing the work programme and missions related to health.
Activities will contribute directly to the following Sustainable Development Goal (SDGs) in particular: SDG 3 – Good Health and Well-Being for People; SDG13 – Climate Action.
Activities will contribute directly to the following Sustainable Development Goal (SDGs) in particular: SDG 3 – Good Health and Well-Being for People; SDG13 – Climate Action; and indirectly to SDGs 1 – No poverty; SDG 5 – Gender equality; SDG 6 – Clean water and sanitation; SDG 10 – Reduced inequalities.
Amendment 36
Proposal for a decision
Annex I – part II – point 1 – point 1.2 – point 1.2.1
1.2.1.  Health throughout the Life Course
1.2.1.  Health throughout the Life Course
People in vulnerable stages of life (birth, infancy, childhood, adolescence, pregnancy, mature and late adulthood), including people with disabilities or injuries, have specific health needs that require better understanding and tailored solutions. This will allow reducing related health inequalities and improving health outcomes to the benefit of active and healthy ageing throughout the life course, in particular through a healthy start of life reducing the risk of mental and physical diseases later in life.
People in vulnerable stages of life (birth, infancy, childhood, adolescence, pregnancy, mature and late adulthood), including people with disabilities, special needs or injuries, have specific health needs that require better understanding and tailored solutions. This will allow reducing related health inequalities and improving health outcomes to the benefit of active and healthy ageing throughout the life course, in particular through a healthy start of life reducing the risk of mental and physical diseases later in life.
Broad Lines
Broad Lines
–  Early development and the aging process throughout the life course;
–  Age-related diseases and the aging process throughout the life course;
–  Maternal, paternal, infant and child health as well as the role of parents;
–  Maternal, paternal, infant and child health, including child and maternal survival, as well as the role of parents;
—  Health needs and long-term consequences associated with high mortality and long-term morbidity, especially related to childhood issues;
–  Health needs of adolescents;
–  Health needs of adolescents, including psychological wellbeing;
–  Health consequences of disabilities and injuries;
–  Aetiology of disabilities and health consequences of disabilities and injuries;
–  Independent and active life for the elderly and/or disabled people;
–  Independent and active life for the elderly and/or disabled people;
–  Health education and digital health literacy.
–  Health education and digital health literacy;
—  Regeneration of aged or damaged organs and tissue;
—  Angiogenesis, arterial pathology, myocardial ischemia and structural pathology of the heart and biomarkers and genetics of cardiovascular diseases;
—  Treatment of chronic diseases.
Amendments 37, 276 and 277
Proposal for a decision
Annex I – part II – point 1 – point 1.2 – point 1.2.2
1.2.2.  Environmental and Social Health Determinants
1.2.2.  Environmental and Social Health Determinants
Improved understanding of health drivers and risk factors determined by the social, economic and physical environment in people’s everyday life and at the workplace, including the health impact of digitalisation, pollution, climate change and other environmental issues, will contribute to identify and mitigate health risks and threats; to reducing death and illness from exposure to chemicals and environmental pollution; to supporting environmental-friendly, healthy, resilient and sustainable living and working environments; to promoting healthy lifestyles and consumption behaviour; and to developing an equitable, inclusive and trusted society.
Improved understanding of health drivers and risk factors determined by the social, economic and physical environment in people’s everyday life and at the workplace, including the health impact of digitalisation, pollution, rapid urbanisation, climate change and other national and transnational environmental issues, will contribute to identify, prevent and mitigate health risks and threats; to identifying and to reducing death and illness from exposure to chemicals and environmental pollution; to supporting safe environmental-friendly, healthy, resilient and sustainable living and working environments; to promoting healthy lifestyles and consumption behaviour; and to developing an equitable, inclusive and trusted society.
Broad Lines
Broad Lines
–  Technologies for assessing hazards, exposures and health impact of chemicals, pollutants and other stressors, including climate-related and environmental stressors, and combined effects of several stressors;
–  Safe and effective technologies and methodologies for assessing hazards, exposures and health impact of chemicals, pollutants and other stressors, including climate-related and environmental stressors, and combined effects of several stressors;
–  Environmental, occupational, social and behavioural factors impacting physical and mental health and well-being of people and their interaction, with special attention to vulnerable and disadvantaged people;
–  Environmental, including built environment (design and construction), occupational, economic, political, social and behavioural factors impacting physical and mental health and well-being of people and their interaction, with special attention to vulnerable and disadvantaged people as well as people with disabling or impairing conditions;
–  Risk assessment, management and communication, supported by improved tools for evidence-based decision-making, including alternatives to animal testing;
–  Risk assessment, management and communication, including information sharing, supported by improved tools for evidence-based decision-making, including alternatives to animal testing;
–  Capacity and infrastructures to collect, share and combine data on all health determinants, including exposure, health and diseases at EU and international level;
–  Capacity and infrastructures to collect, share and combine data on all health determinants, including exposure, health and diseases at EU and international level;
–  Health promotion and primary prevention interventions.
–  Health promotion and primary prevention interventions.
–  Research on measures to plan, implement and monitor rehabilitation throughout the life course.
–   Research on measures to plan and implement early individual rehabilitation programmes (EIRP) for children affected by disabling pathologies.
Amendment 38
Proposal for a decision
Annex I – part II – point 1 – point 1.2 – point 1.2.3
1.2.3.  Non-Communicable and Rare Diseases
1.2.3.  Non-Communicable and Rare Diseases
Non-communicable diseases (NCDs), including rare diseases, pose a major health and societal challenge and call for more effective approaches in prevention, treatment and cure, including personalised medicine approaches.
Non-communicable diseases (NCDs), including rare diseases, pose a major health and societal challenge and call for more effective approaches in prevention, diagnosis, treatment and cure, including precision medicine approaches.
Broad Lines
Broad Lines
–  Diagnostics for earlier and more accurate diagnosis and for patient-adapted treatment;
–  Diagnostics for earlier and more accurate diagnosis and for timely patient-adapted treatment;
–  Infrastructure and capabilities to harness the potential of genomic medicine advances into standard clinical practice;
–  Prevention and screening programmes;
–  Prevention and screening programmes;
–  Integrated solutions for self-monitoring, health promotion, disease prevention, and management of chronic conditions and multi-morbidities;
–  Integrated solutions for self-monitoring, health promotion, disease prevention, and management of chronic conditions and multi-morbidities;
–  Treatments or cures, including both pharmacological and nonpharmacological treatments;
–   Safe, effective and accessible treatments, cures or other therapeutic strategies, including both pharmacological and non-pharmacological treatments;
–  Palliative care;
–  Palliative care;
–  Collaborative research on molecular, structural and cell biology, experimental therapies, genetics, genomics and environmental bases of human cancer;
–  The genomic frontier, epidemiology, bioinformatics, pathology and challenges of precision medicine in rare diseases, neurodegenerative diseases and oncology;
–  Areas of high-unmet clinical need, such as rare cancers including paediatric cancers;
–  Assessment of comparative effectiveness of interventions and solutions;
–  Assessment of comparative effectiveness of interventions and solutions;
–  Implementation research to scale up health interventions and support their uptake in health policies and systems.
–  Implementation research to scale up health interventions and support their uptake in health policies and systems.
Amendment 39
Proposal for a decision
Annex I – part II – point 1 – point 1.2 – point 1.2.4
1.2.4.  Infectious Diseases
1.2.4.  Infectious Diseases
Protecting people against cross-border health threats is a major challenge for public health, calling for effective international cooperation at EU and global level. This will involve prevention, preparedness, early detection, treatment and cure of infectious diseases, and also tackling antimicrobial resistance (AMR) following a 'One Health approach'.
Protecting people against communicable diseases and cross-border health threats is a major challenge for public health, calling for effective international cooperation at EU and global level. This will involve prevention, preparedness, early detection, treatment and cure of infectious diseases, and also tackling antimicrobial resistance (AMR) following a 'One Health approach'. The continue spread of antimicrobial resistant bacteria, including super bacteria, will equally have significant detrimental impact on the economy and environment. Preventing their development and spread will also be one of the priorities under this heading. In addition, the World Health Organisation has defined a list of neglected diseases that lack private sector R&I investments due to limited commercial incentives. More ambitious public investments are needed to address the burden of such poverty-related and neglected diseases.
