Source: EURLEX
Language: en
Format: md

**Council of the**
**European Union**

**Interinstitutional File:**

**2018/0224(COD)**

**INFORMATION NOTE**

**Brussels, 11 January 2019**
**(OR. en)**

**15309/18**

**CODEC 2262** **ENV 898**
**RECH 537** **REGIO 152**
**COMPET 873** **AGRI 646**
**IND 404** **TRANS 644**
**MI 992** **SAN 470**
**EDUC 475** **CADREFIN 425**
**TELECOM 477** **IA 421**
**ENER 442** **PE 179**

From: General Secretariat of the Council

To: Permanent Representatives Committee/Council

Subject: 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

         - Outcome of the European Parliament's proceedings

(Strasbourg, 10 to 13 December 2018)

**I.** **INTRODUCTION**

The rapporteur, Dan NICA (S&D, RO), presented a report consisting of 170 amendments

(amendments 1-170) to the proposal for a Regulation on behalf of the Committee on Industry,

Research and Energy.

In addition, the political groups tabled the following amendments: ECR tabled one amendment

(amendment 171), Greens/EFA seven amendments (amendments 187 and 195-200), GUE/NGL

sixteen amendments (amendments 174-181, 188-194 and 201) and EFDD five amendments

(amendments 182-186). Two amendments were tabled by more than 38 MEPs (amendments 172

and 173).

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**II.** **VOTE**

When it voted on 12 December 2018, the Parliament adopted the following amendments: 1-170.

The amendments adopted are set out in the annex.

At the end of the vote, the proposal was referred back to the Committee, pursuant to Rule 59(4)(4)

of the European Parliament's Rules of Procedure, thereby not bringing the Parliament's first reading

to a close and opening the negotiations with the Council.

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**ANNEX**

**(12.12.2018)**

## **–** **Establishing Horizon Europe  laying down its rules for participation and** **dissemination ***I**

**Amendments adopted by the European Parliament on 12 December 2018 on the proposal for**

**–**
**a regulation of the European Parliament and of the Council establishing Horizon Europe**
**the Framework Programme for Research and Innovation, laying down its rules for**
**participation and dissemination (COM(2018)0435 – C8-0252/2018 – 2018/0224(COD))** [1]

**(Ordinary legislative procedure: first reading)**

**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 _**.**_

**Amendment 2**

**Proposal for a regulation**
**Recital 2**

(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 _**;**_

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

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_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.**_

**Amendment 3**

**Proposal for a regulation**
**Recital 2 a (new)**

(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.**_

_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,**_

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_**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)**_ .

**Amendment 5**

**Proposal for a regulation**
**Recital 4**

(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**_ .

_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.

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**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 nondiscriminatory 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 nondiscriminatory 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.**_

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**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.

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**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.

**Amendment 10**

**Proposal for a regulation**
**Recital 7 a (new)**

(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.

_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 (8) The Programme should maintain a

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balanced approach between bottom-up
(investigator or innovator driven) and topdown (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 12**

**Proposal for a regulation**
**Recital 8 a (new)**

balanced approach between bottom-up
(investigator or innovator driven) and topdown (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.

_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)**

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_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)**

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# ANNEX GIP.2 EN

_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.

**Amendment 17**

**Proposal for a regulation**
**Recital 10**

(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.

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_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 crossdisciplinary, cross-sectoral, cross-policy
and cross-border collaboration in pursuit of
the UN SDGs and the competitiveness of
the Union's industries therein.

**Amendment 18**

**Proposal for a regulation**
**Recital 11**

(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 crossdisciplinary, 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.**_

_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

(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**_

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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 Council**_ _**[13]**_
_**('Horizon 2020').**_

__________________

_**13**_

**Amendment 19**

**Proposal for a regulation**
**Recital 11 a (new)**

_**R&I investment from the private sector**_ .

_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**

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_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 suboptimal 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**_ .

**Amendment 21**

**Proposal for a regulation**
**Recital 12 a (new)**

(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**_ .

_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**_

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_**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

(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.

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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 missionorientation, 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 missionorientation, _**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

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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;**_

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_**- 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.

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# ANNEX GIP.2 EN

**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 _**.**_

__________________ __________________

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)**

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).

_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.**_

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# ANNEX GIP.2 EN

**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.

**Amendment 29**

**Proposal for a regulation**
**Recital 19**

(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.

_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 coinvestments, including with private
investors. These objectives should be
pursued through the creation of a European
Innovation Council (EIC). This Pillar

(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,

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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.

**Amendment 30**

**Proposal for a regulation**
**Recital 20**

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**_ .

_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**_ .

**Amendment 31**

(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.**_

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**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.**_

**Amendment 32**

**Proposal for a regulation**
**Recital 22**

_**deleted**_

_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] ..

__________________ __________________

15 15

_**...**_

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# ANNEX GIP.2 EN

**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 nondisciplinary 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 Regulation**_ _**[1a]**_ _**and the**_
_**Strategic Innovation Agenda of the EIT**_ _**[1b]**_ _**,**_
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,**_

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# ANNEX GIP.2 EN

_**should be avoided.**_

__________________

_**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.

**Amendment 35**

**Proposal for a regulation**
**Recital 25**

(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.**_

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_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.

**Amendment 36**

**Proposal for a regulation**
**Recital 26**

(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**_ .

_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 cocreating responsible research and

(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 cocreating responsible research and

15309/18 ID/mv 25

# ANNEX GIP.2 EN

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.**_

**Amendment 37**

**Proposal for a regulation**
**Recital 26 a (new)**

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.**_

_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)**

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# ANNEX GIP.2 EN

_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.**_

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# ANNEX GIP.2 EN

**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**_ .

**Amendment 41**

**Proposal for a regulation**
**Recital 29**

(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.

_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 Fund [16] 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 Fund [16] 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**_

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# ANNEX GIP.2 EN

_**Europe**_ should have an exclusive focus on
_**civilian**_ applications.

__________________ __________________

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.**_

15309/18 ID/mv 29

# ANNEX GIP.2 EN

**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/EU [23] ], 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/EU [23] ], 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.**_

__________________ __________________

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**

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).

_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

(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

15309/18 ID/mv 30

# ANNEX GIP.2 EN

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.

**Amendment 46**

**Proposal for a regulation**
**Recital 38**

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.

_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.

**Amendment 47**

**Proposal for a regulation**
**Recital 39**

(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.

15309/18 ID/mv 31

# ANNEX GIP.2 EN

_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 2013 [24], 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 2013 [24], 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.

