Procedure : 2018/0224(COD)
Document stages in plenary
Document selected : A8-0401/2018

Texts tabled :

A8-0401/2018

Debates :

OJ 11/12/2018 - 89

Votes :

OJ 12/12/2018 - 89

Texts adopted :


REPORT     ***I
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27 November 2018
PE 625.305v02-00 A8-0401/2018

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))

Committee on Industry, Research and Energy

Rapporteur: Dan Nica

DRAFT EUROPEAN PARLIAMENT LEGISLATIVE RESOLUTION
 OPINION of the Committee on Development
 OPINION of the Committee on Budgets
 OPINION of the Committee on Budgetary Control
 OPINION of the Committee on the Environment, Public Health and Food Safety
 OPINION of the Committee on Transport and Tourism
 OPINION of the Committee on Regional Development
 OPINION of the Committee on Agriculture and Rural Development
 OPINION of the Committee on Culture and Education
 PROCEDURE – COMMITTEE RESPONSIBLE
 FINAL VOTE BY ROLL CALL IN COMMITTEE RESPONSIBLE

DRAFT EUROPEAN PARLIAMENT LEGISLATIVE RESOLUTION

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))

(Ordinary legislative procedure: first reading)

The European Parliament,

–  having regard to the Commission proposal to Parliament and the Council (COM(2018)0435),

–  having regard to Article 294(2) and Articles 173(3), 182(1), 183 and 188 of the Treaty on the Functioning of the European Union, pursuant to which the Commission submitted the proposal to Parliament (C8-0252/2018),

–  having regard to Article 294(3) of the Treaty on the Functioning of the European Union,

–  having regard to Rule 59 of its Rules of Procedure,

–  having regard to the report of the Committee on Industry, Research and Energy and the opinions of the Committee on Development, the Committee on Budgets, the Committee on Budgetary Control, the Committee on the Environment, Public Health and Food Safety, the Committee on Transport and Tourism, the Committee on Regional Development, the Committee on Agriculture and Rural Development and the Committee on Culture and Education (A8-0401/2018),

1.  Adopts its position at first reading hereinafter set out;

2.  Calls on the Commission to refer the matter to Parliament again if it replaces, substantially amends or intends to substantially amend its proposal;

3.  Instructs its President to forward its position to the Council, the Commission and the national parliaments.

Amendment    1

Proposal for a regulation

Recital 1

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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)

Text proposed by the Commission

Amendment

 

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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)

Text proposed by the Commission

Amendment

 

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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)

Text proposed by the Commission

Amendment

 

(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

Text proposed by the Commission

Amendment

(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)

Text proposed by the Commission

Amendment

 

(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)

Text proposed by the Commission

Amendment

 

(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)

Text proposed by the Commission

Amendment

 

(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)

Text proposed by the Commission

Amendment

 

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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)

Text proposed by the Commission

Amendment

 

(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

Text proposed by the Commission

Amendment

(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)

Text proposed by the Commission

Amendment

 

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(14)  The Commission's Communication on the interim evaluation of Horizon 2020 (COM(2018) 2 final) 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) 2 final) 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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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)487).

14 See e.g. the Commission's proposal for a regulation establishing a framework for screening Foreign Direct Investment into the EU (COM (2017)487).

Amendment    27

Proposal for a regulation

Recital 17 a (new)

Text proposed by the Commission

Amendment

 

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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 (EU) 294/2008 of the European Parliament and of the Council of 11 March 2008 (OJ L97/1, 9.4.2008), as amended by Regulation (EU) 1292/2013 of the European Parliament and of the Council of 11 December 2013 (OJ L347/174, 20.12.2013.

 

1b Regulation (EU) of the European Parliament and of the Council.

Amendment    34

Proposal for a regulation

Recital 24

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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)

Text proposed by the Commission

Amendment

 

(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)

Text proposed by the Commission

Amendment

 

(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

Text proposed by the Commission

Amendment

(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) 623 final) 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) 623 final) 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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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)

Text proposed by the Commission

Amendment

 

(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)

Text proposed by the Commission

Amendment

 

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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;

__________________

__________________

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

Text proposed by the Commission

Amendment

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 adressing 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 committment 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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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 exclusivly 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

Text proposed by the Commission

Amendment

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.

 

__________________

__________________

29

29

Amendment    67

Proposal for a regulation

Article 6 a (new)

Text proposed by the Commission

Amendment

 

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

Text proposed by the Commission

Amendment

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)

Text proposed by the Commission

Amendment

 

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

Text proposed by the Commission

Amendment

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.

Amendment    71

Proposal for a regulation

Article 9

Text proposed by the Commission

Amendment

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.

 

3 a.  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.

 

3 b.  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.

 

3 c.  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.

 

3 d.  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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

Eligible actions

Eligible actions and ethical principles

Amendment    76

Proposal for a regulation

Article 15

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

Selection criteria

Financial capacity of applicants

Amendment    85

Proposal for a regulation

Article 25

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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 (EC) 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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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 neccessary requested information regarding the exploitation and dissemination of their results in acordance with the 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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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)

Text proposed by the Commission

Amendment

 

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

Text proposed by the Commission

Amendment

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)

Text proposed by the Commission

Amendment

 

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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.

__________________

__________________

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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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)

Text proposed by the Commission

Amendment

 

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

(3)  Pillar III 'Open Innovation'

(3)  Pillar III 'Innovative Europe'

Amendment    126

Proposal for a regulation

Annex I – point 3 – paragraph 1 – introductory part

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

–  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

Text proposed by the Commission

Amendment

–  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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

–  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

Text proposed by the Commission

Amendment

–  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

Text proposed by the Commission

Amendment

–  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

Text proposed by the Commission

Amendment

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)

Text proposed by the Commission

Amendment

 

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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)

Text proposed by the Commission

Amendment

 

(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)

Text proposed by the Commission

Amendment

 

(b a)  existing regional ecosystems, platform networks and regional strategies are enhanced;

Amendment    148

Proposal for a regulation

Annex IV – point 4 – point b

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

(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

Text proposed by the Commission

Amendment

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)

Text proposed by the Commission

Amendment

 

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)

Text proposed by the Commission

Amendment

 

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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

Text proposed by the Commission

Amendment

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 missi

ons

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 uptakeUptake 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 mis

sions 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 - Aggr

egated 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 clim

ate 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

Text proposed by the Commission

Amendment

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 employmentNumber 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 o

utside the Union, depending on the sector concernedAnalysis 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 transfered 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)

Text proposed by the Commission

Amendment

 

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 mobilityIncoming 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 FPShare of coordinators and participants from wide

ning 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 excellenceExcellent R&I ecosystem

s, 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


OPINION of the Committee on Development (14.11.2018)

for the Committee on Industry, Research and Energy

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))

Rapporteur for opinion: Lola Sánchez Caldentey

SHORT JUSTIFICATION

Horizon Europe will be the European Union’s 9th Research and Innovation Framework Programme running from 2021 to 2027. Building on past successes and learning the lessons from previous programmes, Horizon Europe aims to strengthen the scientific and technological bases of the Union, foster its competitiveness and make Europe fit to take a leading role in facing the challenges of the 21st century.