Broad Lines
Broad Lines
–  Drivers for the emergence or re-emergence of infectious diseases and their spread, including transmission from animals to humans (zoonosis), or from other parts of the environment (water, soil, plants, food) to humans;
–  Drivers for the emergence or re-emergence of infectious diseases and their spread, including transmission from animals to humans (zoonosis), or from other parts of the environment (water, soil, plants, food) to humans and the implementation of empirical preventive solutions that minimize transmission;
–  Prediction, early detection and surveillance of infectious diseases, including antimicrobial resistant pathogens, healthcare-associated infections and environmental related factors;
–  Prediction, early detection and surveillance of infectious diseases, including antimicrobial resistant pathogens, healthcare-associated infections and environmental related factors;
–  Vaccines, diagnostics, treatments and cures for infectious diseases, including co-morbidities and co-infections;
—  Suitable, safe and efficient diagnostics, medical technologies, treatments and vaccines for prevention and prophylaxis of infectious diseases, including research and discovery of novel vaccine, advance immunization technologies and regulatory sciences;
–  Effective health emergency preparedness, response and recovery measures and strategies, involving communities;
–  Effective health emergency preparedness, response and recovery measures and strategies, involving communities;
–  Barriers to the implementation and uptake of medical interventions in clinical practice as well as in the health system;
–  Barriers to the implementation and uptake of medical interventions in clinical practice as well as in the health system;
–  Trans-border aspects of infectious diseases and specific challenges in low- and middle-income countries (LMICs), such as tropical diseases.
–  Trans-border aspects of infectious diseases and specific challenges in low- and middle-income countries (LMICs), such as neglected tropical diseases, AIDS, tuberculosis and malaria. Development of new treatment methods for infectious diseases to counteract antimicrobial resistance.
Amendment 40
Proposal for a decision
Annex I – part II – point 1 – point 1.2 – point 1.2.5
1.2.5.  Tools, Technologies and Digital Solutions for Health and Care
1.2.5.  Tools, Technologies and Digital Solutions for Health and Care
Health technologies and tools are vital for public health and contributed to a large extent to the important improvements achieved in the quality of life, health and care of people, in the EU. It is thus a key strategic challenge to design, develop, deliver and implement suitable, trustable, safe, and cost-effective tools and technologies for health and care, taking due account of the needs of people with disabilities and the aging society. These include artificial intelligence and other digital technologies, offering significant improvements over existing ones, as well as stimulating a competitive and sustainable health-related industry that creates high-value jobs. The European health-related industry is one of the critical economic sectors in the EU, accounting for 3% of GDP and 1.5 million employees.
Health technologies and tools are vital for public health and contributed to a large extent to the important improvements achieved in the quality of life, health and care of people, in the EU. It is thus a key strategic challenge to design, develop, deliver and implement suitable, trustable, safe and cost-effective tools and technologies for health and care, taking due account of the needs of people with disabilities and the aging society. These include the key enabling technologies, artificial intelligence, robotics, big data, quantum technology and other digital tools and technologies, offering significant improvements over existing ones, as well as stimulating a competitive and sustainable health-related industry that creates high-value jobs. The European health-related industry is one of the critical economic sectors in the EU, accounting for 3% of GDP and 1.5 million employees.
Broad Lines
Broad Lines
–  Tools and technologies for applications across the health spectrum and any relevant medical indication, including functional impairment;
–  Tools and technologies for applications across the health spectrum, including the manufacturing of health technologies and any relevant medical indication, including functional impairment;
–  Artificial intelligence and robotics for health technologies and tools;
–  Integrated tools, technologies and digital solutions for human health, including mobile and telehealth;
–  Integrated tools, technologies and digital solutions for human health, including mobile and telehealth;
–  Personalised, digital health approaches based on "Digital Twins", accurate data-driven computer models of key biological processes of the human body, allowing identification of the best therapy per individual, health prevention and maintenance measures;
–  Piloting, large-scale deployment, optimisation, and innovation procurement of health and care technologies and tools in real-life settings including clinical trials and implementation research;
–  Piloting, large-scale deployment, optimisation, and innovation procurement of health and care technologies and tools in real-life settings including clinical trials and implementation research;
–  Innovative processes and services for the development, manufacturing and rapid delivery of tools and technologies for health and care;
–  Innovative processes and services for the development, manufacturing and rapid delivery of care tools, technologies, medicines and vaccines;
–  The safety, efficacy and quality of tools and technologies for health and care as well as their ethical legal and social impact;
–  The safety, efficacy and quality of tools and technologies for health and care as well as their ethical legal and social impact;
–  Regulatory science for health technologies and tools.
–  Regulatory science for health technologies and tools;
–  Tools, technologies and digital solutions to increase the safety of medical decisions.
Amendment 41
Proposal for a decision
Annex I – part II – point 1 – point 1.2 – point 1.2.6
1.2.6.  Health Care Systems
1.2.6.  Health Care Systems
Health systems are a key asset of the EU social systems, accounting for 24 million employees in the health and social work sector in 2017. It is a main priority to render health systems accessible, cost-effective, resilient, sustainable and trusted as well as to reduce inequalities, including by unleashing the potential of data-driven and digital innovation for better health and person-centred care building on open European data infrastructures. This will advance the digital transformation of health and care.
Health systems are a key asset of the EU social systems, accounting for 24 million employees in the health and social work sector in 2017. It is a main priority to render health systems accessible, cost-effective, resilient, sustainable and trusted as well as to reduce inequalities, including by unleashing the potential of data-driven and digital innovation for better health and person-centred care building on open European data infrastructures. This will advance the digital transformation of health and care. The future infrastructure should rely on secure storages, such as 5G deployment, conditions for IoT development as well as high performance computing centres.
Broad Lines
Broad Lines
–  Reforms in public health systems and policies in Europe and beyond;
–  Reforms in public health systems and policies in Europe and beyond;
–  New models and approaches for health and care and their transferability or adaptation from one country/region to another;
–  New models and approaches for health and care and their transferability or adaptation from one country/region to another;
–  Improving health technology assessment;
–  Improving health technology assessment;
–  Evolution of health inequality and effective policy response;
–  Evolution of health inequality and effective policy response;
–  Future health workforce and its needs;
–  Future health workforce and its needs;
–  Develop schemes for specialised training of healthcare professionals, training and developing technical know-how and new ways of working meeting innovation in e-health;
–  Improving timely health information and use of health data, including electronic health records, with due attention to security, privacy, interoperability, standards, comparability and integrity;
–  Improving timeliness and quality of health information, as well as the infrastructure for the effective collection and use of health data, including electronic health records, with due attention to security, privacy, interoperability, standards, comparability and integrity; health information and use of health data, including electronic health records, with due attention to security, trust, privacy, interoperability, standards, comparability, integrity;
–  Health systems resilience in absorbing the impact of crises and to accommodate disruptive innovation;
–  Health systems resilience in absorbing the impact of crises and to accommodate disruptive innovation;
–  Solutions for citizen and patient empowerment, self-monitoring, and interaction with health and social care professionals, for more integrated care and a user-centred approach;
–  Solutions for citizen and patient empowerment, self-monitoring, and interaction with health and social care professionals, for more integrated care and a user-centred approach;
–  Data, information, knowledge and best practice from health systems research at EU-level and globally.
–  Data, information, knowledge and best practice from health systems research at EU-level and globally.
Amendment 42
Proposal for a decision
Annex I – part II – point 2 – introductory part
2.  CLUSTER 'INCLUSIVE AND SECURE SOCIETY'
2.  CLUSTER 'INCLUSIVE AND CREATIVE SOCIETY'
Amendment 43
Proposal for a decision
Annex I – part II – point 2 – point 2.1
2.1.  Rationale
2.1.  Rationale
The EU stands for a unique way of combining economic growth with social policies, with high levels of social inclusion, shared values embracing democracy, human rights, gender equality and the richness of diversity. This model is constantly evolving and needs to deal with the challenges from amongst other things, globalisation and technological change. Europe also has to respond to the challenges arising from persistent security threats. Terrorist attacks and radicalisation, as well as cyber-attacks and hybrid threats, raise major security concerns and put particular strain on societies.
The EU stands for a unique way of combining prosperity, economic growth and sustainability with social policies, with high levels of social inclusion, shared values embracing democracy, human rights, gender equality and the richness of diversity. This model is constantly evolving and needs to deal with the challenges from amongst other things, digitalisation, globalisation, and technological evolution.