__________________ __________________

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

(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**_

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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**

_**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.

_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’**_

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_**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.

**Amendment 51**

**Proposal for a regulation**
**Recital 44**

(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.

_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**_

_**deleted**_

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_**particular type of actions under the**_
_**Programme.**_

**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.

**Amendment 53**

**Proposal for a regulation**
**Recital 46**

(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.**_

_Text proposed by the Commission_ _Amendment_

_**(46) The funding rates in this Regulation**_
_**are referred to as maximums in order to**_

_**deleted**_

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_**comply with the co-financing principle.**_

**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.

**Amendment 55**

**Proposal for a regulation**
**Recital 48**

(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.**_

_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**_

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_**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.

**Amendment 57**

**Proposal for a regulation**
**Recital 51**

(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.

_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

(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

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by independent experts. Where relevant,
the necessity to ensure the overall
coherence of the portfolio of projects
should be taken into account.

**Amendment 58**

**Proposal for a regulation**
**Recital 52**

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**_ .

_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.

**Amendment 59**

**Proposal for a regulation**
**Recital 53**

(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.

_Text proposed by the Commission_ _Amendment_

(53) Specific challenges in the _**area**_ of
research _**of**_ innovation should be addressed

(53) Specific challenges in the _**areas**_ of
research _**and**_ innovation should be

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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.

**Amendment 60**

**Proposal for a regulation**
**Recital 54**

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.**_

_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 noncompliance. _**For**_ _**grants, this shall**_ include
consideration of the use of lump sums, flat
rates and scales of unit costs.

**Amendment 61**

**Proposal for a regulation**
**Article 1**

(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.

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_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.

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:

(a) the specific programme established
by Decision …/…/EU [25], which includes _**a**_
_**financial contribution to**_ the EIT;

(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.

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.

3. The Programme shall be
implemented through:

(a) the specific programme established
by Decision …/…/EU [25], which includes
the _**rationale and intervention areas of**_ the
EIT;

(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 _**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.**_

__________________ __________________

_**25**_ _**25**_

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**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:

(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';

(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 Council [26] 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,

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 _**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 Council [26] 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, _**universities,**_ research
organisations _**including research**_

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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;

(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;

(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;

(6) 'pre-commercial procurement' means
the procurement of research and
development services involving riskbenefit 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

_**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 _**. 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
_**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 riskbenefit 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

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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;

                          (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;

(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;

(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;

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 _**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; _**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;

(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;

(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 (14) “international European research

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# ANNEX GIP.2 EN

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;

(16) “non-profit legal entity” means a
legal entity which by its legal form is nonprofit-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/EC [27], 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;

(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

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 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**_
_**average**_ _**[26a]**_ _**.**_

(16) “non-profit legal entity” means a
legal entity which by its legal form is nonprofit-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/EC [27], 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 _**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

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# ANNEX GIP.2 EN

programme, but could not be funded due to
lack of budget available to that call in the
work programme;

(20) “work programme” means the
document adopted by the Commission for
the implementation of the specific
programme [28] 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 nonprofit 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.

(23) “classified information” means EU
classified information ad defined in Article
3 of Commission Decision (EU, Euratom)
2015/444 as well as classified information

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
programme [28] 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 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
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

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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;

(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;

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;

(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;**_

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_**(25 d)**_ _**‘training and mobility action’**_
_**means an action geared towards the**_
_**improvement of skills, knowledge and**_
_**career prospects of researchers based on**_
_**mobility between countries, and, if**_
_**relevant, between sectors or disciplines;**_

_**-**_
_**(25 e)‘programme co**_ _**funding action’**_
_**means an action to provide co-funding to**_
_**a programme of activities established**_
_**and/or implemented by entities managing**_
_**and/or funding research and innovation**_
_**programmes, other than Union funding**_
_**bodies;**_

_**(25 f) ‘pre-commercial procurement**_
_**action’ means an action with the primary**_
_**aim of conducting pre-commercial**_
_**procurement procedures implemented by**_
_**beneficiaries that are contracting**_
_**authorities or contracting entities;**_

_**(25 g)**_ _**‘public procurement of**_
_**innovative solutions action’ means an**_

_**action with the primary aim of conducting**_
_**joint or coordinated public procurement**_
_**procedures concerning innovative**_
_**solutions implemented by beneficiaries**_
_**that are contracting authorities or**_
_**contracting entities;**_

_**(25 h)**_ _**‘coordination and support**_
_**action’ means an action contributing to**_
_**the objectives of the Programme,**_
_**excluding research and innovation**_
_**activities;**_

_**(25 i) ‘public procurement’ means the**_
_**implementation of parts of the**_
_**Programme related to strategic interests**_
_**and autonomy of the Union and the**_
_**carrying out, for the Commission’s own**_
_**purposes, of public procurement**_
_**procedures for studies, products, services**_
_**and capabilities;**_

_**(25 j) ‘affiliated entity’ means any legal**_
_**entity that is under the direct or indirect**_
_**control of a participant, or under the**_
_**same direct or indirect control as the**_

_**participant, or that is directly or indirectly**_
_**controlling a participant;**_

__________________ __________________

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26 Regulation (EU) No 1303/2013 of the
European Parliament and of the Council of
17 December 2013 laying down common
provisions on the European Regional
Development Fund, the European Social
Fund, the Cohesion Fund, the European
Agricultural Fund for Rural Development
and the European Maritime and Fisheries
Fund and laying down general provisions
on the European Regional Development
Fund, the European Social Fund, the
Cohesion Fund and the European Maritime
and Fisheries Fund and repealing Council
Regulation (EC) No 1083/2006.

26 Regulation (EU) No 1303/2013 of the
European Parliament and of the Council of
17 December 2013 laying down common
provisions on the European Regional
Development Fund, the European Social
Fund, the Cohesion Fund, the European
Agricultural Fund for Rural Development
and the European Maritime and Fisheries
Fund and laying down general provisions
on the European Regional Development
Fund, the European Social Fund, the
Cohesion Fund and the European Maritime
and Fisheries Fund and repealing Council
Regulation (EC) No 1083/2006.