Horizon Europe is of great relevance for the Committee on Development for the contribution it can play in the implementation of the Sustainable Development Goals. The importance of the role of research and innovation in relation to meeting societal and economic challenges has been recognised on many occasions and notably in the new European Consensus on Development adopted in June 2017.

It is important to ensure that Horizon Europe is open to actors in developing countries in terms of both participation in projects and activities and access to results of the projects. Participation of developing countries in the current Horizon 2020 programme has declined compared to the previous framework programme and specific provisions in Horizon Europe should be added in order to reinforce the international cooperation dimension of the programme.

It is also paramount to ensure that the EU's external and development policy priorities and commitments are taken into account particularly in the areas of climate change, biodiversity, and resource and energy efficiency.

Additional proposed amendments concern the need to promote the involvement of civil society and to reinforce the mainstreaming of the gender dimension of the programme.

AMENDMENTS

The Committee on Development calls on the Committee on Industry, Research and Energy, as the committee responsible, to take into account the following amendments:

Amendment    1

Proposal for a regulation

Citation 1

Text proposed by the Commission

Amendment

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 173(3), Article 182(1), Article 183, and the second paragraph of Article 188 thereof,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 173(3), Article 182(1), Article 183, the second paragraph of Article 188 and Article 208(1) thereof,

Amendment    2

Proposal for a regulation

Recital 1

Text proposed by the Commission

Amendment

(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 encourage social progress and the sustainability and resilience of its society, by strengthening its scientific and technological bases and encourage its competitiveness, including in its industry, while promoting all research and innovation activities deemed appropriate to support the implementation of other Union policies and the honouring of the Union’s international commitments, in particular under the Paris Agreement, the Addis Ababa Action Agenda, the UN’s 2030 Agenda and the the Sustainable Development Goals (SDGs) targets 3b, 9.5 and 17.6-17.9, to deliver on the Union's political strategic priorities and commitments, which ultimately aim at promoting peace, tackling climate change, sustainable development as embodied by the SDGs, the Union's values, and the well-being of its peoples.

Justification

It is necessary to properly reflect the central role given to supporting climate action and the SDGs in this regulation.

Amendment    3

Proposal for a regulation

Recital 2

Text proposed by the Commission

Amendment

(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, climate 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 within and outside the Union, to strengthen the impact of research and innovation in developing, supporting and implementing Union policies and commitments, to support the uptake of innovative solutions in industry and society to improve human well-being and to address global challenges, notably the SDGs and the Paris Agreement 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.

Amendment    4

Proposal for a regulation

Recital 3 a (new)

Text proposed by the Commission

Amendment

 

(3a)  With the ever more obvious and urgent necessity to enhance responses to climate, security, migration, global governance and other global challenges, the context in which the Union shapes its framework programme for research has evolved. Research, technological development and innovation can be crucial for better understanding the nature of such challenges and for the development of effective means to tackle them.

Amendment    5

Proposal for a regulation

Recital 3 b (new)

Text proposed by the Commission

Amendment

 

(3b)  The Union greatly contributed to the preparation and successful adoption of the Paris Agreement and the UN’s 2030 Agenda, with the SDGs. The Union must also continuously be in the forefront of the efforts to achieve the agreed objectives, goals and targets and honour its relevant commitments. Horizon 2027 must play a key role in these efforts. It should do so in particular through its support for development of research capacities in relevant fields, by selecting research topics of particular relevance, by actively involving and supporting developing country participants while preventing brain-drain from these countries, by helping to strengthen research and innovation (R&I ) capacities in such countries and by ensuring access to research data and results of value for the pursuit of the objectives of the Paris Agreement and the SDGs and promoting uptake of useful results.

Amendment    6

Proposal for a regulation

Recital 5

Text proposed by the Commission

Amendment

(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, 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. This is particularly important for actors in developing countries, where local research capacity must be improved and whose collaboration with Union partners can help to tackle common global challenges and contribute to Union research excellence. 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.

Amendment    7

Proposal for a regulation

Recital 6

Text proposed by the Commission

Amendment

(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 EU Union and through international cooperation, in line with the UN Sustainable Development Goals (SDGs). Horizon Europe should support and leverage national strategies for the fulfilment of the SDGs through common infrastructures and shared approaches. Programme implementation should reinforce the pursuit of this aim spearheading the Union’s commitment to providing leadership in addressing global challenges and to sharing its knowledge with its international partners.

Amendment    8

Proposal for a regulation

Recital 7

Text proposed by the Commission

Amendment

(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 objectives and priorities as well as international commitments, especially the SDGs, and the monitoring and assessment of progress against those objectives and priorities and for the development of revised or new priorities. European Research priorities should therefore provide specific alignment with SDGs in terms of establishing targets and measuring the impact of the Programme.

Amendment    9

Proposal for a regulation

Recital 8 a (new)

Text proposed by the Commission

Amendment

 

(8 a)  The programme should provide a comprehensive vision for research and product development to ensure increased coordination and coherence of European programmes with national and international initiatives and research agendas, and to ensure that promising products are supported throughout the entire development pipeline, especially in areas with no market interest.

Amendment    10

Proposal for a regulation

Recital 10

Text proposed by the Commission

Amendment

(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)  European research priorities extend beyond scientific ambitions. They include support for human well-being, environmental stability and economic sustainability. 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 also facilitate the development of appropriate metrics and evaluation criteria methodologies to measure policy and programme impact on all dimensions of sustainable development, including human development.

Amendment    11

Proposal for a regulation

Recital 12 a (new)

Text proposed by the Commission

Amendment

 

(12 a)  A strategic planning process, with the involvement of academia, small and medium-sized enterprises, industry, civil society and other stakeholders, should identify efficient and balanced ways to pursue the general objectives of the programme. This should result in periodic strategic R&I plans in the form of delegated acts, which should be implemented through work programmes. 

Amendment    12

Proposal for a regulation

Recital 12 b (new)

Text proposed by the Commission

Amendment

 

(12b)  Major efforts to support the pursuit of the SDGs also in developing countries are necessary. With the relentless progress of climate change, continuously improving the quality and access to research-based forecasts and advice (climate services) is an important task. The Union should honour its relevant commitments, including under the Addis Ababa Action Agenda’s paragraphs 49, 116, 120 and 121, and the Paris Agreement’s Articles 7.7(c) and 10.5.

Amendment    13

Proposal for a regulation

Recital 13

Text proposed by the Commission

Amendment

(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. 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, recognizing this is of specific importance in areas with market failure, for instance to address antimicrobial resistance and tuberculosis.

Amendment    14

Proposal for a regulation

Recital 15

Text proposed by the Commission

Amendment

(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)  The Programme should seek synergies with other Union programmes, contributing to policy coherence for development in accordance with Article 208 of the Treaty on the Functioning of the European Union (TFEU), 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.

Amendment    15

Proposal for a regulation

Recital 15 a (new)

Text proposed by the Commission

Amendment

 

(15a)  The Programme should encourage linking of different institutions of higher education in the area of natural and social sciences designing interdisciplinary and multidisciplinary studies or courses in higher education where experts should take into account the need to ensure a multidisciplinary approach.

Amendment    16

Proposal for a regulation

Recital 17 a (new)

Text proposed by the Commission

Amendment

 

(17a)  The Programme should simplify the authorisation formalities, support research in the field of social sciences encouraging university twinning, networking programmes and joint doctorates both within the Union and with third countries participating in the programme, encouraging inter-university cooperation through the transfer of knowledge across borders.