The EU must promote a model of inclusive and sustainable growth while reaping the benefits of technological advancements, enhancing trust in and promoting innovation of democratic governance, combatting inequalities, unemployment, marginalisation, discrimination and radicalisation, guaranteeing human rights, fostering cultural diversity and European cultural heritage and empowering citizens through social innovation. The management of migration and the integration of migrants will also continue to be priority issues. The role of research and innovation in the social sciences and the humanities in responding to these challenges and achieving the EU’s goals is fundamental.
The EU must promote a model of inclusive and sustainable growth while reaping the benefits of technological advancements, enhancing trust in and promoting innovation of democratic governance, combatting inequalities, unemployment, marginalisation, discrimination and radicalisation, guaranteeing human rights, fostering cultural diversity and European cultural heritage and empowering citizens through social innovation. The management of migration and the integration of migrants will also continue to be priority issues.
The role of research and innovation in the social sciences and the humanities and in the cultural and creative sector, in responding to these challenges and achieving the EU’s goals is fundamental. Due to its broad spectrums, size, and impact in today’s digital transformation, these sectors contribute significantly to our economy. As interrelations between social and technological innovation are complex, and rarely linear, further research, including cross-sectoral and multidisciplinary research, is needed into the development of all types of innovation and activities funded to encourage its effective development into the future.
European citizens, state institutions and the economy need to be protected from the continued threats of organised crime, including firearms trafficking, drug trafficking and trafficking in human beings. Strengthening protection and security through better border management is also key. Cybercrime is on the increase and related risks are diversifying as the economy and society digitalise. Europe needs to continue its effots to improve cybersecurity, digital privacy, personal data protection and combat the spread of false and harmful information in order to safeguard democratic and economic stability. Lastly, further efforts are required to limit the effects on lives and livelihoods of extreme weather events which are intensifying due to climate change, such as floods, storms or droughts leading to forest fires, land degradation and other natural disasters, e.g. earthquakes. Disasters, whether natural or man-made, can put at risk important societal functions, such as health, energy supply and government.
The magnitude, complexity and trans-national character of the challenges call multi-layered EU action. Addressing such critical social, political, cultural and economic issues, as well as security challenges, only at national level would carry the danger of inefficient use of resources, fragmented approaches and dissimilar standards of knowledge and capacity.
Security research is part of the wider comprehensive EU response to security threats. It contributes to the capability development process by enabling the future availability of technologies and applications to fill capability gaps identified by policy-makers and practitioners. Already, funding to research through the EU's framework programme has represented around 50% of total public funding for security research in the EU. Full use will be made of available instruments, including the European space programme (Galileo and EGNOS, Copernicus, Space Situational Awareness and Governmental Satellite Communications). Synergies are sought with the activities supported by EU-funded defence research and duplication of funding is avoided. Cross-border collaboration contributes to developing a European single security market and improving industrial performance, underpinning the EU's autonomy.
Research and Innovation activities in this Global Challenge will be overall aligned with the Commission's priorities on Democratic Change; Jobs, Growth and Investment; Justice and Fundamental Rights; Migration; A Deeper and Fairer European Monetary Union; Digital Single Market. It will respond to the commitment of the Rome Agenda to work towards: "a social Europe" and "a Union which preserves our cultural heritage and promotes cultural diversity". It will also support the European Pillar of Social Rights, and the Global Compact for safe, orderly and regular migration. Security research responds to the commitment of the Rome Agenda to work towards "a safe and secure Europe", contributing to a genuine and effective Security Union. Synergies with the Justice Programme and with the Rights and Values Programme, which support activities in the area of access to justice, victims' rights, gender equality, non-discrimination, data protection and promotion of the European citizenship will be exploited.
Research and Innovation activities in this Global Challenge will be overall aligned with the Commission's priorities on Democratic Change; Jobs, Growth and Investment; Justice and Fundamental Rights; Migration; A Deeper and Fairer European Monetary Union; Digital Single Market. It will respond to the commitment of the Rome Agenda to work towards: "a social Europe" and "a Union which preserves our cultural heritage and promotes cultural diversity". It will also support the European Pillar of Social Rights.
Activities will contribute directly to the following Sustainable Development Goals (SDGs) in particular: SDG 1 - No Poverty; SDG 4 - Quality Education; SDG – Decent Work and Economic Growth; SDG 9 – Industry, Innovation and Infrastructure; SDG 10 - Reducing Inequalities; SDG 11- Sustainable Cities and Communities; SDG 16 – Peace, Justice and Strong Institutions.
Activities will contribute directly to the following Sustainable Development Goals (SDGs) in particular: SDG 1 - No Poverty; SDG 4 - Quality Education; SDG 5 Gender equality; SDG 8 – Decent Work and Economic Growth; SDG 9 – Industry, Innovation and Infrastructure; SDG 10 - Reducing Inequalities; SDG 11- Sustainable Cities and Communities; SDG 12 Responsible consumption and production; SDG 16 – Peace, Justice and Strong Institutions, SDG 17 Partnership for the goals.
Amendment 44
Proposal for a decision
Annex I – part II – point 2 – point 2.2 – point 2.2.1 – paragraph 2
Broad Lines
Broad Lines
–  The history, evolution and efficacy of democracies, at different levels and in different forms; digitisation aspects and the effects of social network communication and the role of education and youth policies as cornerstones of democratic citizenship;
–  The history, evolution and efficacy of democracies, at different levels and in different forms, such as movements for dialogue among cultures, cooperation among nations and peace among religions; digitisation aspects including media and digital literacy and the effects of social network communication and the role of education, youth policies and cultural participation as cornerstones of democratic citizenship;
–  Innovative approaches to support the transparency, responsiveness, accountability effectiveness and legitimacy of democratic governance in full respect of fundamental rights and of the rule of law;
–  Innovative approaches to support the transparency, responsiveness, accountability effectiveness and legitimacy of democratic governance, including fight against corruption, in full respect of fundamental and human rights and of the rule of law,
–  Impact of technologies on individual lifestyles and behaviours;
–  Strategies to address populism, extremism, radicalisation, terrorism and to include and engage disaffected and marginalised citizens;
–  Strategies to address populism, extremism, radicalisation, discrimination and hate speeches, terrorism and to actively include, empower and engage disaffected, vulnerable and marginalised citizens;
–  New approaches to deal with the link between immigration and xenophobia, and the causes of migration;
–  Better understand the role of journalistic standards and user-generated content in a hyper-connected society and develop tools to combat disinformation;
–  Better understand the role of journalistic standards and user-generated content in a hyper-connected society and develop tools to combat disinformation;
–  The role of multi-cultural citizenship and identities in relation to democratic citizenship and political engagement;
–  The role of multi-cultural citizenship and identities in relation to democratic citizenship and political engagement;
–  The impact of technological and scientific advancements, including big data, online social networks and artificial intelligence on democracy;
–  The impact of technological and scientific advancements, including big data, online social networks and artificial intelligence on democracy;
–  Deliberative and participatory democracy and active and inclusive citizenship, including the digital dimension;
–  Deliberative and participatory democracy and active and inclusive citizenship, including the digital dimension;
–  The impact of economic and social inequalities on political participation and democracies, demonstrating how reversing inequalities and combatting all forms of discrimination including gender, can sustain democracy.
–  The impact of economic and social inequalities on political participation and democracies, demonstrating how reversing inequalities and combatting all forms of discrimination including gender, can sustain democracy;
–  New approaches to science diplomacy.
Amendment 45
Proposal for a decision
Annex I – part II – point 2 – point 2.2 – point 2.2.2 – introductory part
2.2.2.  Cultural Heritage
2.2.2.  Culture and Creativity
Amendment 46
Proposal for a decision
Annex I – part II – point 2 – point 2.2 – point 2.2.2
2.2.2.  Cultural Heritage
2.2.2.  Cultural Heritage
The European Cultural and Creative sector builds bridges between arts, culture, business and technology. Furthermore, especially in the field of digitalisation, Cultural and Creative Industries (CCIs) play a key role in reindustrialising Europe, are a driver for growth and are in a strategic position to trigger innovative spill-overs in other industrial sectors, such as tourism, retail, media and digital technologies and engineering. In Horizon Europe, creativity and design will be a cross-cutting issue that will be integrated in projects throughout the programme in order to support new technologies, business models and competences as well as translating creative and interdisciplinary solutions into economic and social value.