_**26a**_ _**The Commission may review and if**_
_**necessary update the list of widening**_
_**countries in its work programmes.**_

27 27

28 OJ ….

**Amendment 63**

**Proposal for a regulation**
**Article 3**

28 OJ ….

_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
_**addressing**_ global challenges, including the
Sustainable Development Goals _**and the**_
_**Paris Agreement as well as contribute to**_
_**achieving an overall investment of 3% of**_

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2. The Programme has the following
specific objectives:

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

(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**_ ;

(c) to foster all forms of innovation _**,**_
_**including breakthrough innovation,**_ and
strengthen market deployment _**of**_
_**innovative solutions**_ ;

(d) to optimise the Programme's delivery
for _**increased**_ impact _**within a**_
_**strengthened**_ European Research Area.

**Amendment 64**

**Proposal for a regulation**
**Article 4**

_**the GDP invested in research and**_

_**development, in line with the commitment**_
_**made by the Union Heads of State and**_
_**Governments**_ .

2. The Programme has the following
specific objectives:

_**(-a) new to develop, promote and spread**_
_**scientific and technological excellence;**_

(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 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 and
strengthen market deployment _**and**_
_**exploitation of RDI results especially**_
_**within the Union**_ ;

(d) to optimise the Programme's delivery
for _**strengthening and increasing the**_
impact _**and RDI attractiveness of the**_
European Research Area.

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_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) 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:

(a) the European Research Council
(ERC);

(b) Marie Skłodowska-Curie Actions
(MSCA);

1. The Programme is structured in the
following parts contributing to the general
and specific objectives set out in Article 3:

(1) Pillar I ' _**Excellent and**_ Open Science'
with the following components:

(a) the European Research Council
(ERC);

(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).

'
(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

(f) non-nuclear direct actions of the
Joint Research Centre (JRC).

(3) Pillar III ' _**Innovative Europe**_ ' with
the following components:

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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).

(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:

(c) the European Institute of Innovation
and Technology (EIT).

(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.

2. The broad lines of activities are set

out in Annex I.

**Amendment 65**

**Proposal for a regulation**
**Article 5**

(b) reforming and enhancing the
European R&I System.

2. The broad lines of activities are set

out in Annex I.

_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 _**exclusively**_ focus on
defence _**research and**_ applications, with
the objective to foster _**consolidation,**_
competitiveness, efficiency and innovation
of _**the Union's**_ defence industry _**and avoid**_
_**duplications between the two**_

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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**

_**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).

_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.

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.

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.

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) _**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.

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

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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
programme [29] 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.

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.

6. The implementation of the specific
programme [29] 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**_

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7. Horizon Europe activities shall be
_**primarily**_ delivered through calls for
proposals, some of which organised as
parts of missions and European
Partnerships.

_**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.**_

_**work programmes under clusters, the EIC**_
_**and the "spreading excellence" part.**_

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**_ .

__________________ __________________

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**_

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_**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**_

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_**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.

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.

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 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.

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_**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;

(b) be bold _**and**_ inspirational, and _**hence**_
have wide societal or economic relevance;

(c) indicate a clear direction and be
targeted, measurable and time-bound;

(d) be centered on ambitious but realistic
research and innovation activities;

(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 _**,**_ inspirational, and have wide
societal _**, scientific, technological,**_
_**diplomatic, environmental**_ or economic
relevance;

(c) indicate a clear direction and be
targeted, measurable and time-bound;

(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**_

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(e) spark activity across disciplines,
sectors and actors;

(f) be open to multiple, bottom-up
solutions.

**Amendment 69**

**Proposal for a regulation**
**Article 7 a (new)**

_**mission outcome;**_

(e) spark activity across disciplines
_**(including social sciences and**_
_**humanities)**_, sectors and actors;

(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.**_

_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**_

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_**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:

(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 (Coprogrammed 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

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 (Coprogrammed 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 _**and/or**_
_**in-kind contributions**_ to research and
innovation programmes undertaken by

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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.

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**_ ;

(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;

(c) _**Be**_ time limited and include
conditions for phasing-out the Programme
funding.

Provisions and criteria for their selection,
implementation, monitoring, evaluation
and phasing-out are set out in Annex III.

(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, _**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.

_**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.

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**Amendments 71 and 172**

**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.

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

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

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

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

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

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

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

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:

(a) _**27.42 %**_ for Pillar I ' _**Excellent and**_
_**Open Science'**_ Open Science' for the
period 2021-2027, of which

(1) _**17.64%**_ for the European Research
Council;

(2) _**7.23%**_ for Marie Skłodowska-Curie
Actions;

(3) _**2.55%**_ for research infrastructures;

(b) _**55.48%**_ for Pillar II 'Global
Challenges and _**European**_ Industrial
Competitiveness' for the period 2021-2027,
of which

(1) _**8.16%**_ for cluster 'Health';

(2) _**2.50%**_ for cluster 'Inclusive and
_**Creative**_ Society';

_**(2 a)**_ _**2.00% for cluster ‘Secure Societies’;**_

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

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

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

(6) _**EUR 2 200 000 000 for the**_ nonnuclear direct actions of the Joint Research
Centre (JRC) _**;**_

(c) _**EUR 13 500 000 000**_ for Pillar III
' _**Open Innovation**_ ' for the period 20212027, of which

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

(2) _**EUR 3 000 000 000**_ 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**_

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

(2) _**EUR 400 000 000 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) _**15.94%**_ for cluster 'Digital _**,**_ Industry
_**and Space**_ ';

(4) _**15.84%**_ for cluster 'Climate, Energy
and Mobility';

(5) _**9.00%**_ for cluster 'Food _**,**_ Natural
Resources _**and Agriculture**_ ';

(6) _**2.04% for**_ non-nuclear direct actions
of the Joint Research Centre (JRC) _**.**_

(c) _**12.71%**_ for Pillar III ' _**Innovative**_
_**Europe**_ ' for the period 2021-2027, of
which _**:**_

(1) _**8.71%**_ for the European Innovation
Council _**(EIC)**_ including up to _**0.53%**_ for
European innovation ecosystems;

(2) _**4%**_ for the European Institute of
Innovation and Technology (EIT) _**.**_

(d) _**4.39% for the**_ Part 'Strengthening the
European Research Area' _**with the**_
_**following components:**_

(1) _**4.00% for Spreading**_ excellence _**and**_
_**widening participation across the Union**_ ;

(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%, including the**_
_**allocation**_ of the _**contributions from**_
_**associated countries**_ .

_**3a.**_ _**As part of the general Union**_
_**objective of mainstreaming climate**_
_**actions and of spending 30% of the Union**_
_**budget in support of climate objectives,**_
_**actions under the Programme shall**_
_**contribute at least 35% of the expenditure**_
_**under the Programme to climate**_

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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.

