Source: EURLEX
Language: en
Format: md

|  |  |  |  |
| --- | --- | --- | --- |
| 13.11.2020 | EN | Official Journal of the European Union | C 388/348 |

---

P8\_TA(2018)0509

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)](#ntr1-C_2020388EN.01034801-E0001)

(Ordinary legislative procedure: first reading)

(2020/C 388/39)

Amendment 1

Proposal for a regulation

Recital 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (1) | It is the Union's objective to strengthen its scientific and technological bases and encourage its competitiveness, including in its industry, while promoting all research and innovation activities to deliver on the Union's strategic priorities, which ultimately aim at promoting peace, the Union's values and the well-being of its peoples. | | |  |  | | --- | --- | | (1) | It is the Union's objective to strengthen its scientific  excellence  and technological bases  in which researchers, scientific knowledge and technology circulate freely  and encourage its competitiveness, including in its industry , to strengthen the European Research Area , while promoting all research and innovation activities to deliver on the Union's strategic priorities  and commitments , which ultimately aim at promoting peace, the Union's values and the well-being of its peoples; | |

Amendment 2

Proposal for a regulation

Recital 2

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (2) | To deliver scientific, economic and societal impact in pursuit of this general objective, the Union should invest in research and innovation through Horizon Europe — a Framework Programme for Research and Innovation 2021-2027 (the ‘Programme’) to support the creation  and  diffusion of high-quality knowledge and technologies, to strengthen the impact of research and innovation in developing, supporting and implementing Union policies, to support the uptake of innovative solutions in industry and society to  address  global challenges and  promote  industrial competitiveness;  to  foster all forms of innovation,  including breakthrough innovation, and  strengthen market deployment of innovative solutions; and optimise the delivery of  such investment for increased impact within a strengthened European Research Area. | | |  |  | | --- | --- | | (2) | To deliver scientific, economic and societal impact in pursuit of this general objective  and maximise the Union’s added value of its RDI investments , the Union should invest in research and innovation through Horizon Europe — a Framework Programme for Research and Innovation 2021-2027 (the ‘Programme’) to support the creation, diffusion  and transfer  of high-quality knowledge and technologies  in the Union , to strengthen the impact of research and innovation  in addressing  global challenges  including the Sustainable Development Goals and climate change, and  in developing, supporting and implementing Union policies, to support the uptake of innovative  and sustainable  solutions in  the Union’s  industry and society to  create jobs  and  boost economic growth and  industrial competitiveness;  The Programme should  foster all forms of innovation, strengthen market deployment of innovative solutions and optimise the delivery of  investments. | |

Amendment 3

Proposal for a regulation

Recital 2 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (2 a) | The Programme should contribute to the achievement of an overall 3 % of the the Union’s GDP to be invested in research and development, in line with the EU2020 headline target. The achievement of the target will require Member States and the private sector to complement the Programme with their own and reinforced investment actions in research, development and innovation. | |

Amendment 4

Proposal for a regulation

Recital 3

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (3) | The promotion of research and innovation activities deemed necessary to help realise Union policy objectives should take into account the innovation principle as  put forward in the Commission Communication of 15 May 2018‘A renewed European Agenda for Research and Innovation — Europe's chance to shape its future’ (COM(2018)306) . | | |  |  | | --- | --- | | (3) | The promotion of research and innovation activities deemed necessary to help realise Union policy objectives should take into account the innovation principle as a  key driver in turning faster and more intensively the Union’s substantial knowledge assets into innovations . | |

Amendment 5

Proposal for a regulation

Recital 4

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (4) | Open Science, Open Innovation, Open to the World  constitute general principles, which  should ensure excellence and impact of the Union's investment in research and innovation . They  should  be adhered in the  implementation of the Programme , in particular for the strategic planning in respect of the pillar ‘Global Challenges and Industrial Competitiveness’ . | | |  |  | | --- | --- | | (4) | The continuation of ‘ Open Science, Open Innovation, Open to the World ’ while safeguarding the Union’s scientific and socio-economic interests  should ensure excellence and impact of the Union's investment in research and innovation  and strengthen the R&I capacity of all Member States. That  should  lead to a balanced  implementation of the Programme. | |