Cultural heritage is the fabric of our lives, meaningful to communities, groups and societies, giving a sense of belonging. It is the bridge between the past and the future of our societies. It is a driving force of local economies and a powerful source of inspiration for creative and cultural industries. Accessing, conserving, safeguarding and restoring, interpreting and harnessing the full potential of our cultural heritage are crucial challenges now and for future generations. Cultural heritage is the major input and inspiration for the arts, traditional craftsmanship, the cultural, entrepreneurial and creative sectors that are drivers of sustainable economic growth, new job creation and external trade.
Cultural heritage is an integral part of the cultural and creative sectors. Cultural heritage represents traces and expressions from the past that gives attributed-meaning to and is used by communities, groups and societies, giving a sense of belonging. It is the bridge between the past and the future of our societies. It is a driving force of local economies and a powerful source of inspiration for the creative and cultural sector. Accessing, conserving, safeguarding and restoring, interpreting and harnessing the full potential of our cultural heritage are crucial challenges now and for future generations. Cultural heritage is the major input and inspiration for the arts, traditional craftsmanship, the cultural, the creative and the entrepreneurial sectors that are drivers of sustainable economic growth, new job creation and external trade.
Broad Lines
Broad Lines
–  Heritage studies and sciences, with cutting edge technologies including digital ones;
–  Heritage studies and sciences, with cutting edge technologies including digital ones;
–  Access to and sharing of cultural heritage, with innovative patterns and uses and participatory management models;
–  Access to and sharing of cultural heritage and related information, with innovative patterns and uses and participatory management models;
–  Connect cultural heritage with emerging creative sectors;
–  Connect cultural heritage with emerging creative sectors;
–  The contribution of cultural heritage to sustainable development through conservation, safeguarding and regeneration of cultural landscapes, with the EU as a laboratory for heritage-based innovation and cultural tourism;
–  The contribution of cultural heritage to sustainable development through conservation, safeguarding, development and regeneration of cultural landscapes, with the EU as a laboratory for heritage-based innovation and cultural tourism;
–  Conservation, safeguarding, enhancement and restoration of cultural heritage and languages with the use of cutting edge technologies including digital;
–  Conservation, safeguarding, enhancement and restoration of cultural heritage, languages and traditional skills and crafts with the use of cutting edge technologies including digital;
–  Influence of traditions, behavioural patterns, perceptions and beliefs on values and sense of belonging.
–   Importance of pluralistic and diverse traditions, customs, perceptions and beliefs on values in the development of communities;
–  Establish a “European Cultural Heritage Cloud”, a research and innovation collaboration space granting accessibility of cultural heritage through new technologies as well as encouraging and facilitating transmission of know-how and skills, providing the opportunity to set up individual workgroups and project structures, and constituting a European cultural counterpart to commercially driven cloud services. This will be preceded by an impact assessment.
Amendment 47
Proposal for a decision
Annex I – part II – point 2 – point 2.2 – point 2.2.3
2.2.3.  Social and Economic Transformations
2.2.3.  Social, Cultural and Economic Transformations
European societies are undergoing profound socio-economic transformations, especially as a result of globalisation and technological innovations. At the same time there has been an increase in income inequality in most European countries14 . Forward-looking policies are needed, with a view to promoting inclusive growth and reversing inequalities, boosting productivity (including advancements in its measurement) and human capital, responding to migration and integration challenges and supporting intergenerational solidarity and social mobility. Education and training systems are needed for a more equitable and prosperous future.
European societies are undergoing profound socio-cultural-economic transformations, especially as a result of globalisation and technological innovations. At the same time there has been an increase in income inequality in most European countries14. Forward-looking policies are needed, with a view to promoting inclusive growth and reversing inequalities, boosting productivity (including advancements in its measurement) and human capital, improving citizens living and working conditions, responding to migration and integration challenges and supporting intergenerational solidarity and social mobility and cultural integration. Accessible, inclusive, innovative and high-quality, education and training systems are needed for a more equitable and prosperous future.
Broad Lines
Broad Lines
–  Knowledge base for advice on investments and policies especially education and training, for high value added skills, productivity, social mobility, growth, social innovation and job creation. The role of education and training to tackle inequalities;
–  Knowledge base for advice on investments and policies especially education and training, for high value added skills, productivity, social mobility, growth, social innovation and job creation. The role of education and training to tackle inequalities;
—  Cross-scientific research combining economic cultural and social impact of technological change;
–  Social sustainability beyond GDP only indicators especially new economic and business models and new financial technologies;
–  Social sustainability beyond GDP only indicators, especially new economic and business models, such as social economy and new financial technologies;
–  Statistical and other economic tools for a better understanding of growth and innovation in a context of sluggish productivity gains;
–  Statistical and other economic and quantitative tools for a better understanding of growth and innovation in a context of sluggish productivity gains;
–  New types of work, the role of work, trends and changes in labour markets and income in contemporary societies, and their impacts on income distribution, non-discrimination including gender equality and social inclusion;
–  New types of work, the role of work, trends and changes in labour markets and income in contemporary societies, and their impacts on income distribution, non-discrimination including gender equality and social inclusion;
–  Tax and benefits systems together with social security and social investment policies with a view to reversing inequalities and addressing the negative impacts of technology, demographics and diversity;
–  Tax and benefits systems together with social security and social investment policies, tax havens and tax justice with a view to reversing inequalities and addressing the negative impacts of technology, demographics and diversity;
–  Strategies to address demographic change, urbanisation versus outward migration from rural areas, tackling socio-economic exclusion and enhancing quality of life in rural areas, including through the use of cutting edge technology and digital solutions;
–  Human mobility in the global and local contexts for better migration governance, integration of migrants including refugees; respect of international commitments and human rights; greater, improved access to quality education, training, support services, active and inclusive citizenship especially for the vulnerable;
–  Human mobility in the global and local contexts for better migration governance, integration of migrants including refugees; respect of international commitments and human rights; greater, improved access to quality education, training, support services, active and inclusive citizenship especially for the vulnerable;
–  Education and training systems to foster and make the best use of the EU's digital transformation, also to manage the risks from global interconnectedness and technological innovations, especially emerging online risks, ethical concerns, socio-economic inequalities and radical changes in markets;
–  Education and training systems to foster and make the best use of the EU's digital transformation, also to manage the risks from global interconnectedness and technological innovations, especially emerging online risks, ethical concerns, socio-economic inequalities and radical changes in markets;
–  Modernisation of public authorities to meet citizens’ expectation regarding service provision, transparency, accessibility, openness, accountability and user centricity.
–  Modernisation of public authorities to meet citizens’ expectations and needs regarding service provision, transparency, accessibility, openness, accountability and user centricity;
–  Efficiency of justice systems and improved access to justice based on judiciary independence and rule of law principles, with fair, efficient and transparent procedural methods both in civil and criminal matters.
–  Efficiency of justice systems and improved access to justice based on judiciary independence and rule of law principles, with fair, efficient, accessible and transparent procedural methods both in civil and criminal matters.
—  Identification of existing and emerging gender gaps and needs related to global transformations, and development of innovative methods to deal with gender stereotypes and gender biases.
__________________
__________________
14 OECD Understanding The Socio-Economic Divide in Europe, 26 January 2017.
14 OECD Understanding The Socio-Economic Divide in Europe, 26 January 2017.
Amendment 48
Proposal for a decision
Annex I – part II – point 2 – point 2.2 – point 2.2.4
2.2.4.  Disaster-Resilient Societies
2.2.4.  Social sciences and humanities
Disasters arise from multiple sources, whether natural or man-made, including those from terrorist attacks, climate-related and other extreme events (including from sea level rises), from forest fires, heat waves, floods, earthquakes, tsunamis and volcanic events, from water crises, from space weather events, from industrial and transport disasters, from CBRN events, as well as those from resulting cascading risks. The aim is to prevent and reduce the loss of life, harm to health and the environment, economic and material damage from disasters, ensure food security as well as to improve the understanding and reduction of disaster risks and post-disaster lesson learning.
Social sciences and humanities research shall be integrated into each of the priorities of Horizon Europe, contributing in particular to the evidence base for policymaking at international, Union, national, regional and local level. In addition to this integration, specific support shall be provided along the following broad lines, also support policy-making.
Broad Lines
Broad Lines
–  Technologies and capabilities for first responders for emergency operations in crisis and disaster situations;
–  The capacities of society to better manage and reduce disaster risk, including through nature-based solutions, by enhancing prevention, preparedness and response to existing and new risks
–  Interoperability of equipment and procedures to facilitate cross-border operational cooperation and an integrated EU market.