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

_**objectives where appropriate.**_

_**3b.**_ _**At least EUR 2,5 billion shall be**_
_**dedicated to grants for incremental**_
_**innovation in SMEs according to the**_
_**instrument referred to in Article 43a of**_
_**this Regulation and in Annex I to the**_
_**Decision.**_

_**3c.**_ _**45% of the budget of cluster**_
_**‘Inclusive and Creative Society’ shall**_
_**support research on cultural and creative**_
_**sectors, including the Union’s cultural**_
_**heritage, that shall include EUR 300**_
_**million to be earmarked for the creation**_
_**of a European Cultural Heritage Cloud,**_
_**as set out in Annex I to the Specific**_
_**Programme following an impact**_
_**assessment to be presented to the**_
_**European Parliament.**_

_**3d.**_ _**At least EUR 1 billion shall aim to**_

_**be dedicated to Quantum Research under**_
_**the ‘Digital, Industry and Space’ cluster**_
_**under Pillar II.**_

4. The amount referred to in paragraph
1, first half sentence may also cover
expenses for preparation, monitoring,
control, audit, evaluation and other
activities and expenditures necessary for
managing and implementing the
Programme, including all administrative
expenditure, as well as evaluating the
achievement of its objectives _**. 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

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completed by 31 December 2027. 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.

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**

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.

_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

1. Open access to scientific publications
resulting from research funded under the
Programme shall be ensured in accordance

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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.**_

2. Responsible management of research
data shall be ensured in line with the
principles ‘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.

**Amendment 73**

**Proposal for a regulation**
**Article 11**

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 _**of data**_ ‘Findability’,
‘Accessibility’, ‘Interoperability’ and
‘Reusability’ (FAIR).

3. Open science practices beyond open
access to research _**data and scientific**_
_**publications**_ and responsible management
of research data shall be promoted.

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_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:

(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;

(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.

_**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;

(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,

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.

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_**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

1. The Programme shall be open to
association of the following third countries:

(a) European Free Trade Association
(EFTA) members which are members of

Third countries associated to the

Programme

1. The Programme shall be open to
association of the following third countries:

(a) European Free Trade Association
(EFTA) members which are members of

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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;

(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:

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;

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

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;

(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:

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, _**respect of human rights,**_ backed by
democratic institutions;

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

_**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 ensures a fair balance as regards the

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contributions and benefits of the third
country participating in the Union

programmes;

–
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;

–
guarantees the rights of the Union to
ensure sound financial management and to
protect _**its**_ 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.

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.

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

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 _**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 _**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 _**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 _**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 _**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

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operation of the Programme. 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.

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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;

(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

(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

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:

(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;

(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.

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

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transparency of the ethics procedures _**as**_
_**much as possible**_ .

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.

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**_ .

**Amendment 77**

**Proposal for a regulation**
**Article 16**

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.

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.

6. Actions which are not ethically
acceptable _**shall**_ be rejected or terminated
_**as soon as the ethical unacceptability has**_
_**been established**_ .

_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

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

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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.

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.

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.

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.

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**

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.

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.

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.

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.

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_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.

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 _**:**_

_**(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.

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.

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

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 _**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;**_

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 _**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

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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.

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.

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.

**Amendment 79**

**Proposal for a regulation**
**Article 19**

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.

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

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.

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# ANNEX GIP.2 EN

_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.

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.

2. Entities established in _**a**_ nonassociated third country should _**in principle**_
bear the cost of their participation.
_**However, for low to middle income**_
_**countries and exceptionally for other**_ nonassociated third countries _**they could be**_
_**eligible for**_ funding _**in an action if:**_

_**(a)**_ _**the third country is identified in the**_
_**work programme adopted by the**_

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 _**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 _**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.**_

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_**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**_ .

**Amendment 80**

**Proposal for a regulation**
**Article 20**

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.**_

_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.

_**2.**_ _**For EIC Pathfinder transition**_
_**activities:**_

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.**_

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# ANNEX GIP.2 EN

_**(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.

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

(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.

**Amendment 81**

**Proposal for a regulation**
**Article 21**

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:

(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.

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.**_

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_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:

(a) third countries, including their
scientific and technological organisations
or agencies;

The Commission or funding body may
issue a joint call for proposals with:

(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.

**Amendment 82**

**Proposal for a regulation**
**Article 22**

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.

_Text proposed by the Commission_ _Amendment_

Article 22 Article 22

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/EU [31],
2014/25/EU [32] and 2009/81/EC [33] .

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/EU [31],
2014/25/EU [32] and 2009/81/EC [33] .

2. The procurement procedures: 2. The procurement procedures:

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(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;

(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.

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 precommercial procurement as identified in
the contract, the contracting authorities can
require it to transfer any ownership of the
results to the contracting authorities.

(a) shall comply with the principles of
transparency, non- discrimination, equal
treatment, sound financial management,
proportionality and competition rules;

(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

(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 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 precommercial 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,

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,

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# ANNEX GIP.2 EN

28.03.2014, p. 65). 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).

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**

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).

_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.**_

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# ANNEX GIP.2 EN

**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.

2. Only the criterion referred to in point
(a) of paragraph 1 shall apply to proposals
for ERC frontier research actions.

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.

(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. _**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
_**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**_

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_**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 :

–
_**fully or partially**_ composed of
external independent experts _**,**_

_**–**_
_**composed of**_ 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.

2. Where necessary, the evaluation
committee shall rank the proposals having
passed the applicable thresholds, according

to:

1. Proposals shall be evaluated by the
evaluation committee which _**shall**_ be :

–
composed of external independent
experts _**.**_

_**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.

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.

The evaluation committee may _**also**_
propose _**any substantial**_ adjustments to the

– their contribution to the achievement
of specific policy objectives, including the
constitution of a consistent portfolio of
projects.

The evaluation committee may _**only**_
_**exceptionally and in duly justified cases**_

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proposals in as far as needed for the
consistency of the portfolio.

**Amendment 87**

**Proposal for a regulation**
**Article 27**

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.**_

_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.

2. An evaluation review applies only to
the procedural aspects of the evaluation,
not to the evaluation of the merits of the
proposal.

3. An evaluation review shall not delay
the selection process for proposals that are
not the subject of review.

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 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.

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# ANNEX GIP.2 EN

_**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:

(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.

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,

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;

(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.

3. In addition to the exceptions laid
down in the second subparagraph of
Article 194(2) of the Financial Regulation,

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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**

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.

_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.

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.

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.