Amendment 6

Proposal for a regulation

Recital 5

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (5) | Open science , including open access to scientific publications and research data,  has the potential to increase the quality, impact and benefits of science and to accelerate the advancement of knowledge by making it more reliable, more efficient and accurate, better understandable by society and responsive to societal challenges. Provisions should be laid down to ensure that beneficiaries provide open access to peer-reviewed scientific publications, research data and other research outputs in an open and non-discriminatory manner, free of charge and as early as possible in the dissemination process, and to enable their widest possible use and re-use. More emphasis should  in particular  be given to the responsible management of research data, which should comply with the FAIR principles of ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’, notably through the mainstreaming of Data Management Plans. Where appropriate, beneficiaries should make use of the possibilities offered by the European Open Science Cloud and adhere to further open science principles and practices. | | |  |  | | --- | --- | | (5) | Open science has the potential to increase the quality, impact and benefits of science and to accelerate the advancement of knowledge by making it more reliable, more efficient and accurate, better understandable by society and responsive to societal challenges. Provisions should be laid down to ensure that beneficiaries provide open access to peer-reviewed scientific publications, research data and other research outputs in an open and non-discriminatory manner, free of charge and as early as possible in the dissemination process, and to enable their widest possible use and re-use.  As far as research data is concerned, the principle should be ‘as open as possible, as closed as necessary’, thereby recognising the need for different access regimes because of the Union’s socio-economic interest, intellectual property rights, personal data protection and confidentiality, security concerns and other legitimate interests.  More emphasis should be given to the responsible management of research data, which should comply with the FAIR principles of ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’, notably through the mainstreaming of Data Management Plans. Where appropriate, beneficiaries should make use of the possibilities offered by the European Open Science Cloud and  the European Data Infrastructure and  adhere to further open science principles and practices.  Reciprocal open access should be encouraged in international S&T cooperation agreements and in relevant association agreements. | |

Amendment 7

Proposal for a regulation

Recital 5 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (5 a) | SME beneficiaries are encouraged to make use of the existing instruments such as IPR SME Helpdesk that supports European Union small and medium sized enterprises to both protect and enforce their Intellectual Property (IP) rights through the provision of free information and services, in the form of confidential advice on intellectual property and related issues, plus training, materials and online resources. | |

Amendment 8

Proposal for a regulation

Recital 6

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (6) | The conception and design of the Programme should respond to the need for establishing a critical mass of supported activities, throughout the  EU  Union and through international cooperation, in line with the UN Sustainable Development Goals (SDGs). Programme implementation should reinforce the pursuit of this aim. | | |  |  | | --- | --- | | (6) | The conception and design of the Programme should respond to the need for establishing a critical mass of supported activities, throughout the Union and through international cooperation , while encouraging the participation of all Member States in the Programme , in line with the UN Sustainable Development Goals (SDGs)  and the Paris Agreement . Programme implementation should reinforce the pursuit of this aim. | |

Amendment 9

Proposal for a regulation

Recital 7

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (7) | Activities supported under the Programme should contribute towards the achievement of the Union's objectives  and  priorities, the monitoring and assessment of progress against those objectives  and  priorities and for the development of revised or new priorities. | | |  |  | | --- | --- | | (7) | Activities supported under the Programme should contribute towards the achievement of the Union's  and the Programme’s  objectives, priorities  and commitments , the monitoring and assessment of progress against those objectives, priorities  and commitments  and for the development of revised or new priorities. | |

Amendment 10

Proposal for a regulation

Recital 7 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (7 a) | The Programme should seek alignment with already existing European research and innovation roadmaps and strategies. | |