—  Analysis and development of social, economic and political inclusion and inter-cultural dynamics in Europe and with international partners;
—  Greater understanding of the societal changes in Europe and their impact;
—  Tackling of major challenges concerning European models for social cohesion, immigration, integration, demographic change, ageing, disability, education, poverty and social exclusion;
—  Support research to understand identity and belonging across communities, regions and nations.
Amendment 49
Proposal for a decision
Annex I – part II – point 2 – point 2.2 – point 2.2.5
2.2.5.  Protection and Security
deleted
There is a need to protect citizens from and to respond to security threats from criminal including terrorist activities and hybrid threats; to protect people, public spaces and critical infrastructure, from both physical (including CBRN-E) attacks and cyber-attacks; to fight terrorism and radicalisation, including understanding and tackling terrorist ideas and beliefs; to prevent and fight serious crime, including cybercrime, and organised crime; to support victims; to trace criminal financial flows; to support the use of data for law enforcement and to ensure the protection of personal data in law enforcement activities; to support air, land and sea EU border management, for flows of people and goods. It is essential to maintain flexibility rapidly to address new security challenges that may arise.
Broad Lines
–  Innovative approaches and technologies for security practitioners (such as police forces, border and coast guards, customs offices), public health practitioners, operators of infrastructure and those managing open spaces;
–  Human and social dimensions of criminality and violent radicalisation, in relation to those engaged or potentially engaged in such behaviour as well as to those affected or potentially affected;
–  The mind-set of citizens, public authorities and industry to prevent the creation of new security risks and to reduce existing risks, including those from new technologies such as Artificial Intelligence;
–  Combatting disinformation and fake news with implications for security;
–  Interoperability of equipment and procedures to facilitate cross-border and inter-agency operational cooperation and develop an integrated EU market.
–  Ensuring the protection of personal data in law enforcement activities, in particular in view of rapid technological developments.
Amendment 50
Proposal for a decision
Annex I – part II – point 2 – point 2.2 – point 2.2.6
2.2.6.  Cybersecurity
deleted
Malicious cyber activities not only threaten our economies but also the very functioning of our democracies, our freedoms and our values. Cyber threats are often criminal, motivated by profit, but they can also be political and strategic. Our future security and prosperity depend on improving our ability to protect the EU against cyber threats. The digital transformation requires improving cybersecurity substantially, to ensure the protection of the huge number of IoT devices expected to be connected to the internet, including those controlling power grids, cars and transport networks, hospitals, finances, public institutions, factories, homes. Europe must build resilience to cyber-attacks and create effective cyber deterrence.
Broad Lines
–  Technologies across the digital value chain (from secure components to cryptography and self-healing software and networks);
–  Technologies to address current cybersecurity threats, anticipating future needs, and sustaining a competitive industry;
–  A European cybersecurity competence network and competence centre.
Amendment 51
Proposal for a decision
Annex I – part II – point 2 a (new)
2 a.  CLUSTER 'SECURE SOCIETY'
2a.1  Rationale
In a context of transformations and growing global interdependencies and threats, research and innovation to ensure Europe’s security is paramount.
Despite the fact that Europe is free from large-scale military aggressions, there is now the need to respond to the challenges arising from new security threats. Terrorist attacks of various kind, violent radicalisation, as well as cyber-attacks and hybrid threats, raise major security concerns and put particular strain on societies. EU has to tackle these challenges and ensure public safety while preserving individual freedom and fundamental rights.
Security research is part of the wider EU efforts to meet this and other challenges. It contributes to the capability development process by enabling future availability of technologies, solutions and applications to fill gaps identified by policy-makers, and end-users, especially public authorities.
Such research and innovation responds to the commitment of the Rome Agenda to work towards "a safe and secure Europe", contributing to the Security Union. Synergies with the Justice Programme and with the Rights and Values Programme, which support activities in the area of access to justice, victims' rights, gender equality, non-discrimination, data protection and promotion of the European citizenship will be exploited.
Full use will be made of available instruments, including the European space programme (Galileo and EGNOS, Copernicus, Space Situational Awareness and Governmental Satellite Communications).
Europe needs to continue its research and innovation efforts to improve cybersecurity, digital privacy, personal data protection and combat the spread of false and harmful information in order to safeguard prosperity, democratic and economic stability. Terrorism, violent radicalisation, ideologically motivated violence, cultural goods trafficking, cyber-attacks, organised crime, taxes avoidance and environmental crime and disasters, are some examples of areas to be tackled under this cluster.
In order to anticipate, prevent and manage risks and threats, it is not only necessary to commit to research but furthermore to develop and apply innovative technologies, solutions, foresight tools and knowledge, stimulate cooperation between providers and public users, find solutions, prevent and combat the abuse of privacy and breaches of human rights, while ensuring European citizens´ individual rights and freedom.
To enhance complementarity in research and innovation, public security authorities shall be enforced in efforts of multi- and international exchange and cooperation. Public security authorities shall be invigorated to participate in EU research and innovation efforts to further their capabilities to cooperate and communicate on all appropriate levels, to exchange data, to benefit from common standards in technologies, procedures, equipment, and up-to-date results in crime related sciences, training, and supporting advantages of expert knowledge.
Furthermore, procurement shall be developed to support prototypes and facilitate the testing and acquisition of pre-market innovative solutions by public entities.
Activities will contribute directly to the following Sustainable Development Goals (SDGs) in particular: SDG 1 - No Poverty; SDG 4 - Quality Education; SDG – Decent Work and Economic Growth; SDG 9 – Industry, Innovation and Infrastructure; SDG 10 - Reducing Inequalities; SDG 11- Sustainable Cities and Communities; SDG 16 – Peace, Justice and Strong Institutions.
2a.2  Areas of Intervention
2a.2.1  Organised Crime; Terrorism, Extremism, Radicalisation and Ideologically Motivated Violence
Organised Crime, terrorism, extremism, violent radicalisation and ideologically motivated violence cause high risks to citizens as well as to Europe’s society, economy and democratic stability. The perpetrators range from individual actors to highly organised criminal structures, also operating internationally. Research and innovation, including in humanities and technologies are required to detect, prevent and counter their activities and their causes.
Broad Lines
—  Human and social dimensions of criminality and violent radicalisation, in relation to those engaged or potentially engaged in such behaviour as well as to those affected or potentially affected;
—  Innovative approaches and technologies for security end-users, especially public security authorities;
—  Technologies and standards of operation for protecting infrastructure, open and public spaces;
—  Prediction, detection, prevention, and protection against attempts and perpetrators of serious and organised crime, ideologically motivated radicalisation, violence and terrorism, including support to its victims;
2a.2.2  Border Protection Management
To advance safety and security within the EU requires research and innovation to strengthen the abilities of border protection and management. This includes area reconnaissance and surveillance (air, ground, sea), stable cooperation and data-exchange with foreign authorities, including interoperability capabilities with local, regional, national and international command-, control- and communication-centres as well as implementing solutions for border-protection, incident responding, risk-detection and crime-prevention. Further, to include is research on predictive policing and algorithm-based early warning applications, automated surveillance technologies using various kinds of sensors, while taking into account fundamental rights. While evaluating their impact and potential to enhance security efforts and solution, technologies and equipments should contribute to the integrity of those approaching external borders by especially land and sea.
Research should support the improvement of the integrated European border management, including through increased cooperation with candidate, potential candidate and EU Neighbourhood Policy countries. It will further assist EU efforts managing migration.
Broad Lines
—  Identifying forged and otherwise manipulated documents;
—  Detecting illegal transportation/ trafficking of persons and goods;
—  Furthering response capabilities to border incidents;
—  Modernisation of border areal reconnaissance and surveillance equipment;
—  Improving direct cooperation of security authorities of both sides in the respective border area for cross-border measures to ensure continuous persecution of offenders and suspects.
2a.2.3  Cyber-Security, Privacy, Data Protection
Malicious and hostile cyber activities threaten our societies and citizens, the stable and secure functioning of public authorities and institutions, economies and also the very functioning of Europe’s democratic institutions, our freedoms and values. Incidents involving public institutions have occurred already and are likely to increase in the course of further integration of digital and cyber applications in administrative and economic procedures as well as in private and individual use.
Cybercrime is on the increase, related risks are diversifying as the economy and society digitalise further on. Europe needs to continue its efforts to improve cybersecurity, digital privacy, personal data protection and combat the spread of false and harmful information in order to safeguard democratic and economic stability.