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 _**, in**_
_**case no corrective action is found,**_ or
terminated _**, upon evaluation by**_
_**independent experts**_ .

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.**_

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# ANNEX GIP.2 EN

**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.

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;

(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.

**Amendment 91**

**Proposal for a regulation**
**Article 31**

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:

(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
%.

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.

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_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.

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.

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**

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 _**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.

_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**_

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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.

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.

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.

_**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.

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 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.

_**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**_

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# ANNEX GIP.2 EN

_**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:

(a) to the Commission under Decision
No 1982/2006/EC,

(b) to the Commission and Union bodies
under "Horizon 2020",

(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

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,

(b) to the Commission and Union bodies
under "Horizon 2020",

(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

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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.

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.

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.

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**_ .

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.

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.

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.

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.

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.

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**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.

Two or more beneficiaries shall own
results jointly if:

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:

(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.

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.

2. Beneficiaries having received Union
funding shall adequately protect their
results if protection is possible and
justified, taking into account all relevant

(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
_**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

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# ANNEX GIP.2 EN

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.

**Amendment 95**

**Proposal for a regulation**
**Article 35**

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.

_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.

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.

2. Subject to any restrictions due to the
protection of intellectual property, security

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.

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. _**Beneficiaries shall disseminate their**_
_**results as soon as possible, in an open**_

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rules or legitimate interests _**, beneficiaries**_
_**shall disseminate their results as soon as**_
_**possible**_ .

The work programme may provide for
additional dissemination obligations.

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.

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.

The work programme may provide for
additional _**obligations**_ 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.

The work programme may _**provide for**_
_**additional obligations to**_ 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

_**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 _**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 _**FAIR**_ open
access requirements.

_**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 _**incentives**_ to adhere to open
science practices.

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 _**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

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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.

The beneficiaries _**shall**_ further develop the
plan during _**and after the end of**_ the action.

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.

**Amendment 96**

**Proposal for a regulation**
**Article 36**

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
_**justify**_ how that exploitation is still in the
Union interest.

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 _**necessary**_ requested
information regarding the exploitation and
dissemination of their results _**in**_

_**accordance with the grant agreement**_ .
Subject to the legitimate interests of the
beneficiaries, such information shall be
made publicly available.

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_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.

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.

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.

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:

(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

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 _**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 _**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.

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;

(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 (c) the transfer or licence is not in line

15309/18 ID/mv 96

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with Union interests. 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.

**Amendment 97**

**Proposal for a regulation**
**Article 37**

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.

_Text proposed by the Commission_ _Amendment_

Article 37 Article 37

Access rights Access rights

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;

(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;

(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.

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;

(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;

(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.

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

(a) their results on a royalty-free basis to
any other beneficiary in the action that

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needs it to implement its own tasks; 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 royaltyfree 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.

(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;

(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.

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 timelimit.

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.

(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 royaltyfree 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.

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;

(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.

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 timelimit.

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**_

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# ANNEX GIP.2 EN

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 royaltyfree 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 noncompetitive 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.

**Amendment 98**

**Proposal for a regulation**
**Article 38**

_**the beneficiaries**_ .

_**Such access rights shall not extend to the**_
_**participants’ background.**_

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 noncompetitive 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 _**,**_
_**where appropriate,**_ for additional access
rights.

_Text proposed by the Commission_ _Amendment_

Article 38 Article 38

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, precommercial procurement actions, public
procurement of innovative solutions
actions, programme co-fund actions and

Specific provisions on exploitation and

dissemination

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

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coordination and support actions. actions and coordination and support
actions.

These specific rules shall not change the
obligations _**on**_ open access.

**Amendment 99**

**Proposal for a regulation**
**Article 39**

These specific rules shall not change the
obligations _**and principles of**_ open access
_**as referred to in Article 10**_ .

_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.

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:

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.

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**_ .

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# ANNEX GIP.2 EN

**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.

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

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.

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)

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 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 _**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)

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# ANNEX GIP.2 EN

of Financial Regulation. of Financial Regulation.

5. Horizon Europe and EIC blended
finance shall be provided in a manner that
_**does not distort**_ competition.

**Amendment 101**

**Proposal for a regulation**
**Article 42 a (new)**

5. Horizon Europe and EIC blended
finance shall be provided in a manner that
_**promotes the Union´s competitiveness**_
_**while avoiding distortion of**_ competition.

_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 objectives**_ _**[1a]**_ _**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,**_

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_**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

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# ANNEX GIP.2 EN

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.

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.

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.

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.

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:

–
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;

–
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

– 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
_**(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 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.

6. A Seal of Excellence may be
awarded subject to the following

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cumulative conditions: cumulative conditions:

–
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,

– 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.

The Commission may reject a proposal
retained by independent experts for
justified reasons, including _**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.

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.

Activities corresponding to an innovation
action may be launched and first prefinancing 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

–
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,

– 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.

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.

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 _**measurable**_
milestones and the corresponding prefinancing and payments by instalments of
the EIC blended finance.

Activities corresponding to an innovation
action may be launched and first prefinancing 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 _**measurable**_ milestones are
not met. It may also be terminated where

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# ANNEX GIP.2 EN

market deployment cannot be met. 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.

**Amendment 103**

**Proposal for a regulation**
**Article 43 a (new)**

The Commission may decide to increase
the EIC blended finance subject to a
project review by external independent
experts.

_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

1. By derogation from Article 237(3) of
the Financial Regulation, _**independent**_
external experts may _**exceptionally**_ be

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expressions of interest, _**if**_ justified and the
selection _**is**_ carried out in a transparent

manner.

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.**_

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.

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,
_**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 _**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**_

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_**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**_

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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

_**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.

3. The performance reporting system
shall ensure that data for monitoring
programme implementation and results are
collected efficiently, effectively and in a

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timely manner _**. To that end, proportionate**_
_**reporting requirements**_ shall be _**imposed**_
_**on recipients of Union funds and (where**_
_**relevant) Member States**_ .

**Amendment 106**

**Proposal for a regulation**
**Article 46**

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.**_

_Text proposed by the Commission_ _Amendment_

Article 46 Article 46

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.

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**_ .

3. The Commission shall also establish
a dissemination and exploitation strategy

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 _**, 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. _**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

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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.

**Amendment 107**

**Proposal for a regulation**
**Article 47**

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.

_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.

2. The interim evaluation of the
Programme shall be carried out once there
is sufficient information available about the

1. Programme evaluations shall be
carried out in a timely manner _**and made**_
_**public**_ _**in order**_ to feed into the decisionmaking 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

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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.