Amendment 11

Proposal for a regulation

Recital 8

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (8) | The Programme should maintain a balanced approach between bottom-up (investigator or innovator driven) and top-down (determined by strategically defined priorities) funding, according to the nature of the research and innovation communities that are engaged, the types and purpose of the activities carried out and the impacts that are sought. The mix of these factors should determine the choice of approach for the respective parts of the Programme, all of which contribute to all of the Programme’s general and specific objectives. | | |  |  | | --- | --- | | (8) | The Programme should maintain a balanced approach between bottom-up (investigator or innovator driven) and top-down (determined by strategically defined priorities) funding, according to the nature of the research and innovation communities that are engaged  across the Union , the  success rates per area of intervention, the  types and purpose of the activities carried out , the subsidiarity principle  and the impacts that are sought. The mix of these factors should determine the choice of approach for the respective parts of the Programme, all of which contribute to all of the Programme’s general and specific objectives. | |

Amendment 12

Proposal for a regulation

Recital 8 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (8 a) | A number of research and innovation actions should apply a Fast Track to Research and Innovation logic where time-to-grant should not exceed six months. This should allow a faster, bottom-up access to funds for small collaborative consortia covering actions from fundamental research to market application. | |

Amendment 13

Proposal for a regulation

Recital 8 b (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (8 b) | The Programme should support all stages of research and innovation especially within collaborative projects. Fundamental research is an essential asset and an important condition for increasing the Union’s ability to attract the best scientists in order to become a global hub of excellence. The balance between basic and applied research should be ensured. Coupled with innovation, this will support the Union’s economic competitiveness, growth and jobs. | |

Amendment 14

Proposal for a regulation

Recital 8 c (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (8 c) | In order to maximise the impact of Horizon Europe particular consideration should be given to multidisciplinary, interdisciplinary and transdisciplinary approaches as necessary elements for major scientific progress. | |

Amendment 15

Proposal for a regulation

Recital 8 d (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (8 d) | The engagement with society is to be fostered through responsible research and innovation as a cross-cutting element with a view to build effective cooperation between science and society. It would allow all societal actors (researchers, citizens, policy makers, business, third sector organisations etc.) to work together during the whole research and innovation process in order to better align both the process and its outcomes with the values, needs and expectations of European society. | |

Amendment 16

Proposal for a regulation

Recital 9

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (9) | Research activities carried out under the pillar ‘Open Science’ should be determined according to the needs and opportunities of science. The research agenda should be set in close liaison with the scientific community. Research should be funded on the basis of excellence. | | |  |  | | --- | --- | | (9) | Research activities carried out under the pillar ‘ Excellent and Open  Science’ should be determined according to the needs and opportunities of science. The research agenda should be set in close liaison with the scientific community  and include emphasis on attracting new R&I talents, young researchers, while strengthening the ERA and avoiding brain drain.  Research should be funded on the basis of excellence. | |

Amendment 17

Proposal for a regulation

Recital 10

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (10) | The pillar ‘Global Challenges and Industrial Competitiveness’ should be established through clusters of research and innovation activities, in order to maximise integration across the respective work areas while securing high and sustainable levels of impact in relation to the resources that are expended. It will encourage cross-disciplinary, cross-sectoral, cross-policy and cross-border collaboration in pursuit of the UN SDGs and the competitiveness of the Union's industries therein. | | |  |  | | --- | --- | | (10) | The pillar ‘Global Challenges and  European  Industrial Competitiveness’ should be established through clusters of research and innovation activities, in order to maximise integration across the respective work areas while securing high and sustainable levels of impact  for the Union  in relation to the resources that are expended. It will encourage cross-disciplinary, cross-sectoral, cross-policy and cross-border collaboration in pursuit of the UN SDGs and the  Union’s commitments under the Paris Agreement and where needed to address societal challenges, and the  competitiveness of the Union's industries therein.  The activities under this pillar should cover the full range of research and innovation activities including R&D, piloting, demonstration, and support for public procurement, pre-normative research and standard setting, and market uptake of innovations to ensure that Europe stays at the cutting-edge of research in strategically defined priorities. | |