Future security and prosperity depend on improving abilities to protect the EU against such threats, to prevent, detect and counter malicious cyber activities, often requiring close and rapid cross-border cooperation. Especially the digital transformation requires improving cybersecurity substantially, to ensure the protection of the huge number of IoT devices expected to be connected to the internet, Europe must keep up all efforts to enforce resilience to cyber-attacks and promote effective deterrence.
Broad Lines
—  Combatting disinformation and fake news with implications for security, including the protection of electoral registration and evaluation/counting systems and communication (election security); developing capabilities to detect the sources of manipulation, while preserving freedom of speech and access to information.
—  Expanding detection, prevention, defence and countering technologies;
—  Strengthening abilities to decipher and decrypt cyber-attacks for public authorities;
—  Technologies to detect and monitor illicit electronic way of payment and financial flows;
—  Increase scientific and technological abilities of responsible authorities, especially European Police Office, European Cybercrime Centre and European Network and Information Security Agency;
—  Ensuring the protection of personal data in law enforcement activities, particularly in view of rapid technological developments;
—  Technologies across the digital value chain (from secure components to cryptography, distributed ledger technologies, behavioural based security and resilient and self-healing software and networks);
—  Technologies, methods and best practices to address, prevent, mitigate and recover from cybersecurity threats, anticipating future needs, and sustaining a competitive industry with high availability, including improving knowledge and awareness concerning cybersecurity risks and consequences;
—  Improving the protection of personal data by promoting easy-to-use solutions for devices used by citizens and consumers;
—  Secure software and hardware development and test facilities for security testing of software and hardware.
2a.2.4  Protecting Critical Infrastructures and Improving Disaster Response
New technologies, processes, methods and dedicated capabilities will help to protect critical infrastructures, including e-infrastructures, systems and services which are essential for the proper functioning of society and economy, including communications, transport, finance, health, food, water, energy, logistic and supply chain, and environment.
Disasters arise from multiple sources, whether natural, man-made or resulting from cascading risks. Efforts are required to limit the effects on lives and livelihoods. The aim is to prevent and reduce harm to health and the environment, economic and material damage, to ensure food and medicine supply, security and basic means of communication.
Broad Lines
—  Technologies and capabilities for first responders for emergency operations in crisis and disaster situations including disaster response for victims and early warning systems;
—  Capacities of society to better manage and reduce disaster risk, including through nature and community know-how-based solutions, by enhancing prevention, preparedness and response to existing and new risks, improving the resilience of these various infrastructures, including through disaster-resilient institutional, political and governance structures;
—  Enhancing moving capabilities for search and rescue equipment, vehicles, supply and forces;
—  Technologies, equipment and procedures to prevent the outbreak of or to contain pandemics;
—  Improving multi-layer public alert systems, especially considering vulnerable persons;
—  Improvement of the availability of specialised air- and ground vehicles to fight large-scale and forest fires as well as improving its rapid deployment.
2a.2.5  Piracy and Counterfeit of Products
Countering piracy and counterfeit of products remain of serious concern for the European economy, cultural and creative sector and citizens alike. These illicit activities cause serious losses of taxes, revenues and personal income as well as putting employment in Europe at risk.
Deficient products imply risks for causing damage to persons and property. Such impacts need to be addressed and solutions be found to tackle piracy and counterfeit of products as well as to enforce appropriate public authorities to prevent, detect, investigate and counter these crimes and related illegal activities in cooperation.
To include are efforts to promote the protection of intellectual property.
Broad Lines
—  Promoting techniques of identifying products;
—  Enhancing protection of original parts and goods;
—  Technologies to control transported products (real-time) and data-exchange between producers, transporters, custom-authorities and recipients.
2a.2.6  Supporting the Union's external security policies through conflict prevention and peace-building
Research, new technologies, capabilities and solutions are required to support the Union's external security policies in civilian tasks, ranging from civil protection to humanitarian relief, border management or peace-keeping and post-crisis stabilisation, including conflict prevention, peace-building and mediation.
Broad Lines
—  Research on conflict resolution and restoration of peace and justice, on early identification of factors leading to conflict and on the impact of restorative justice processes;
—  Promoting interoperability between civilian and military capabilities in civilian tasks ranging from civil protection to humanitarian relief, border management or peace-keeping.
—  Technological development in the area of dual-use technologies to enhance interoperability between civil protection and military forces and amongst civil protection forces worldwide, as well as reliability, organisational, legal and ethical aspects, trade issues, protection of confidentiality and integrity of information and traceability of all transactions and processing.
—  Developing of command and control capabilities for civil missions.
2a.2.7  Promoting Coordination, Cooperation and Synergies
To ensure the ability to deploy, manage, control and command inter-authority procedures up-to-date technology and standards are required. The aim ought to be to equip public authorities and other forces to be deployed with exchangeable equipment, to integrate EU-wide standard procedures of operation, responding, reporting and data-exchange.
An adequate budget should be allocated to agencies to further promote their ability to participate in as well as from EU research and innovation and in order to manage relevant projects, to exchange demands, results and ambitions as well as to cooperate and coordinate efforts with other agencies and certain non-EU authorities like Counter-Terrorism Group and Interpol. As for security related research and innovation these are especially European Policy College, European Aviation Safety Agency, European Centre for Disease Prevention and Control, European Monitoring Centre for Drugs and Drug Addiction, European Maritime Safety Agency, European Network and Information Security Agency, European Agency for the operational management of large-scale IT Systems in the area of freedom, security and justice, European Union Intellectual Property Office, European Police Office, European Border and Coast Guard Agency and European Union Satellite Centre.
To enhance synergies with EU-funded defence research, exchange and consultation mechanisms should be put in place with defence research associated authorities for civilian purposes.
Standards will play an important role as they ensure common development, production and implementation as well as abilities of exchange, interoperability and compatibility of services, procedures, technologies and equipment.
Broad Lines
—  Technologies and equipment with basic operation requirements to be applicable by all Member States authorities of the same line (police, rescue, disaster management, communication etc.) equally;
—  Interoperability of equipment and procedures to facilitate cross-border and inter-agency operational ability.
Amendment 52
Proposal for a decision
Annex I – part II – point 3 – introductory part
3.  CLUSTER 'DIGITAL AND INDUSTRY'
3.  CLUSTER 'DIGITAL, INDUSTRY AND SPACE'
Amendment 53
Proposal for a decision
Annex I – part II – point 3 – point 3.1
3.1.  Rationale
3.1.  Rationale
To ensure industrial competitiveness and the capacity to address the global challenges ahead, the EU must reinforce and maintain its technological and industrial capacities in the key areas that underpin the transformation of our economy and society.
To ensure industrial competitiveness and the capacity to address the global challenges ahead, the EU must reinforce and maintain its technological and industrial capacities in the key areas that underpin the transformation of our economy and society.
EU industry provides one out of five jobs and two thirds of private sector R&D investments and generates 80% of EU exports. A new wave of innovation, involving a merging of physical and digital technologies, will trigger huge opportunities for EU industry and improve the quality of life for EU citizens.
EU industry provides one out of five jobs and two thirds of private sector R&D investments and generates 80% of EU exports. A new wave of innovation, involving a merging of physical and digital technologies, will trigger huge opportunities for EU industry and improve the quality of life for EU citizens.
Digitisation is a major driver. As it continues at a rapid pace across all sectors, investment in priority areas ranging from artificial intelligence to next generation internet, high performance computing, photonics and nano-electronics, becomes essential for the strength of our economy and the sustainability of our society. Investing, producing and using ICT provides a major boost to EU economic growth, amounting to an increase of 30% between 2001 and 2011 alone.
Digitisation is a major driver. As it continues at a rapid pace across all sectors, investment in priority areas ranging from artificial intelligence to next generation internet, high performance computing, photonics, quantum technologies, nano-electronics, smart data etc. becomes essential for the strength of our economy. Investing, producing and using ICT provides a major boost to EU economic growth, amounting to an increase of 30% between 2001 and 2011 alone.
Key enabling technologies15 underpin the blending of the digital and the physical worlds, central to this new global wave of innovation. Investing in the development, demonstration and deployment of key enabling technologies, and ensuring a secure, sustainable and affordable supply of raw and advanced materials, will secure EU strategic autonomy and help EU industry to significantly reduce its carbon and environmental footprints.
Key enabling technologies15 underpin the blending of the digital and the physical worlds, central to this new global wave of innovation. Investing in the development, demonstration, deployment and standardisation of key enabling technologies, and ensuring a secure, sustainable and affordable sourcing, use and management of raw and advanced materials, will secure EU strategic autonomy and help EU industry to significantly reduce its carbon and environmental footprints and hence costs for society in terms of externalities.