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.

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.

**Amendment 108**

**Proposal for a regulation**
**Article 48**

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 _**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 _**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.

_Text proposed by the Commission_ _Amendment_

Article 48 Article 48

Audits Audits

1. The control system for the
Programme shall ensure an appropriate

1. The control system for the
Programme shall ensure an appropriate

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balance between trust and control, taking
into account administrative and other costs
of controls at all levels, especially for
beneficiaries.

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/EC [34] .
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.

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.

5. Audits may be carried out up to two
years after the _**payment**_ of the _**balance**_ .

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.

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/EC [34] .
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 _**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 _**end date**_ of the _**project**_ .

_**5 a. The Commission shall publish audit**_
_**guidelines elaborated in cooperation with**_
_**the European Court of Auditors. Auditors**_

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_**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)

**Amendment 109**

**Proposal for a regulation**
**Annex I – point 1 – introductory part**

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)

_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

(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

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competition. 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.

**Amendment 112**

(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.

**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

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

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outreach. 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**_ '

**Amendment 114**

**Proposal for a regulation**
**Annex I – point 2 – paragraph 2**

(2) Pillar II 'Global Challenges _**and**_
_**European industrial competitiveness**_ '

_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.

**Amendment 115**

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, crosspolicy, cross-border and international
cooperation. _**The six clusters will also**_
_**support innovation of individual SMEs in**_
_**a bottom-up manner through grants.**_

**Proposal for a regulation**
**Annex I – point 2 – paragraph 4 – point a – introductory part**

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# ANNEX GIP.2 EN

_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 costeffective, equitable and sustainable; and
supporting and enabling patients'
participation and self-management.

**Amendment 116**

(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.

**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 socioeconomic 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**_ .

**Amendment 117**

(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**_ .

**Proposal for a regulation**
**Annex I – point 2 – paragraph 4 – point b – paragraph 1**

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# ANNEX GIP.2 EN

_Text proposed by the Commission_ _Amendment_

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

**Amendment 118**

Areas of intervention: Democracy; _**Culture**_
_**and creativity**_ ; Social _**, cultural**_ and
economic transformations; _**social sciences**_
_**and humanities.**_

**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

**Amendment 119**

**Proposal for a regulation**
**Annex I – point 2 – paragraph 4 – point c a (new)**

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

_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**_

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_**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.

**Amendment 121**

(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**_ .

**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

Areas of intervention: Climate science and
solutions; Energy supply; Energy systems
and grids; Buildings _**in energy transition;**_
Industrial facilities in _**the**_ energy transition;

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and cities; Industrial competitiveness in
transport; Clean transport and mobility;
Smart mobility; Energy storage _**.**_

**Amendment 122**

_**Coal regions in**_ _**transition;**_ Communities
and cities; Industrial competitiveness in
transport; Clean transport and mobility;
Smart mobility; Energy storage _**,**_

**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.

**Amendment 123**

(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.

**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; Biobased innovation systems; Circular systems

**Amendment 124**

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

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# ANNEX GIP.2 EN

**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.

**Amendment 125**

**Proposal for a regulation**
**Annex I – point 3 – introductory part**

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.

_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

Through the following activities, this pillar
will, in line with Article 4, foster all forms
of innovation, including breakthrough
_**technological and social**_ innovation, and

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deployment of innovative solutions. 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**

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.

_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 wellperforming 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.

**Amendment 128**

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.

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**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.

**Amendment 129**

**Proposal for a regulation**
**Annex II – paragraph 2 – indent 1**

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.

_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;

**Amendment 130**

**Proposal for a regulation**
**Annex II – paragraph 2 – indent 6**

– 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**_ ;

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_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;

**Amendment 131**

–
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;

**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;

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**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;

**Amendment 133**

**Proposal for a regulation**
**Annex III – paragraph 1 – point 1 – point c**

(b) Coherence and synergies of the
European _**Partnerships**_ within the EU
research and innovation landscape _**,**_
_**including national and regional**_
_**strategies**_ ;

_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 _**;**_

**Amendment 134**

(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 _**.**_

**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

–
identification of measurable expected
outcomes, deliverables and impacts within

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specific timeframes, including key
economic value for _**Europe**_ ;

**Amendment 135**

specific timeframes, including key
economic value for _**the EU**_ ;

**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;

**Amendment 136**

– demonstration of _**strong**_ expected
qualitative and quantitative leverage
effects;

**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;

**Amendment 137**

–
approaches to ensure flexibility of
implementation and to adjust to changing
policy _**, societal and/or**_ market needs, or
scientific advances;

**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 In the case of institutionalised European

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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.**_

**Amendment 138**

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.

**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;

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**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;

**Amendment 141**

**Proposal for a regulation**
**Annex III – paragraph 1 – point 3 – point a**

(d) Legally binding commitments, in
particular for _**in kind and/or**_ financial
contributions, from each partner
throughout the lifetime of the initiative;

_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;

**Amendment 142**

**Proposal for a regulation**
**Annex III – paragraph 1 – point 4 – point b**

(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;

_Text proposed by the Commission_ _Amendment_

(b) Appropriate measures ensuring
phasing-out according to the agreed

(b) _**In the absence of renewal,**_
appropriate measures ensuring phasing-out

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conditions _**and timeline**_, without prejudice
to possible continued transnational funding
by national or other Union programmes.

**Amendment 143**

**Proposal for a regulation**
**Annex IV – point 1 – point b**

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**_ .

_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";

**Amendment 144**

**Proposal for a regulation**
**Annex IV – point 2 – point b**

(b) the CAP makes the best use of
research and innovation results and
promotes the use, implementation and
deployment of innovative solutions,
including those stemming from projects
funded by the Framework Programmes for
research and innovation _**,**_ from the
European Innovation Partnership
"agricultural productivity and
sustainability" _**and relevant EIT**_
_**Knowledge and Innovation Communities**_
_**(KICs)**_ ;

_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

(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

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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.