Amendment    17

Proposal for a regulation

Recital 25

Text proposed by the Commission

Amendment

(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 common interest, mutual benefits and global commitments to implement the UN SDGs and the Paris Agreement. International cooperation should aim to strengthen the Union's excellence in research and innovation, in particular eco-innovation, attractiveness and economic and industrial sustainability and competitiveness, to tackle global social challenges, as embodied in the Paris Agreement and the UN SDGs, and to support the Union's external policies with a special focus on reduction and eradication of poverty. An approach of general opening for international participation and targeted international cooperation actions including with low- and middle income countries, should be followed. Appropriate eligibility criteria concerning different levels of R&I capacities for funding of entities in low to middle income countries should be applied. At the same time, association of third countries to the Programme should be promoted in order to encourage the contribution of worldwide talent to the delivery of the programme.

Amendment    18

Proposal for a regulation

Recital 26

Text proposed by the Commission

Amendment

(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 work to address and overcome barriers to societal engagement and actively engage and involve citizens, academia 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, in particular through multi-actor approaches, 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 measures taken to improve the involvement of citizens and civil society should be reported on in Horizon 2027 annual reports. 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.

Amendment    19

Proposal for a regulation

Recital 28

Text proposed by the Commission

Amendment

(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 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. The Programme should include concrete measures to counteract unintentional gender bias.

Amendment    20

Proposal for a regulation

Recital 40

Text proposed by the Commission

Amendment

(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 support of the participation of entities established in third countries, training and information activities shall be provided to the national contact points (NCPs) and to all relevant stakeholders from research organisations to private sector, civil society, as well as local and national authorities. 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    21

Proposal for a regulation

Recital 41 a (new)

Text proposed by the Commission

Amendment

 

(41a)  Given the substantial negative impact of fossil fuels in fostering climate change, the Horizon Europe Programme should commit to the phasing out of fossil fuels by not providing any financial support to activities or investments related to the production, processing, distribution, storage or combustion of fossil fuels or any other activity that is detrimental to the climate and contradicts the Union’s commitment under the Paris Agreement.

Justification

Holding the global average temperature increase well below 2°C presupposes stronger action, especially in a context where EU’s energy policy will certainly be used as a template in international negotiations, while those countries which contributed the least to the rise of greenhouse gases (such as small islands and Least Developed Countries) will be most impacted by climate change.

Amendment    22

Proposal for a regulation

Article 2 – paragraph 1 – point 1 a (new)

Text proposed by the Commission

Amendment

 

(1a)  ‘global challenges’ mean achieving the SDGs and the objectives of the Paris Agreement, preventing, managing and eliminating security threats and conflicts, strengthening the respect for human rights, optimising international conditions for sustainable and inclusive economic and social development also in other ways and strengthening global governance, effective multilateralism and the international rule of law in order to facilitate the pursuit of these objectives; global challenges are included in the notion of societal challenges - which should in turn be defined through the active involvement of civil society and citizen participation mechanisms and other innovative decision making processes, without being fully covered by this notion;

Justification

Contributing to the addressing of global challenges is a fundamental objective of the regulation. It is therefore absolutely necessary to make clear what is meant by global challenges.

Amendment    23

Proposal for a regulation

Article 2 – paragraph 1 – point 4

Text proposed by the Commission

Amendment

(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 and research data resulting from actions funded under the Programme, in particular scientific publications and research data, free of charge to the end-user;

Amendment    24

Proposal for a regulation

Article 3 – paragraph 1

Text proposed by the Commission

Amendment

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, economic, climate 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, commitments and contribute to tackling global societal challenges, embodied by the Sustainable Development Goals and the Paris Agreement, including concrete measures for their achievement both inside and outside the Union.

Amendment    25

Proposal for a regulation

Article 3 – paragraph 2 – point a

Text proposed by the Commission

Amendment

(a)  to support the creation and diffusion of high-quality new knowledge, skills, technologies and solutions to global challenges;

(a)  to address global societal challenges and strengthen the European knowledge base by supporting the creation and diffusion of high-quality new knowledge, skills, technologies and solutions;

Amendment    26

Proposal for a regulation

Article 3 – paragraph 2 – point b

Text proposed by the Commission

Amendment

(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 impact of research and innovation in developing, supporting and implementing Union policies, in particular the SDGs and the Paris Agreement and support the equitable access and uptake of innovative solutions in industry and society to address global challenges;

Amendment    27

Proposal for a regulation

Article 3 – paragraph 2 – point d a (new)

Text proposed by the Commission

Amendment

 

(d a)  to contribute to the fulfilment of the Union's commitment under the Paris Agreement by investing at least 50 % of the Programme’s financial envelope in climate-related research and innovation.

Justification

Given the role of research, innovation and competitiveness within the Energy Union Framework, the Horizon Europe Programme should be used to achieve the 2030 and longer term objectives established under the climate and energy framework, especially in a context where EU’s energy policy will certainly be used as a template in international negotiations.

Amendment    28

Proposal for a regulation

Article 3 – paragraph 2 – point d b (new)

Text proposed by the Commission

Amendment

 

(db)  to boost the attractiveness in R&I and to encourage first commercial exploitation of R&I results if the product addresses a societal or global challenge and has the potential to improve people’s wellbeing or environmental sustainability.

Amendment    29

Proposal for a regulation

Article 7 – paragraph 3 – point a

Text proposed by the Commission

Amendment

(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 and commitments, in particular in relation to climate action and the pursuit of the SDGs;

Amendment    30

Proposal for a regulation

Article 7 – paragraph 3 – point a a (new)

Text proposed by the Commission

Amendment

 

(aa)  facilitating achievement of the SDGs;

Amendment    31

Proposal for a regulation

Article 9 – paragraph 2 a (new)

Text proposed by the Commission

Amendment

 

2a.  Efforts shall be made to direct at least 0.7 % of the programme’s total funds to developing country participants.

Amendment    32

Proposal for a regulation

Article 12 – paragraph 1 – point d – subparagraph 1 – point iii

Text proposed by the Commission

Amendment

iii.  active promotion of policies to improve the economic and social wellbeing of citizens;

iii.  active promotion of policies to improve the economic and social wellbeing of citizens and the promotion of environmental sustainability;

Amendment    33

Proposal for a regulation

Article 14 – paragraph 1 – subparagraph 2 – point c a (new)

Text proposed by the Commission

Amendment

 

(ca)  activities or investments related to the production, processing, distribution, storage or combustion of fossil fuels or any other activity that is detrimental to the climate and contradicts the Union’s commitment under the Paris Agreement.

Amendment    34

Proposal for a regulation

Article 18 – paragraph 5 a (new)

Text proposed by the Commission

Amendment

 

5a.  Legal entities’ including any affiliated entity should be excluded from participation when by the objective they pursue, their place of establishment, the nature or the location of their activities, would cause the Union to breach international law or international humanitarian law as established by a decision of the United Nations Security Council or by a judgement or advisory opinion of the International Court of Justice.