Amendment 18

Proposal for a regulation

Recital 11

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (11) | Full engagement of industry in the Programme, at all levels from the individual entrepreneur and small and medium-sized enterprises to large scale enterprises, should  constitute one of the main channels through which the Programme's objectives are to be realised,  specifically towards the creation of sustainable jobs and growth.  Industry should contribute to the perspectives and priorities established through the strategic planning process which should support the development of work programmes. Such engagement by industry should see its participation in the actions supported at levels at least commensurate with those under the previous framework programme Horizon 2020 established by Regulation (EU) No 1291/2013 of the European Parliament and the Council [(13)](#ntr13-C_2020388EN.01034801-E0002)  (‘Horizon 2020’). | | |  |  | | --- | --- | | (11) | Full  and timely  engagement of industry in the Programme, at all levels from the individual entrepreneur and small and medium-sized enterprises to large scale enterprises, should  continue  specifically towards the creation of sustainable jobs and growth  in Europe strengthening private-public cooperation and enhancing R&I investment from the private sector . | |

Amendment 19

Proposal for a regulation

Recital 11 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (11 a) | Multi-stakeholders consultations, including civil society and industry, should contribute to the perspectives and priorities established through the strategic planning process. This should result in periodic Strategic R&I Plans adopted by means of delegated acts. Those strategic plans should then be implemented through the development of work programmes. | |

Amendment 20

Proposal for a regulation

Recital 12

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (12) | It is important to support industry to stay or become world leader in innovation, digitisation and decarbonisation, notably through investments in key enabling technologies that will underpin tomorrow's business. The Programme's actions  should be used  to address market failures or sub-optimal investment situations, in a proportionate manner, without duplicating or crowding out private financing and have a clear European added value. This will ensure consistency between the actions of the programme and EU State aid rules,  avoiding undue distortions of competition in the internal market . | | |  |  | | --- | --- | | (12) | It is important to support  the Union’s  industry to stay or become world leader in innovation, digitisation and decarbonisation, notably through investments in key enabling technologies that will underpin tomorrow's business.  Key Enabling Technologies (KETs) are set to play a central role in Pillar II ‘Global Challenges and European Industrial Competitiveness’ and should be further connected to the Future and Emerging Technologies (FET) Flagships to allow research projects to cover the whole innovation chain.  The Programme's actions  should reflect the Union’s Industrial Policy Strategy so as  to address market failures or sub-optimal investment situations , to boost investments  in a proportionate  and transparent  manner, without duplicating or crowding out private financing and have a clear European added value  and public return on investments . This will ensure consistency between the actions of the programme and EU  RDI  State aid rules,  which should be revised in order to incentivise innovation . | |

Amendment 21

Proposal for a regulation

Recital 12 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (12 a) | SMEs constitute a significant source of innovation and growth in Europe. Therefore a strong participation of SMEs as defined in Commission Recommendation 2003/361/EC is needed in Horizon Europe. Building on best practices from Horizon 2020, Horizon Europe should continue to encourage SMEs participation to the Framework Programme in an integrated manner. Adequate measures and budget provisions, including the implementation of a fully bottom-up monobeneficiary SMEs instrument performing incremental innovation, with dedicated open calls throughout the different stages of the innovation cycle should be foreseen. | |

Amendment 22

Proposal for a regulation

Recital 13

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (13) | The Programme should support research and innovation in an integrated manner, respecting all relevant provisions of the World Trade Organisation. The concept of research, including experimental development should be used in accordance with the Frascati Manual developed by the OECD, whereas the concept of innovation should be used in accordance with the Oslo Manual developed by the OECD and Eurostat, following a broad approach that covers social innovation. The OECD definitions regarding Technological Readiness Level (TRL) should  continue , as in the previous Framework Programme Horizon 2020,  to be taken into account in the classification of technological research, product development and demonstration activities, and the definition of types of action available in calls for proposals. In principle grants should not be awarded for actions where activities go above TRL 8.  The work programme for a given call under the pillar ‘Global Challenges and Industrial Competitiveness’ could allow grants for large-scale product validation and market replication. | | |  |  | | --- | --- | | (13) | The Programme should support research and innovation in an integrated manner, respecting all relevant provisions of the World Trade Organisation. The concept of research, including experimental development should be used in accordance with the Frascati Manual developed by the OECD, whereas the concept of innovation should be used in accordance with the Oslo Manual developed by the OECD and Eurostat, following a broad approach that covers social innovation , design and creativity . The OECD definitions regarding Technological Readiness Level (TRL) should  be taken into account , as in the previous Framework Programme Horizon 2020. The work programme for a given call under the pillar ‘Global Challenges and  European  Industrial Competitiveness’ could allow grants for large-scale product validation and market replication. | |