**Amendment 145**

**Proposal for a regulation**
**Annex IV – point 3 – point a**

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.**_

_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 transregional/trans-national programmes and
pan European Research Infrastructures,
with the aim of strengthening the European
Research Area;

**Amendment 146**

**Proposal for a regulation**
**Annex IV – point 3 – point a a (new)**

(a) 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;

_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;**_

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**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;

**Amendment 149**

**Proposal for a regulation**
**Annex IV – point 6 – point b**

(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;

_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

(b) research and innovation needs related
to digital aspects are identified and
established in the Programme's strategic
research and innovation plans; this includes

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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;

**Amendment 150**

**Proposal for a regulation**
**Annex IV – point 6 – point c**

research and innovation for High
Performance Computing, Artificial
Intelligence, Cybersecurity, _**Distributed**_
_**Ledger Technologies, Quantum**_
_**Technologies**_ combining digital with other
enabling technologies and nontechnological 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;

_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;

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**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;

**Amendment 152**

**Proposal for a regulation**
**Annex IV – point 7 – point a**

(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 Europesupported capacity-building in advanced
digital skills;

_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;

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**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.

**Amendment 154**

**Proposal for a regulation**
**Annex IV – point 8 – paragraph 1**

(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.

_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

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

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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.

**Amendment 155**

**Proposal for a regulation**
**Annex IV – point 9 – point a**

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.

_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 transdisciplinary and cross-sectoral approaches
to make the knowledge triangle a reality,
providing impetus to economic growth;

**Amendment 156**

(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 transdisciplinary 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.**_

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**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.

**Amendment 157**

**Proposal for a regulation**
**Annex IV – point 14 – point a**

(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.**_

_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.**_

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**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;

**Amendment 159**

**Proposal for a regulation**
**Annex IV – point 14 – point c**

(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**_ ;

_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.**_

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**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**_ .

**Amendment 161**

**Proposal for a regulation**
**Annex IV – point 16 a (new)**

16. _**Potential**_ synergies with the
European Defence Fund will _**contribute to**_
_**avoiding**_ duplication.

_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.**_

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# ANNEX GIP.2 EN

**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 timesensitive _**: 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.

**Amendment 164**

**Proposal for a regulation**
**Annex V – paragraph 2**

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.

_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

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

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level of granularity with minimal reporting
burden on the beneficiaries.

**Amendment 165**

**Proposal for a regulation**
**Annex V – paragraph 4**

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.**_

_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.

**Amendment 166**

**Proposal for a regulation**
**Annex V – table 2**

_Text proposed by the Commission_

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.

|Towards societal<br>impact|Short-term|Medium-term|Longer-term|
|---|---|---|---|
|Addressing EU<br>policy priorities<br>through R&I|Outputs -<br>Number and share of<br>outputs aimed at|Solutions -<br>Number and share of<br>innovations and|Benefits -<br>Aggregated estimated effects<br>from use of FP-funded results,|

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|Col1|addressing specific<br>EU policy priorities|scientific results<br>addressing specific EU<br>policy priorities|on tackling specific EU policy<br>priorities, including<br>contribution to the policy and<br>law-making cycle|
|---|---|---|---|
|Delivering<br>benefits and<br>impact through<br>R&I missions|R&I mission outputs -<br>Outputs in specific<br>R&I missions|R&I mission results -<br>Results in specific R&I<br>missions|R&I mission targets met -<br>Targets achieved in specific<br>R&I missions|
|Strengthening the<br>uptake of<br>**_innovation_** in<br>society|Co-creation -<br>Number and share of<br>FP projects where EU<br>citizens and end-users<br>contribute to the co-<br>creation of R&I<br>content|Engagement -<br>Number and share of FP<br>beneficiary entities with<br>citizen and end-users<br>engagement<br>mechanisms after FP<br>project|<br><br>Societal R&I uptake<br>Uptake and outreach of FP**_co-_**<br>**_created_** scientific results and<br>innovative solutions|

_Amendment_

|Towards societal<br>impact|Short-term|Medium-term|Longer-term|
|---|---|---|---|
|Addressing<br>**_Horizon Europe_**<br>**_objectives and_**EU<br>policy priorities<br>through R&I|Outputs -<br>Number and share of<br>outputs aimed at<br>addressing specific<br>**_Horizon Europe_**<br>**_objectives_** **_and_**EU<br>policy priorities|Solutions -<br>Number and share of<br>innovations and<br>scientific results<br>addressing specific<br>**_Horizon Europe_**<br>**_objectives_** **_and_**EU<br>policy priorities|Benefits -<br>Aggregated estimated effects<br>from use of FP-funded results,<br>on tackling specific**_Horizon_**<br>**_Europe objectives_** **_and_**EU<br>policy priorities, contribution<br>to the policy and law-making<br>cycle|
|Delivering benefits<br>and impact through<br>R&I missions**_and_**<br>**_Partnerships_**|R&I mission outputs -<br>Outputs in specific<br>R&I missions**_and_**<br>**_Partnerships_**|R&I mission results -<br>Results in specific<br>R&I missions**_and_**<br>**_Partnerships_**|R&I mission targets met -<br>Targets achieved in specific<br>R&I missions**_and_**<br>**_Partnerships_**|
|**_Fulfilling the_**<br>**_Union’s climate_**<br>**_commitment_**|**_Projects and outputs -_**<br>**_Number and share of_**<br>**_projects and outputs_**<br>**_that are climate-_**<br>**_relevant (by missions,_**<br>**_partnerships and_**<br>**_budget lines of the_**<br>**_Programme)_**|<br>**_Innovations from_**<br>**_climate-relevant FP_**<br>**_project -_**<br>**_Number of_**<br>**_innovations from FP_**<br>**_projects that are_**<br>**_climate-relevant,_**<br>**_including from_**<br>**_awarded IPRs_**|**_Societal and economic impact_**<br>**_of climate-relevant projects -_**<br>**_Aggregated estimated effects_**<br>**_from use of FP-funded_**<br>**_results, on delivering EU’s_**<br>**_long term climate and energy_**<br>**_commitments under the Paris_**<br>**_Agreement_**<br>**_Economic, societal and_**<br>**_environmental costs and_**<br>**_benefits of climate-relevant_**<br>**_projects_**<br>**_- Uptake of innovative climate_**<br>**_mitigation and adaptation_**<br>**_solutions deriving from FP_**<br>**_projects_**|

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|Col1|Col2|Col3|- Aggregated estimated effects<br>from the use of these solutions<br>on jobs and company<br>creation, economic growth,<br>clean energy, health and well-<br>being (including air, soil and<br>water quality)|
|---|---|---|---|
|Strengthening the<br>uptake of**_ R&I_**in<br>society, in MS|Co-creation - <br>Number and share of<br>FP projects where EU<br>citizens and end-users<br>contribute to the co-<br>creation of R&I<br>content|Engagement - <br>Number and share of<br>FP beneficiary entities<br>with citizen and end-<br>users engagement<br>mechanisms after FP<br>project|Societal R&I uptake<br>**_Access,_** uptake and outreach of<br>FP scientific results and<br>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.