Amendment    35

Proposal for a regulation

Article 18 – paragraph 5 b (new)

Text proposed by the Commission

Amendment

 

5b.  Horizon Europe shall exclude participation of undertakings established in a third country which promotes itself as an off-shore financial centre or in which there are no or nominal taxes, there is a lack of effective exchange of information with foreign tax authorities, there is a lack of transparency in regard to legislative, judicial or administrative provisions, or there is no requirement for a substantive local presence.

Amendment    36

Proposal for a regulation

Article 19 – paragraph 2 – introductory part

Text proposed by the Commission

Amendment

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.  With the exception of low and lower middle income countries, entities established in a non-associated third country should bear the cost of their participation. A list of low to lower-middle income countries shall be annexed to every work programme adopted by the Commission. Exceptionally for other non-associated third countries they could be eligible for funding in an action if:

Amendment    37

Proposal for a regulation

Article 25 – paragraph 1 – point c a (new)

Text proposed by the Commission

Amendment

 

(ca)  contribution to the implementation of the SDGs.

Amendment    38

Proposal for a regulation

Article 34 – paragraph 2

Text proposed by the Commission

Amendment

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 justified, taking into account all relevant considerations, including the prospects for commercial exploitation. When deciding on protection, beneficiaries shall also consider both the legitimate interests of the other beneficiaries in the action and the active promotion of positive social spill over effects and return on the public investment in the form of accessibility to data and results.

Amendment    39

Proposal for a regulation

Article 36 – paragraph 4 a (new)

Text proposed by the Commission

Amendment

 

4a.  Non-exclusive licence agreements should be promoted as technology transfer agreements encouraging competition and fostering R&I. If exclusivity is necessary to attract investors, the technology transfer agreements shall include provisions ensuring the availability and affordability of the potential product or process. The transferring institution should be encouraged to maintain rights to amend or revoke the agreement should the agreement result in unsatisfactory access to the potential end product.

Amendment    40

Proposal for a regulation

Article 37 – paragraph 6 a (new)

Text proposed by the Commission

Amendment

 

6a.  In case of innovation that is highly relevant to developing countries' needs, including in the field of global health, the Commission shall include in the grant agreement licensing conditions to improve access and affordability of biomedical products in developing countries by means of 'humanitarian use licensing conditions';

Amendment    41

Proposal for a regulation

Article 45 – paragraph 1

Text proposed by the Commission

Amendment

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.

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. To the extent possible, the chosen indicators shall be streamlined with the SDG indicators.

Amendment    42

Proposal for a regulation

Annex I – introductory part – paragraph 1 a (new)

Text proposed by the Commission

Amendment

 

Promoting gender equality in science and innovation is a commitment of the Union. In Horizon 2027, gender shall be addressed as a cross-cutting issue in order to rectify gender inequalities, and to integrate a gender dimension in research and innovation programming and content.

Amendment    43

Proposal for a regulation

Annex I – introductory part – paragraph 1 b (new)

Text proposed by the Commission

Amendment

 

Conflict sensitivity shall be addressed as a cross-cutting issue, in order to prevent Horizon Europe research activities to do harm and potentially contribute to conflict dynamics.

Amendment    44

Proposal for a regulation

Annex I – point 1 – point b

Text proposed by the Commission

Amendment

(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, while preventing brain-drain from developing countries and actively supporting the build-up of R&I competence in a direct relation with local and regional needs and in coordination with the Union’s development instrument, 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, sustainable economic fabrics, and investment, and solving current and future societal challenges.

Amendment    45

Proposal for a regulation

Annex I – point 2 – introductory part – paragraph 1

Text proposed by the Commission

Amendment

Through the following activities, this pillar will, in line with Article 4, 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. It will also contribute to the other Programme's specific objectives as described in Article 3.

Through the following activities, this pillar will, in line with Article 4, strengthen the impact of research and innovation in addressing global challenges in developing, supporting and implementing Union policies, and support the uptake of innovative solutions in industry and society to address global challenge. It will also contribute to the other Programme's specific objectives as described in Article 3.

 

At least 70 % of the expenditure allocated to this pillar shall primarily aim to contribe to tackling global societal challenges and delivering societal impact (category I). Up to 30 % shall focus on boosting industrial competitiveness and economic impact (category II). This distribution (70 % category I, 3 0% category II) shall be ensured on different levels of programming, evaluation and monitoring.

Amendment    46

Proposal for a regulation

Annex I – point 2 – paragraph 1 – subparagraph 1

Text proposed by the Commission

Amendment

Through the following activities, this pillar will, in line with Article 4, 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. It will also contribute to the other Programme's specific objectives as described in Article 3.

Through the following activities, this pillar will, in line with Article 4, strengthen the impact of research and innovation in developing, supporting and implementing Union policies, contributing to the fulfilment of the SDGs and support the uptake of innovative solutions in industry and society to address global challenges. It will also contribute to the other Programme's specific objectives as described in Article 3.

Amendment    47

Proposal for a regulation

Annex I – point 2 – paragraph 4 – point a – subparagraph 1

Text proposed by the Commission

Amendment

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.

Cluster 'Health': Improving and protecting the health of citizens at all ages, by developing innovative, suitable, safe, accessible and affordable 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.

Amendment    48

Proposal for a regulation

Annex I – point 2 – paragraph 4 – point b – subparagraph 2

Text proposed by the Commission

Amendment

Areas of intervention: Democracy; Cultural heritage; Social and economic transformations; Disaster-resilient societies; Protection and Security; Cybersecurity

Areas of intervention: Democracy; Cultural heritage; Social and economic transformations; Disaster-resilient societies; Protection and human Security; Conflict prevention and Peacebuilding, Cybersecurity

Amendment    49

Proposal for a regulation

Annex I – point 2 – paragraph 4 – point c – subparagraph 2

Text proposed by the Commission

Amendment

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: Sustainable manufacturing technologies; Digital technologies; Advanced materials; Artificial intelligence and robotics; Next generation open internet; High performance computing and Big Data; Circular industries; Low carbon and clean industry; Space

Amendment    50

Proposal for a regulation

Annex I – point 2 – paragraph 4 – point d – subparagraph 1

Text proposed by the Commission

Amendment

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.

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 affordable, smarter, safer and more resilient.

Amendment    51

Proposal for a regulation

Annex I – point 2 – paragraph 4 – point d – subparagraph 2

Text proposed by the Commission

Amendment

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 and industrial facilities in energy transition; Communities and cities; Public affordability in transport; Clean transport and mobility; Smart and sustainable mobility; Energy storage.

Amendment    52

Proposal for a regulation

Annex I – point 2 – paragraph 4 – point e – subparagraph 2

Text proposed by the Commission

Amendment

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; Sea and oceans; Food systems; Bio-based innovation systems; Circular systems; bioeconomy; precision agriculture; food and nutrition; food for health.

Amendment    53

Proposal for a regulation

Annex I – point 2 – paragraph 4 – point f – subparagraph 1

Text proposed by the Commission

Amendment

Non-nuclear direct actions of the Joint Research Centre: Generating high-quality scientific evidence for good public policies. New initiatives and proposals for EU legislation need transparent, comprehensive and balanced evidence, whereas implementation of policies needs evidence to measure and monitor progress. The JRC will provide Union policies with independent scientific evidence and technical support throughout the policy cycle. The JRC will focus its research on EU policy priorities.