Specific future and emerging technologies may also be pursued as appropriate.
Specific future and emerging technologies should also be pursued as the grounds on which next breakthroughs innovations are based.
Space is of strategic importance; around 10% of the EU's GDP depends on the use of space services. The EU has a world-class space sector, with a strong satellite manufacturing industry and a dynamic downstream services sector. Space provides important tools for communication, navigation, and surveillance and opens up many business opportunities especially in combination with digital technologies and other sources of data. The EU must make the most of these opportunities by fully exploiting the potential of its space programmes Copernicus, EGNOS and Galileo, and by protecting space and ground infrastructures against threats from space.
Space is of strategic importance; around 10% of the EU's GDP depends on the use of space services. The EU has a world-class space sector, with a strong satellite manufacturing industry and a dynamic downstream services sector. Space provides important tools for communication, navigation, and surveillance and opens up many research, innovation and business opportunities especially in combination with digital technologies and other sources of data. The EU must make the most of these opportunities by fully exploiting the potential of its space programmes Copernicus, EGNOS and Galileo, as well as encouraging amongst other the development of the downstream sector and the applications for the final users and by protecting space and ground infrastructures against threats.
The EU has the unique chance of being a global leader and increase its share of world markets, by showcasing how digital transformation, leadership in key enabling and space technologies, the transition to a low-carbon, circular economy and competitiveness can reinforce each other through scientific and technological excellence.
The EU has the unique chance of being a global leader and increase its share of world markets, by showcasing how digital transformation, leadership in key enabling and space technologies unlocking scenarios for the transition towards net-zero GHG emissions economy including low-carbon technologies and strategies for decarbonisation, bio-based and circular economy, ensuring competitiveness and societal understanding of these technologies and evolutions.
To make the digitised, circular, low-carbon and low-emission economy a reality, action is needed at EU level because of the complexity of value chains, the systemic and multi-disciplinary nature of the technologies and their high development costs, and the cross-sectoral nature of the problems to be addressed. The EU must ensure that all industrial players, and society at large, can benefit from advanced and clean technologies and digitisation. Developing technologies alone will not suffice. Industrially-oriented infrastructures, including pilot lines, will help set up EU businesses and in particular SMEs deploy these technologies and improve their innovation performance.
To make the digitised, circular, low-carbon and low-emission economy a reality, action is needed at EU level because of the complexity of value chains, the systemic and multi-disciplinary nature of the technologies and their high development costs, and the cross-sectoral nature of the problems to be addressed. The EU must ensure that all industrial players, and society at large, can benefit from advanced and clean technologies and digitisation. Developing technologies alone will not suffice. New sustainable business models, industrially-oriented infrastructures, including pilot lines, will help set up EU businesses and in particular SMEs deploy these technologies and improve their innovation performance. In this context cultural and creative sector also play a major role as drivers of digital transformation and ICT-driven innovation in Europe.
A strong engagement of industry is essential in setting priorities and developing research and innovation agendas, increasing the leverage of public funding, and ensuring the uptake of results. Societal understanding and acceptance are key ingredients for success, as well as a new agenda for industry-relevant skills and standardisation.
Therefore, a strong engagement of industry is essential in setting priorities and developing research and innovation agendas, increasing the leverage of additional public and private funding, and ensuring the uptake of results. Societal understanding and acceptance are key ingredients for success, as well as a new agenda for industry-relevant skills and standardisation.
Bringing together activities on digital, key enabling and space technologies, as well as a sustainable supply of raw materials, will allow for a more systemic approach, and a faster and more profound digital and industrial transformation. It will ensure that research and innovation in these areas feed into, and contribute to the implementation of, the EU’s policies for industry, digitisation, environment, energy and climate, circular economy, raw and advanced materials and space.
Bringing together activities on digital, key enabling and space technologies, as well as a sustainable supply of raw materials, will allow for a more systemic approach, and a faster and more profound digital and industrial transformation. This will ensure that research and innovation in these areas feed into, and contribute to the implementation of, the EU’s policies for industry, digitisation, environment, energy and climate, mobility, circular economy, raw and advanced materials and space.
Complementarity will be ensured with activities under the Digital Europe Programme, to respect the delineation between both Programmes and avoid any overlaps.
Complementarity will be ensured with activities under the Digital Europe Programme, to respect the delineation between both Programmes and avoid any overlaps.
Activities will contribute directly to the following Sustainable Development Goals (SDGs) in particular: SDG 8 - Decent Work and Economic Growth; SDG 9 - Industry, Innovation and Infrastructure; SDG 12 - Responsible Consumption and Production; SDG-13 Climate Action.
Activities will contribute directly to the following Sustainable Development Goals (SDGs) in particular: SDG 8 - Decent Work and Economic Growth; SDG 9 - Industry, Innovation and Infrastructure; SDG 12 - Responsible Consumption and Production; SDG-13 Climate Action.
__________________
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15 The Key Enabling Technologies of the future include advanced materials and nanotechnology, photonics and micro- and nano-electronics, life science technologies, advanced manufacturing and processing, artificial intelligence and digital security and connectivity
15 The Key Enabling Technologies of the future include advanced materials and nanotechnology, photonics and micro- and nano-electronics, life science technologies, advanced manufacturing and processing, artificial intelligence and digital security and connectivity
Amendment 54
Proposal for a decision
Annex I – part II – point 3 – point 3.2 – point 3.2.1
3.2.1.  Manufacturing Technologies
3.2.1.  Manufacturing Technologies
Manufacturing is a key driver of employment and prosperity in the EU, producing over three quarters of the EU's global exports and providing over a 100 million direct and indirect jobs. The key challenge for EU manufacturing is to remain competitive at a global level with smarter and more customised products of high added value, produced at much lower energy costs. Creative and cultural inputs will be vital to help generate added value.
Manufacturing is a key driver of employment and prosperity in the EU, producing over three quarters of the EU's global exports and providing over a 100 million direct and indirect jobs. The key challenge for EU manufacturing is to remain competitive at a global level with smarter, more customised and more energy and resource efficient products of high added value and reduced carbon footprint, including less waste and pollution. Creative and cultural inputs, as well as perspectives from social sciences and humanities on the relation between technology and people, will also be vital to achieve these goals.
Broad Lines
Broad Lines
–  Breakthrough manufacturing technologies such as additive manufacturing, industrial robotics, human integrated manufacturing systems, also promoted via an EU network of industrially-oriented infrastructures;
–  Breakthrough manufacturing technologies such as additive manufacturing, modelling, simulation, industrial automation and robotics, human integrated manufacturing systems, also promoted via an EU network of industrially-oriented infrastructures;
–  Breakthrough innovations using different enabling technologies (e.g. converging technologies, artificial intelligence, data analytics, industrial robotics, bio-manufacturing, advanced batteries technologies) across the value chain;
–  Breakthrough innovations using different enabling technologies (e.g. converging technologies, artificial intelligence, data analytics, industrial robotics, sustainable bio-manufacturing, advanced batteries technologies) across the value chain;
–  Skills and workspaces fully adapted to the new technologies, in line with European social values;
–  Skills and workspaces fully adapted to the new technologies, including ergonomics, and which are in line with European social values and needs;
–  Flexible, high-precision, zero-defect and zero-waste cognitive plants and smart manufacturing systems meeting customer needs;
–  Flexible, high-precision, zero-defect and zero-waste cognitive plants and smart and energy efficient manufacturing systems meeting customer needs;
–  Breakthrough innovations in techniques for exploring construction sites, for full automation for on-site assembly and prefabricated components.
–  Breakthrough innovations in techniques for exploring construction sites, for full automation for on-site assembly and prefabricated components.
Amendment 55
Proposal for a decision
Annex I – part II – point 3 – point 3.2 – point 3.2.2 – paragraph 1
Maintaining and autonomously developing strong design and production capacities in essential digital technologies such as micro- and nano-electronics, photonics, software and systems, and their integration as well as advanced materials for these applications will be essential for a competitive EU.
Maintaining and autonomously developing strong design and production capacities in essential digital technologies such as micro- and nano-electronics, photonics, software and systems, and their integration and standardisation, as well as advanced materials for these applications will be essential for a competitive EU. Key enabling digital technologies are essential to fill the gap between cutting edge research and market creating innovations.