Amendment 23

Proposal for a regulation

Recital 14

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (14) | The Commission's Communication on the interim evaluation of Horizon 2020 (COM(2018)0002)  has  provided a set of recommendations for this Programme, including its Rules for participation and dissemination, building on the lessons learnt from the previous Programme as well as input from EU institutions and stakeholders. Those recommendations include to invest more ambitiously in order to reach critical mass and maximise impact; to support breakthrough innovation; to prioritise Union research and innovation (R&I) investments in areas of high added value, notably through mission-orientation, citizen involvement and wide communication; to rationalise the Union funding landscape, including by streamlining the range of partnership initiatives and co-funding schemes; the development of more and concrete synergies between different Union funding instruments, notably with the aim of helping to mobilise under-exploited R&I potential across the Union; to strengthen international cooperation and reinforce openness to third countries' participation; and to continue simplification based on implementation experiences from Horizon 2020. | | |  |  | | --- | --- | | (14) | The Commission's Communication on the interim evaluation of Horizon 2020 (COM(2018)0002)  and the European Parliament’s report on the assessment of the implementation of Horizon 2020 in view of its interim evaluation and the Framework Programme 9 proposal (2016/2147(INI)) have  provided a set of recommendations for this Programme, including its Rules for participation and dissemination, building on the lessons learnt from the previous Programme as well as input from EU institutions and stakeholders. Those recommendations include to invest more ambitiously in order to reach critical mass and maximise impact; to support breakthrough innovation; to prioritise Union research and innovation (R&I) investments in areas of high added value, notably through mission-orientation,  full, well-informed and timely  citizen involvement and wide communication; to rationalise the Union funding landscape  in order to fully use the R&I potential of all Member States , including by streamlining the range of partnership initiatives and co-funding schemes; the development of more and concrete synergies between different Union funding instruments, notably with the aim of helping to mobilise under-exploited R&I potential across the Union; to  better involve research infrastructures financed by the Union — especially from ERDF — into the Programme’s projects, to  strengthen international cooperation and reinforce openness to third countries' participation  while safeguarding the Union interest and broadening the participation of all Member States in the Programme ; and to continue simplification based on implementation experiences from Horizon 2020. | |

Amendment 24

Proposal for a regulation

Recital 15

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (15) | The Programme should seek synergies with other Union programmes, from their design and strategic planning, to project selection, management, communication, dissemination and exploitation of results, to monitoring, auditing and governance. With a view to avoiding overlaps and duplication and increasing the leverage of Union funding, transfers from other Union programmes to Horizon Europe activities can take place. In such cases they will follow Horizon Europe rules. | | |  |  | | --- | --- | | (15) | Cohesion policy should continue to contribute to research and innovation. Therefore, special attention needs to be paid to the coordination and complementarity between the two Union policies.  The Programme should seek  alignment of rules and  synergies with other Union programmes  as referred to in Annex IV to this Regulation , from their design and strategic planning, to project selection, management, communication, dissemination and exploitation of results, to monitoring, auditing and governance. With a view to avoiding overlaps and duplication and increasing the leverage of Union funding,  as well as decreasing administrative burden for the applicants and the beneficiaries, all types of synergies should follow the principle ‘one action follows one set of rules’: | |
|  | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | — | transfers from other Union programmes  including the European Regional Development Fund (ERDF),  to Horizon Europe activities can take place  on a voluntary basis . In such cases they will follow Horizon Europe rules , but they will be used only for the benefit of the Member State or managing authority, as relevant, deciding to make the transfer; | | |
|  | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | — | co-funding of an action by Horizon Europe and another Union programme could also be foreseen while not exceeding the total eligible costs of the action .  In such cases, only Horizon Europe rules would apply and double audits should be avoided; | | |
|  | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | — | Seals of Excellence should be awarded to all proposals which have passed the ‘excellence’ threshold in Horizon Europe but cannot be financed due to budgetary constraints. In such cases, the rules of the Fund providing support should apply with the exception of state aid rules. | | |