Non-nuclear direct actions of the Joint Research Centre: Generating high-quality scientific evidence for good public policies. New initiatives and proposals for EU legislation need transparent, comprehensive and balanced evidence, whereas implementation of policies needs evidence to measure and monitor progress. The JRC will provide Union policies with independent scientific evidence and technical support throughout the policy cycle. The JRC will focus its research on EU policy priorities, including conflict prevention and peacebuilding.

Amendment    54

Proposal for a regulation

Annex I – point 2 – paragraph 4 – point f – subparagraph 2

Text proposed by the Commission

Amendment

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; resilience and human security; peacebuilding and conflict prevention including early warning, 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

Amendment    55

Proposal for a regulation

Annex I – point 3 – paragraph 1 – point a – subparagraph 1

Text proposed by the Commission

Amendment

European Innovation Council: promoting breakthrough innovation with scale-up potential at global level

European Innovation Council: promoting societally relevant breakthrough innovation with scale-up potential at global level

Amendment    56

Proposal for a regulation

Annex I – point 3 – paragraph 1 – point c – subparagraph 1

Text proposed by the Commission

Amendment

Areas of intervention: Strengthen sustainable innovation ecosystems across Europe; Fostering the development of entrepreneurial and innovation skills in a lifelong learning perspective and support the entrepreneurial transformation of EU universities; Bring new solutions to global societal challenges to the market; Synergies and value added within Horizon Europe.

Areas of intervention: Strengthen sustainable innovation ecosystems across and outside of Europe; Fostering the development of solidarity and innovation skills in a lifelong learning perspective and support the public dimensions of EU universities; Bring new solutions to global societal challenges to the society; Synergies and value added within Horizon Europe.

Amendment    57

Proposal for a regulation

Annex II – paragraph 2 – indent 5

Text proposed by the Commission

Amendment

–  Training and mobility action: action geared towards improvement of skills, knowledge and career prospects of researchers based on mobility between countries, and, if relevant, between sectors or disciplines;

–  Training and mobility action: action geared towards improvement of skills, knowledge and career prospects of researchers based on mobility between countries, and, if relevant, between sectors or disciplines, while fostering collaboration with low and middle income countries;

Amendment    58

Proposal for a regulation

Annex III – point 1 – point a – subparagraph 1

Text proposed by the Commission

Amendment

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;

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 as embodied by the SDGs and research and innovation objectives, securing EU competitiveness and contributing to the strengthening of the European Research and Innovation Area and international commitments;

Amendment    59

Proposal for a regulation

Annex III – point 1 – point c

Text proposed by the Commission

Amendment

(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 Partnership as regards the identification of priorities and objectives, and the involvement of partners and a wide range of stakeholders from different sectors, including civil society and international ones when relevant;

Amendment    60

Proposal for a regulation

Annex III – point 1 – point d – indent 1

Text proposed by the Commission

Amendment

–  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 economic value for Europe and contribution to the SDGs;

Amendment    61

Proposal for a regulation

Annex IV – point 4 – point a

Text proposed by the Commission

Amendment

(a)  the ESF+ can mainstream and scale up innovative curricula supported by the Programme, through national or regional programmes, in order to equip people with the skills and competences needed for the jobs of the future;

(a)  the ESF+ can mainstream and scale up innovative curricula supported by the Programme, through national or regional programmes, in order to equip people with the knowledge, skills and competences needed for the the future;

Amendment    62

Proposal for a regulation

Annex IV – point 6 – point b

Text proposed by the Commission

Amendment

(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 Open Internet, High Performance Computing, Artificial Intelligence, Cybersecurity, combining digital with other enabling technologies and non-technological innovations; support for the scale-up of companies introducing societally relevant 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;

Amendment    63

Proposal for a regulation

Annex IV – point 11

Text proposed by the Commission

Amendment

11.  Synergies with the Neighbourhood, Development and International Cooperation Instrument (the 'External Instrument') will ensure that the Programme's research and innovation activities with the participation of Third Countries and targeted international cooperation actions seek alignment and coherence with parallel market uptake and capacity-building actions strands under the External Instrument, based on joint definition of needs and areas of intervention commonly defined during the Programme's strategic research and innovation planning process.

11.  Synergies with the Neighbourhood, Development and International Cooperation Instrument (the 'External Instrument') will ensure that the Programme's research and innovation activities with the participation of Third Countries and targeted international cooperation actions seek alignment and coherence with parallel market uptake and capacity-building actions strands under the External Instrument, based on joint definition of needs through consultation with a wide variety of stakeholders in partner countries and areas of intervention commonly defined during the Programme's strategic research and innovation planning process and are fully aligned with the global goals of the 2030 Agenda on Sustainable Development. Such synergies will facilitate fulfilment of Article 66.2 of the WTO TRIPS1a Agreement, which notes the commitment by developed countries to provide incentives to their enterprises or institutions for the purpose of promoting and encouraging technology transfer to least-developed country members.

 

_________________

 

1a TRIPS Agreement: The Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS) Article 66.2 Article 66.2 of the TRIPS Agreement requires developed-country Members to provide incentives to enterprises and institutions in their territories for the purpose of promoting and encouraging technology transfer to least-developed country Members in order to enable them to create a sound and viable technological base.

Amendment    64

Proposal for a regulation

Annex V – paragraph 4

Text proposed by the Commission

Amendment

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 global challenges as defined by the SDGs as well as EU policy priorities through R&I, delivering benefits and impact through R&I missions and strengthening the uptake of and equitable access to innovation in society, ultimately contributing to human well-being.

 

Progress towards this impact will be monitored through proxy indicators set along the following four key impact pathways. To the extent possible, the chosen indicators shall be streamlined with the SDG indicators.

Amendment    65

Proposal for a regulation

Annex V – table 2 – column 1 – row 2

Text proposed by the Commission

Amendment

Addressing EU policy priorities through R&I

Addressing EU policy priorities, in particular the SDGs, through R&I

Amendment    66

Proposal for a regulation

Annex V – table 2 – column 1 – row 3

Text proposed by the Commission

Amendment

Delivering benefits and impact through R&I missions

Delivering societal benefits and impact through R&I missions

Amendment    67

Proposal for a regulation

Annex V – table 2 – column 2 – row 2

Text proposed by the Commission

Amendment

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

Outputs - Number and share of outputs aimed at addressing specific EU policy priorities, in particular the SDGs

Amendment    68

Proposal for a regulation

Annex V – table 2 – column 3 – row 2

Text proposed by the Commission

Amendment

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

Solutions - Number and share of innovations and scientific results addressing specific EU policy priorities, in particular the SDGs

Amendment    69

Proposal for a regulation

Annex V – table 2 – column 4 – row 2

Text proposed by the Commission

Amendment

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

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

PROCEDURE – COMMITTEE ASKED FOR OPINION

Title

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

References

COM(2018)0435 – C8-0252/2018 – 2018/0224(COD)

Committee responsible

       Date announced in plenary

ITRE

14.6.2018

 

 

 

Opinion by

       Date announced in plenary

DEVE

14.6.2018

Rapporteur

       Date appointed

Lola Sánchez Caldentey

4.9.2018

Discussed in committee

8.10.2018

 

 

 

Date adopted

12.11.2018

 

 

 

Result of final vote

+:

–:

0:

14

1

9

Members present for the final vote

Beatriz Becerra Basterrechea, Ignazio Corrao, Mireille D’Ornano, Doru-Claudian Frunzulică, Enrique Guerrero Salom, Heidi Hautala, Maria Heubuch, György Hölvényi, Linda McAvan, Norbert Neuser, Cristian Dan Preda, Lola Sánchez Caldentey, Jean-Luc Schaffhauser, Elly Schlein, Eleni Theocharous, Mirja Vehkaperä, Anna Záborská, Joachim Zeller, Željana Zovko

Substitutes present for the final vote

Frank Engel, Stefan Gehrold, Paul Rübig

Substitutes under Rule 200(2) present for the final vote

Georgi Pirinski, Helmut Scholz

FINAL VOTE BY ROLL CALL IN COMMITTEE ASKED FOR OPINION

14

+

ALDE

Beatriz Becerra Basterrechea, Mirja Vehkaperä

EFDD

Ignazio Corrao, Mireille D'Ornano

GUE/NGL

Lola Sánchez Caldentey, Helmut Scholz

S&D

Doru-Claudian Frunzulică, Enrique Guerrero Salom, Linda McAvan, Norbert Neuser, Georgi Pirinski, Elly Schlein

VERTS/ALE

Heidi Hautala, Maria Heubuch

1

-

ENF

Jean-Luc Schaffhauser

9

0

ECR

Eleni Theocharous

PPE

Frank Engel, Stefan Gehrold, György Hölvényi, Cristian Dan Preda, Paul Rübig, Anna Záborská, Joachim Zeller, Željana Zovko

Key to symbols:

+  :  in favour

-  :  against

0  :  abstention


OPINION of the Committee on Budgets (10.10.2018)

for the Committee on Industry, Research and Energy

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))

Rapporteur for opinion: Nils Torvalds

SHORT JUSTIFICATION

The Rapporteur welcomes the proposal by the European Commission for the new Framework Programme for Research and Innovation, Horizon Europe. The current Horizon 2020 Programme has shown the added value of resources put in the field of research and innovation and the benefits for participants across society.

The Commission proposes increased resources for research and innovation compared to the current Framework Programme. The Rapporteur warmly welcomes this rise, especially since every euro invested in the Framework Programmes can potentially generate a return of 11 euros over 25 years as estimated by the Commission. At the same time, given that the Commission has also calculated that Horizon 2020 would have needed a budget of over 160 billion to fund all excellent proposals, the rapporteur believes that the budget should be even more ambitious.

The Rapporteur is therefore proposing an increase of the budget to EUR 120 billion (in 2018 prices) to further the potential of research and innovation in Europe. Previously, the European Parliament has called for a substantial increase for Horizon Europe to the level of at least EUR 120 billion (in 2018 prices) in its resolutions on the 2021–2027 Multiannual Financial Framework of 14 March 2018 and of 30 May 2018..

The target set out by the Member States and their heads of state or government to achieve 3 % of the EU GDP invested in research and development by 2020, is an important goal for the competitiveness of the continent. The Framework Programme plays an important part in reaching this objective. Horizon Europe is however not, and cannot be, the only tool to attain this target. The combination of activities supporting R&D on the Union level together with the resources on national level is the key to achieving it, with a strong focus on complementarity and coordination of the EU level and national level actions.

Endorsing the strong focus of the proposal on innovation, the Rapporteur however seeks to promote a broader perspective on innovation in the Framework Programme, which should provide adequate support to all kinds of beneficiaries striving to develop and realise their innovation potential. In view of the discontinuation of budgetary earmarking for small and medium-sized enterprises under Horizon Europe, he aims to ensure continued possibilities to access relevant funding resources for innovative SMEs.

Last but not least, the opinion also endeavours to align the internal flexibility within Horizon Europe to the proposed flexibility of 15 % applicable to the entire programmes for the entire duration of the next MFF. In view of enabling the potential 15 % increase of relevant amounts under Article 9.2 of the regulation, the opinion looks to provide the Commission with the possibility to propose an increase by up to 15 % per relevant amount during the whole MFF in its annual draft budgets, while ruling out decreases bigger than 5 %.

AMENDMENTS

The Committee on Budgets calls on the Committee on Industry, Research and Energy, as the committee responsible, to take into account the following amendments:

Amendment    1

Proposal for a regulation

Recital 2

Text proposed by the Commission

Amendment

(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, the Union should invest in research and innovation through Horizon Europe - a Framework Programme for Research and Innovation 2021-2027 (the ‘Programme’) to support excellence in research, fundamental research and 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 such as achieving sustainable development and to 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.

Amendment    2

Proposal for a regulation

Recital 2 a (new)

Text proposed by the Commission

Amendment

 

(2 a)  The Programme will contribute to the achievement of an overall target of 3 % of the Union’s GDP invested in research and development, in line with the EU2020 headline target. The achievement of the target will require Member States to integrate the Programme with their own investment actions in research, development and innovation.

Amendment    3

Proposal for a regulation

Recital 19

Text proposed by the Commission

Amendment

(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 '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 as well as fostering incremental innovation. 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.

Justification

This amendment seeks to promote a broader perspective on innovation in the Framework Programme, which should provide adequate support to all kinds of beneficiaries striving to develop and realise their innovation potential. In view of the discontinuation of budgetary earmarking for small and medium-sized enterprises under Horizon Europe, this amendment aims to ensure the possibilities to access relevant funding resources for innovative SMEs.

Amendment    4

Proposal for a regulation

Recital 20

Text proposed by the Commission

Amendment

(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)  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 and be based on the principle of excellence.

Amendment    5

Proposal for a regulation

Recital 28

Text proposed by the Commission

Amendment

(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 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 and gender mainstreaming should be adequately integrated in research and innovation content and followed through at all stages of the research cycle.

Amendment    6

Proposal for a regulation

Recital 41

Text proposed by the Commission

Amendment

(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)  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 swift achievement of an overall target of 30 % of the EU budget expenditures supporting climate objectives.

Amendment    7

Proposal for a regulation

Article 3 – paragraph 1

Text proposed by the Commission

Amendment

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, 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, as well as contribute to the achievement of an overall target of 3 % of the Union’s GDP invested in research and development, in line with the EU2020 headline target.

Amendment    8

Proposal for a regulation

Article 9 – paragraph 1

Text proposed by the Commission

Amendment

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 (EUR 135 248 000 000 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.

Justification

The financial envelope is proposed to be amended in line with the EP resolutions of 14 March and 30 May on the next MFF, based on a preliminary technical breakdown per programme that could be subject to further adjustments, while respecting the overall EP position as set out in those resolutions and the overall level of 1.3% of the EU-27 GNI.