Amendment 56
Proposal for a decision
Annex I – part II – point 3 – point 3.2 – point 3.2.2 – paragraph 2
–  Nano-electronics design and processing concepts responding to the specific requirements of digital transformation and global challenges, in terms of functionality, energy consumption and integration;
–  Nano-electronics design and processing concepts responding to the specific requirements of digital transformation and global challenges, in terms of performance, functionality, energy sharing and consumption and efficiency and integration;
–  Sensing technologies and their co-integration with computational units as the enabler of the Internet of Things, including innovative solutions on flexible and conformable materials for human-friendly interacting objects;
–  Sensing technologies and their co-integration with computational units as the enabler of the Internet of Things, including innovative solutions on flexible and conformable materials for safe, secure, human- and environment-friendly interacting objects;
–  Technologies as complements or alternatives to nano-electronics, such as neuromorphic computing powering artificial intelligence applications, or integrated quantum computing;
–  Technologies as complements or alternatives to nano-electronics, such as neuromorphic computing powering artificial intelligence applications, or integrated quantum computing;
–  Computing architectures and low-power processors for a wide range of applications including edge computing, digitisation of industry, big data and cloud, smart energy and connected and automated driving;
–  Computing architectures and low-power processors for a wide range of applications including edge computing, digitisation of industry, automation and robotics, big data and cloud, smart energy and connected and automated driving;
–  Computing hardware designs delivering strong guarantees of trusted execution, with built-in privacy and security protection measures for input/output data as well as processing instructions;
–  Computing hardware designs delivering strong guarantees of trusted execution, with built-in privacy and security protection measures for input/output data as well as processing instructions;
–  Photonics technologies enabling applications with breakthrough advances in functionality and performance;
–  Photonics technologies enabling applications with breakthrough advances in functionality, integration and performance;
–  System engineering technologies to support fully autonomous systems for trustworthy applications interacting with the physical world, including in industrial and safety critical domains;
–  System engineering technologies to support fully autonomous systems for trustworthy applications interacting with the physical world, including in industrial and safety critical domains;
–  Software technologies enhancing software quality, security and reliability with improved service life, increasing development productivity, and introducing built-in artificial intelligence and resilience in software;
–  Software and hardware technologies enhancing quality, security and reliability with improved service life, increasing development productivity and interoperability, and introducing built-in artificial intelligence and resilience in software;
–  Emerging technologies expanding digital technologies and bridging the gap from proofs of concept in research to industrial feasibility for relevant markets.
–  Emerging technologies expanding digital technologies and bridging the gap from proofs of concept in research to industrial feasibility for relevant markets;
—  Digital Technologies for cultural and creative industries, including audio-visual, archives and libraries, publishing, to develop new tools to create access, exploit and preserve digital content.
—  Development of novel eco-innovation business models and alternative resource and energy-efficient production approaches.
Amendment 57
Proposal for a decision
Annex I – part II – point 3 – point 3.2 – point 3.2.3 – paragraph 1
The EU is a global leader in advanced materials and associated processes, which make up 20% of its industry base and form the root of nearly all value chains through the transformation of raw materials. To remain competitive and meet citizens’ needs for sustainable, safe and advanced materials, the EU must improve the recyclability of materials, reduce the carbon and environmental footprint, and drive cross-sectoral industrial innovation by supporting new applications in all industry sectors.
The EU is a global leader in advanced materials and associated processes, which make up 20% of its industry base and form the root of nearly all value chains through the transformation of raw materials. To remain competitive and meet citizens’ needs for sustainable, safe and advanced materials, including eco-friendly alternatives, the EU must improve the durability, reusability and recyclability of materials, reduce the carbon and environmental footprint, and drive cross-sectoral industrial innovation by supporting new applications and standardisation in all industry sectors.
Amendment 58
Proposal for a decision
Annex I – part II – point 3 – point 3.2 – point 3.2.3 – paragraph 2
Broad Lines
Broad Lines
–  Materials (including plastic, bio-, nano-, two-dimensional, smart and multi-materials) designed with new properties and functionalisation and meeting regulatory requirements (while not leading to increased environmental pressures during their production, use or end-of-life);
–  Materials (including plastic, bioplastics, bio-, nano-, two-dimensional, smart and multi-materials) designed with new properties and functionalisation and meeting regulatory requirements (while not leading to increased environmental pressures and negative externalities during their production, use or end-of-life);
–  Integrated materials processes and production following a customer-oriented and ethical approach, including pre-normative activities and life-cycle assessment, sourcing and management of raw materials, durability, reusability and recyclability, safety, risk assessment and management;
–  Integrated materials processes and production following a customer-oriented and ethical approach, including pre-normative activities and life-cycle assessment, sustainable sourcing and management of raw materials, durability, reusability and recyclability, safety, risk assessment and management;
–  Materials enablers like characterisation (e.g. for quality assurance), modelling, piloting and upscaling;
–  Materials enablers like characterisation (e.g. for quality assurance), modelling, piloting and upscaling;
–  An EU innovation ecosystem of technology infrastructures16 , identified and prioritised in agreement with Member States, which provide services to accelerate technological transformation and uptake by EU industry, notably by SMEs; this will cover all key technologies necessary to enable innovations in the field of materials;
–  An EU innovation network of research and technology infrastructures16, identified and prioritised in agreement with Member States and taking into account the ESFRI roadmap, which provide services to accelerate technological transformation and uptake by EU industry, notably by SMEs, this will cover all key technologies necessary to enable innovations in the field of materials;
–  Analysis of future and emerging trends in advanced materials and other key enabling technologies;
–  Analysis of future and emerging trends in advanced materials and other key enabling technologies;
–  Solutions based on design, architecture and general creativity, with a strong user orientation, for adding value to industrial sectors and the creative industries.
–  Solutions based on design, architecture and general creativity, with a strong user orientation, for adding value to industrial sectors and the creative industries, including the fashion industry.
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16 These are public or private facilities that provide resources and services primarily for the European industry to test and validate key enabling technologies and products. Such infrastructures may be single sited, virtual or distributed, and must be registered in a Member State or a third country associated to the Programme.
16 These are public or private facilities that provide resources and services primarily for the European industry to test and validate key enabling technologies and products. Such infrastructures may be single sited, virtual or distributed, and must be registered in a Member State or a third country associated to the Programme.
Amendment 59
Proposal for a decision
Annex I – part II – point 3 – point 3.2 – point 3.2.4 – paragraph 1
Making any object and device intelligent is one of the megatrends. Researchers and innovators developing Artificial Intelligence (AI) and offering applications in Robotics and other areas will be key drivers of future economic and productivity growth. Many sectors including health, manufacturing, construction, and farming will use and further develop this key enabling technology, in other parts of the Framework Programme. Developments must ensure the safety of AI-based applications, assess the risks and mitigate its potential for malicious use and unintended discrimination such as gender or racial bias. It must also be ensured that AI is developed within a framework which respects the EU's values and the Charter of Fundamental Rights of the European Union.
Making any object and device intelligent is one of the megatrends. Researchers and innovators developing Artificial Intelligence (AI) and offering applications in Robotics and other areas will be key drivers of future economic and productivity growth. Many sectors including health, transport, manufacturing, construction, and farming will use and further develop this key enabling technology, in other parts of the Framework Programme. Developments must ensure the safety of AI-based applications, assess their risks and mitigate their potential for malicious use and unintended discrimination such as gender or racial bias. It must also be ensured that AI is developed within an ethical framework which respects the EU's values and the Charter of Fundamental Rights of the European Union.
Amendment 60
Proposal for a decision
Annex I – part II – point 3 – point 3.2 – point 3.2.4 – paragraph 2 – indent 4
–  Developing and networking the research competences of AI competence centres across Europe;
–  Developing and networking the research and innovation competences of AI competence centres across Europe;
Amendment 61
Proposal for a decision
Annex I – part II – point 3 – point 3.2 – point 3.2.5 – paragraph 1
The Internet has become a key enabler of the digital transformation of all sectors of our economy and society. The EU needs to take the lead in driving the next generation Internet towards a human-centric ecosystem in line with our social and ethical values. Investing in technologies and software for the Next Generation Internet will improve EU industrial competitiveness in the global economy. Optimising EU wide take up will require large-scale cooperation across stakeholders.
The Internet has become a key enabler of the digital transformation of all sectors of our economy and society. The EU needs to take the lead in driving the next generation Internet towards a human-centric ecosystem and technical development towards accessible, secure and reliable network services,