**Amendment 168**

**Proposal for a regulation**
**Annex V – table 3**

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.

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_Text proposed by the Commission_

_Amendment_

|Medium-term|Longer-term|
|---|---|
|Innovations -<br>Number of innovations<br>from FP projects (by<br>type of innovation)<br>including from<br>awarded IPRs|Economic growth -<br>Creation, growth &<br>market shares of<br>companies having<br>developed FP innovations|
|Sustained employment<br>-<br>**_Increase_**of FTE jobs<br>in beneficiary entities<br>following FP project<br>(by type of job)|Total employment<br>Number of direct &<br>indirect jobs created or<br>maintained due to<br>diffusion of FP results<br>(by type of job)|
|Scaling-up -<br>Amount of public &<br>private investment<br>mobilised to exploit or<br>scale-up FP results|Contribution to ‘3%<br>target’-<br>EU progress towards 3%<br>GDP target due to FP|

|Towards<br>economic /<br>innovation<br>impact|Short-term|
|---|---|
|Generating<br>innovation-<br>based growth**_in_**<br>**_the Union_**|Innovative outputs -<br>Number of innovative<br>products, processes or<br>methods from FP (by type<br>of innovation) & Intellectual<br>Property Rights (IPR)<br>applications**_in all_**<br>**_participating countries_**|

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|Col1|Col2|Number of norms and<br>standards resulting<br>from FP projects<br>developed within the<br>EU|Col4|
|---|---|---|---|
|**_Adressing the_**<br>**_Union gap_**<br>**_between R&D_**<br>**_activities and_**<br>**_the market_**|**_Exploitation of RDI results_**<br>**_Share of FP results leading to commercial exploitation within or outside the_**<br>**_Union, depending on the sector concerned_**<br>**_Analysis of exploitation within or outside the Union_**<br>**_Reasons of (former) FP participants to exploit R&D outside of the Union_**|**_Exploitation of RDI results_**<br>**_Share of FP results leading to commercial exploitation within or outside the_**<br>**_Union, depending on the sector concerned_**<br>**_Analysis of exploitation within or outside the Union_**<br>**_Reasons of (former) FP participants to exploit R&D outside of the Union_**|**_Exploitation of RDI results_**<br>**_Share of FP results leading to commercial exploitation within or outside the_**<br>**_Union, depending on the sector concerned_**<br>**_Analysis of exploitation within or outside the Union_**<br>**_Reasons of (former) FP participants to exploit R&D outside of the Union_**|
|Creating more<br>and better jobs|Supported employment -<br>**_For each participating_**<br>**_country,_** **_number_** of FTE<br>jobs created, and jobs<br>maintained in beneficiary<br>entities for the FP project<br>(by type of job)|Sustained employment<br>-<br>**_For each_**<br>**_participating country_**, <br>**_increase_** of FTE jobs<br>in beneficiary entities<br>following FP project<br>(by type of job)|Total employment<br>**_- _**Number of direct &<br>indirect jobs created or<br>maintained**_or_**<br>**_transferred in the Union_** <br>due to diffusion of FP<br>results (by type of job)<br>**_- Number of direct and_**<br>**_indirect jobs created in_**<br>**_knowledge-intensive_**<br>**_sectors per participating_**<br>**_country_**|
|Leveraging<br>investments in<br>R&I|Co-investment -<br>Amount of public & private<br>investment mobilised with<br>the initial FP investment|Scaling-up -<br>Amount of public &<br>private investment<br>mobilised to exploit or<br>scale-up FP results|Contribution to ‘3%<br>target’-<br>EU progress towards 3%<br>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**_

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**Amendment 170**

**Proposal for a regulation**
**Annex V – table 3 a (new)**

_Text proposed by the Commission_

_Amendment_

|Towards<br>impact for the<br>ERA|Short-term|Medium-term|Longer-term|
|---|---|---|---|
|**_Attracting_**<br>**_and retaining_**<br>**_talents in the_**<br>**_Union_**|**_FP-funded mobility_**<br>**_Incoming and outgoing_**<br>**_mobilities or researchers_**<br>**_and innovators, within_**<br>**_and outside the Union,_**<br>**_per country_**|**_FP funded_**<br>**_internationalisation_**<br>**_- evolution and share_**<br>**_foreign researchers and_**<br>**_innovators based in all_**<br>**_ERA countries_**<br>**_- Evolution of connectivity_**<br>**_and networking activities of_**<br>**_research institutions,_**<br>**_including public-private_**<br>**_connections_**|**_Attractive R&I systems_**<br>**_- Foreign investments_**<br>**_in innovative activities_**<br>**_in the Union_**<br>**_- Number of patents in_**<br>**_participating countries_**<br>**_- Licences revenues_**<br>**_from abroad_**|
|**_Spreading_**<br>**_excellence_**<br>**_and widening_**<br>**_participation_**|**_Participation in FP_**<br>**_Share of coordinators and_**<br>**_participants from_**<br>**_widening countries per_**<br>**_part of the Programme_**<br>**_and per instruments,_**<br>**_- Share of evaluators and_**<br>**_governance boards’_**<br>**_members including from_**<br>**_widening countries and_**<br>**_low-performing R&I_**<br>**_regions_**|**_Creation and modernisation of pockets of_**<br>**_excellence_**<br>**_Excellent R&I ecosystems, including low-_**<br>**_performing R&I regions becoming hubs and drivers_**<br>**_of change within their own country_**|**_Creation and modernisation of pockets of_**<br>**_excellence_**<br>**_Excellent R&I ecosystems, including low-_**<br>**_performing R&I regions becoming hubs and drivers_**<br>**_of change within their own country_**|
|**_R&I divide_**|**_Geographical_**<br>**_concentration_**<br>**_- Success rates_**<br>**_- Utilisation of Union-_**<br>**_funded research_**<br>**_infrastructures in all ERA_**<br>**_countries_**|**_Strategic planning of EU_**<br>**_funding programmes_**<br>**_Synergies and interactions_**<br>**_between FP and Smart_**<br>**_Specialisation Strategies_**|**_Enhancing national_**<br>**_R&I systems_**<br>**_- Increase of high-_**<br>**_quality and_**<br>**_independent_**<br>**_competitive research_**<br>**_funding and career_**<br>**_evaluation systems_**<br>**_- Increase in private_**|

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