Amendment    9

Proposal for a regulation

Article 9 – paragraph 2 – point a – introductory part

Text proposed by the Commission

Amendment

(a)  EUR 25 800 000 000 for Pillar I 'Open Science' for the period 2021-2027, of which

(a)  27,418 % of the amount referred to in paragraph 1, first half sentence, for Pillar I 'Open Science' for the period 2021-2027, of which

Amendment    10

Proposal for a regulation

Article 9 – paragraph 2 – point a – point 1

Text proposed by the Commission

Amendment

(1)  EUR 16 600 000 000 for the European Research Council;

(1)  17,641 % of the amount referred to in paragraph 1, first half sentence, for the European Research Council;

Amendment    11

Proposal for a regulation

Article 9 – paragraph 2 – point a – point 2

Text proposed by the Commission

Amendment

(2)  EUR 6 800 000 000 for Marie Skłodowska-Curie Actions;

(2)  7,226 % of the amount referred to in paragraph 1, first half sentence, for Marie Skłodowska-Curie Actions;

Amendment    12

Proposal for a regulation

Article 9 – paragraph 2 – point a – point 3

Text proposed by the Commission

Amendment

(3)  EUR 2 400 000 000 for research infrastructures;

(3)  2,551 % of the amount referred to in paragraph 1, first half sentence, for research infrastructures;

Amendment    13

Proposal for a regulation

Article 9 – paragraph 2 – point b – introductory part

Text proposed by the Commission

Amendment

(b)  EUR 52 700 000 000 for Pillar II 'Global Challenges and Industrial Competitiveness' for the period 2021-2027, of which

(b)  56,004 % of the amount referred to in paragraph 1, first half sentence, for Pillar II 'Global Challenges and Industrial Competitiveness' for the period 2021-2027, of which

Amendment    14

Proposal for a regulation

Article 9 – paragraph 2 – point b – point 1

Text proposed by the Commission

Amendment

(1)  EUR 7 700 000 000 for cluster 'Health';

(1)  8,183 % of the amount referred to in paragraph 1, first half sentence, for cluster 'Health';

Amendment    15

Proposal for a regulation

Article 9 – paragraph 2 – point b – point 2

Text proposed by the Commission

Amendment

(2)  EUR 2 800 000 000 for cluster 'Inclusive and Secure Society';

(2)  2,976 % of the amount referred to in paragraph 1, first half sentence, for cluster 'Inclusive and Secure Society';

Amendment    16

Proposal for a regulation

Article 9 – paragraph 2 – point b – point 3

Text proposed by the Commission

Amendment

(3)  EUR 15 000 000 000 for cluster 'Digital and Industry';

(3)  15,940 % of the amount referred to in paragraph 1, first half sentence, for cluster 'Digital and Industry';

Amendment    17

Proposal for a regulation

Article 9 – paragraph 2 – point b – point 4

Text proposed by the Commission

Amendment

(4)  EUR 15 000 000 000 for cluster 'Climate, Energy and Mobility';

(4)  15,940 % of the amount referred to in paragraph 1, first half sentence, for cluster 'Climate, Energy and Mobility';

Amendment    18

Proposal for a regulation

Article 9 – paragraph 2 – point b – point 5

Text proposed by the Commission

Amendment

(5)  EUR 10 000 000 000 for cluster 'Food and Natural Resources';

(5)  10,627 % of the amount referred to in paragraph 1, first half sentence, for cluster 'Food and Natural Resources';

Amendment    19

Proposal for a regulation

Article 9 – paragraph 2 – point b – point 6

Text proposed by the Commission

Amendment

(6)  EUR 2 200 000 000 for the non-nuclear direct actions of the Joint Research Centre (JRC);

(6)  2,338 % of the amount referred to in paragraph 1, first half sentence, for the non-nuclear direct actions of the Joint Research Centre (JRC);

Amendment    20

Proposal for a regulation

Article 9 – paragraph 2 – point c – introductory part

Text proposed by the Commission

Amendment

(c)  EUR 13 500 000 000 for Pillar III 'Open Innovation' for the period 2021-2027, of which

(c)  14,346 % of the amount referred to in paragraph 1, first half sentence, for Pillar III 'Open Innovation' for the period 2021-2027, of which

Amendment    21

Proposal for a regulation

Article 9 – paragraph 2 – point c – point 1

Text proposed by the Commission

Amendment

(1)  EUR 10 500 000 000 for the European Innovation Council, including up to EUR 500 000 000 for European Innovation Ecosystems;

(1)  11,158 % of the amount referred to in paragraph 1, first half sentence, for the European Innovation Council, including up to 0,531 % of the amount referred to in paragraph 1, first half sentence, for European Innovation Ecosystems;

Amendment    22

Proposal for a regulation

Article 9 – paragraph 2 – point c – point 2

Text proposed by the Commission

Amendment

(2)  EUR 3 000 000 000 for the European Institute of Innovation and Technology (EIT);

(2)  3,188 % of the amount referred to in paragraph 1, first half sentence, for the European Institute of Innovation and Technology (EIT);

Amendment    23

Proposal for a regulation

Article 9 – paragraph 2 – point d – introductory part

Text proposed by the Commission

Amendment

(d)  EUR 2 100 000 000 for Part 'Strengthening the European Research Area' for the period 2021-2027, of which

(d)  2,232 % of the amount referred to in paragraph 1, first half sentence, for Part 'Strengthening the European Research Area' for the period 2021-2027, of which

Amendment    24

Proposal for a regulation

Article 9 – paragraph 2 – point d – point 1

Text proposed by the Commission

Amendment

(1)  EUR 1 700 000 000 for 'sharing excellence';

(1)  1,807 % of the amount referred to in paragraph 1, first half sentence, for 'sharing excellence';

Amendment    25

Proposal for a regulation

Article 9 – paragraph 2 – point d – point 2

Text proposed by the Commission

Amendment

(2)  EUR 400 000 000 for 'reforming and enhancing the European R&I System'.

(2)  0,425 % of the amount referred to in paragraph 1, first half sentence, for 'reforming and enhancing the European R&I System'.

Amendment    26

Proposal for a regulation

Article 9 – paragraph 3

Text proposed by the Commission

Amendment

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, propose to increase the amounts referred to in paragraph 2 by up to 15% or decrease them by up to 5%. No decrease shall be allowed in respect of the amount referred to in point (a) of paragraph 2. No increase or decrease shall be allowed in respect of the amounts referred to in points (b) (6) of paragraph 2 and the total amount set out for Part 'Strengthening the European Research Area' of paragraph 2.

Justification

This amendment aims to align the internal flexibility within Horizon Europe to the proposed flexibility of 15 % applicable to the entire programmes for the entire duration of the next MFF as noted in point 16 of the Interinstitutional Agreement. In view of enabling the potential 15 % increase of relevant amounts under Article 9.2, the amendment seeks to provide the Commission with the possibility to propose an increase by up to 15 % per relevant amount during the whole MFF in its annual draft budgets. The decrease should not be bigger than 5 %.

Amendment    27

Proposal for a regulation

Article 12 – paragraph 4 a (new)

Text proposed by the Commission

Amendment

 

4 a.  The financial contribution made by and expected from third countries to the Programme shall, once sufficient information is available, be reported upon to both arms of the Budgetary Authority as part of the annual and/or interim reporting of the Programme.

Amendment    28

Proposal for a regulation

Article 33 – paragraph 6

Text proposed by the Commission

Amendment

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.

Amendment    29

Proposal for a regulation

Article 47 – paragraph 2

Text proposed by the Commission

Amendment

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 an assessment of the long-term impact of previous Framework Programmes and shall form the basis to adjust programme implementation, as appropriate.

Justification

This amendment aims at balancing the time needed for gathering sufficient information for a proper interim evaluation, and reasonable time left of the Programme to implement and add efficiency to it.

PROCEDURE – COMMITTEE ASKED FOR OPINION

Title

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

References

COM(2018)0435 – C8-0252/2018 – 2018/0224(COD)

Committee responsible

       Date announced in plenary

ITRE

14.6.2018

 

 

 

Opinion by

       Date announced in plenary

BUDG

14.6.2018

Rapporteur

       Date appointed

Nils Torvalds

28.6.2018

Discussed in committee

13.9.2018

 

 

 

Date adopted

9.10.2018

 

 

 

Result of final vote

+:

–:

0:

30

2

0

Members present for the final vote

Nedzhmi Ali, Jean Arthuis, Richard Ashworth, Reimer Böge, Lefteris Christoforou, Gérard Deprez, José Manuel Fernandes, Eider Gardiazabal Rubial, Jens Geier, Ingeborg Gräßle, Iris Hoffmann, Monika Hohlmeier, John Howarth, Zbigniew Kuźmiuk, Bernd Kölmel, Vladimír Maňka, Siegfried Mureşan, Jan Olbrycht, Younous Omarjee, Răzvan Popa, Paul Rübig, Petri Sarvamaa, Jordi Solé, Eleftherios Synadinos, Inese Vaidere, Monika Vana, Daniele Viotti, Tiemo Wölken, Manuel dos Santos, Patricija Šulin

Substitutes present for the final vote

Andrey Novakov

Substitutes under Rule 200(2) present for the final vote

Auke Zijlstra

FINAL VOTE BY ROLL CALL IN COMMITTEE ASKED FOR OPINION

30

+

ALDE

Nedzhmi Ali, Jean Arthuis, Gérard Deprez

ECR

Bernd Kölmel, Zbigniew Kuźmiuk

GUE/NGL

Younous Omarjee

PPE

Richard Ashworth, Reimer Böge, Lefteris Christoforou, José Manuel Fernandes, Ingeborg Gräßle, Monika Hohlmeier, Siegfried Mureşan, Andrey Novakov, Jan Olbrycht, Paul Rübig, Petri Sarvamaa, Patricija Šulin, Inese Vaidere

S&D

Eider Gardiazabal Rubial, Jens Geier, Iris Hoffmann, John Howarth, Vladimír Maňka, Răzvan Popa, Manuel dos Santos, Daniele Viotti, Tiemo Wölken

VERTS/ALE

Jordi Solé, Monika Vana

2

-

ENF

Auke Zijlstra

NI

Eleftherios Synadinos

0

0

 

 

Key to symbols:

+  :  in favour

-  :  against

0  :  abstention


OPINION of the Committee on Budgetary Control (19.11.2018)

for the Committee on Industry, Research and Energy

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))

Rapporteur for opinion: Martina Dlabajová

SHORT JUSTIFICATION

To maximise the impact of future European Union (EU) research and innovation (R&I) is crucial in a rapidly globalising world.

Compared to other major economies, Europe suffers from a growth deficit and this requires action by the EU and its Member States.

The High level group on EU research summarizes it: “Europe’s challenge and ambition are straightforward: step up investments in its knowledge assets and turn the high volume and quality of its science and research results faster and deeper into innovation which generates value for economy and society.”(1)

Research and Innovation are the foundations for sustainable growth and jobs in Europe and help to find solutions for present and unforeseen global problems.

The Rapporteur supports the Commission proposal, Horizon Europe proposing for the period 2021 to 2027 an approach, which can make great contributions to tackle these challenges with its core focus on excellence, transnational competition and collaboration.

The Rapporteur welcomes the fact, that the proposed framework programme aims to have an even greater impact than the current one that has already provided unique European added value in supporting continent-wide competition and collaboration for the very best science and innovation. In the view of simplification, the Rapporteur stresses that merging two current legal acts (the Framework Programme and the Rules for Participation and Dissemination) into a single legal act providing for a single set of rules for participation and dissemination, increased the use of simplified cost options and cross-reliance on audits etc.

The Rapporteur would also like to stress the importance on a greater focus on impact and openness, an approach which prioritises investments where are tangible benefits and high impacts for society with a strategic approach to partnerships. Further to increase the synergies between R&I programmes and other EU programmes, to continue the simplification efforts of rules and procedures and to communicate better to EU citizens on R&I results.

By taking into account the results of the interim evaluation of the programme Horizon 2020, the Rapporteur considers the current Commission proposal as a step in the right direction to ensure flexibility and efficiency and reduce the administrative burden to the minimum.

Nevertheless, the Rapporteur is highly concerned about the latest investigation results of the European Anti-Fraud Office (OLAF) that fraudsters have increasingly attempted to defraud funds destined for research(2). The research and technological development priorities are among those most affected by potential fraud.

The Rapporteur underlines the on-going importance of an in-depth analysis of the approaches, procedures and tools available in the fight against fraud.

The proposed amendments are aimed to be precise with regard to financial aspects, in particular to the Early Detection and Exclusion System.

AMENDMENTS

The Committee on Budgetary Control calls on the Committee on Industry, Research and Energy, as the committee responsible, to take into account the following amendments:

Amendment    1

Proposal for a regulation

Recital 8

Text proposed by the Commission

Amendment

(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 and clear 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.

Amendment    2

Proposal for a regulation

Recital 14

Text proposed by the Commission

Amendment

(14)  The Commission’s Communication on the interim evaluation of Horizon 2020 (COM(2018) 2 final) 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) 2 final) 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. It is stated in the evaluation that the previous Programme was clearly underfunded given the number of proposals put forward that were deemed to have exceeded the stringent quality threshold, and it is estimated that applicants spent EUR 643 million preparing the proposals. The recommendations put forward include: invest more ambitiously in order to reach critical mass and maximise impact; support breakthrough innovation; prioritise Union research and innovation (R&I) investments in areas of high added value, notably through mission-orientation, citizen involvement and wide communication; rationalise the Union funding landscape, including by streamlining the range of partnership initiatives and co-funding schemes; develop 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; strengthen international cooperation and reinforce openness to participation by third countries; and continue simplification based on implementation experiences from Horizon 2020.

Amendment    3

Proposal for a regulation

Recital 15

Text proposed by the Commission

Amendment

(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)  The Programme should seek synergies with other Union programmes, from their design, simplification 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.

Amendment    4

Proposal for a regulation

Recital 28

Text proposed by the Commission

Amendment

(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 and promoting equality between genders 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.

Justification

Gender is not confined to just women and men.

Amendment    5

Proposal for a regulation

Article 6 – paragraph 7

Text proposed by the Commission

Amendment

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 primarily delivered through transparent calls for proposals, some of which organised as parts of missions and European Partnerships.

Amendment    6

Proposal for a regulation

Article 9 – paragraph 4

Text proposed by the Commission

Amendment

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. It may moreover cover expenses relating to the studies, meetings of experts, information and communication actions, in so far as they are directly 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.

Amendment    7

Proposal for a regulation

Article 10 – paragraph 3 a (new)

Text proposed by the Commission

Amendment

 

3a.  The Commission shall implement an instrument to make public in real time the implementation of the Programme, including data about the participants, financing amounts, results and market uptake.

Amendment    8

Proposal for a regulation

Article 10 – paragraph 3 b (new)

Text proposed by the Commission

Amendment