Amendment 25

Proposal for a regulation

Recital 16

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (16) | In order to achieve the greatest possible impact of Union funding and the most effective contribution to the Union's policy objectives, the Programme  should  enter into European Partnerships with private and/or public sector partners. Such partners include  industry,  research  organisations , bodies with a public service  mission at local, regional, national or international level,  and civil society organisations  such as foundations  that support and/or carry out research and innovation, provided that desired impacts can be achieved more effectively in partnership than by the Union alone. | | |  |  | | --- | --- | | (16) | In order to achieve the greatest possible impact of Union funding and the most effective contribution to the Union's policy objectives  and commitments , the Programme  may  enter into European Partnerships with private and/or public sector partners , on the basis of the outcome of the Strategic Planning . Such partners include  public and private  research  and innovation stakeholders, competence centres, business incubators, science and technology parks,  bodies with a public service mission,  foundations  and civil society organisations  and regional innovation ecosystems, where appropriate  that support and/or carry out research and innovation, provided that desired impacts can be achieved more effectively in partnership than by the Union alone. | |

Amendment 26

Proposal for a regulation

Recital 17

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (17) | The Programme should strengthen cooperation between European Partnerships and private and/or public sector partners at the international level including by joining up research and innovation programmes and cross-border investment in research and innovation bringing mutual benefits to people and businesses while ensuring that the  EU  can uphold its interests  in strategic areas[(14)](#ntr14-C_2020388EN.01034801-E0003). | | |  |  | | --- | --- | | (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. | |

Amendment 27

Proposal for a regulation

Recital 17 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (17 a) | FET Flagships' have proven to be an effective and efficient instrument, delivering benefits for society in a joint, coordinated effort by the Union and its Member States, and existing flagships that have proven their benefits should continue to be supported. | |

Amendment 28

Proposal for a regulation

Recital 18

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (18) | The Joint Research Centre (JRC) should continue to provide Union policies with independent customer-driven scientific evidence and technical support throughout the whole policy cycle. The direct actions of the JRC should be implemented in a flexible, efficient and transparent manner, taking into account the relevant needs of the users of the JRC and the needs of Union policies, and ensuring the protection of the financial interests of the Union. The JRC should continue to generate additional resources. | | |  |  | | --- | --- | | (18) | The Joint Research Centre (JRC) should continue to provide Union policies with independent customer-driven scientific evidence and technical support throughout the whole policy cycle. The direct actions of the JRC should be implemented in a flexible, efficient and transparent manner, taking into account the relevant needs of the users of the JRC , the budgetary constraints  and the needs of Union policies, and ensuring the protection of the financial interests of the Union. The JRC should continue to generate additional resources. | |

Amendment 29

Proposal for a regulation

Recital 19

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (19) | The pillar ‘ Open Innovation ’ should establish a series of measures for integrated support to the needs of entrepreneurs and entrepreneurship aiming at realising and accelerating breakthrough innovation for rapid market growth. It should attract innovative companies with potential for scaling up at international and at Union level and offer fast, flexible grants and co-investments, including with private investors. These objectives should be pursued through the creation of a European Innovation Council (EIC). This Pillar should also support the European Institute of Innovation and Technology (EIT) and European innovation ecosystems at large, notably through co-funding partnerships with national and regional innovation support actors. | | |  |  | | --- | --- | | (19) | The pillar ‘ Innovative Europe ’ should establish a series of measures for integrated support to the needs of entrepreneurs and  research-driven  entrepreneurship aiming at realising and accelerating breakthrough innovation for rapid market growth  as well as promoting the Union’s technological autonomy in strategic areas . It should attract innovative companies , including SMEs and start-ups,  with potential for scaling up at international and at Union level and offer fast, flexible grants and co-investments, including with private investors. These objectives should be pursued through the creation of a European Innovation Council (EIC). This Pillar should also support the European Institute of Innovation and Technology (EIT) , the EIT Regional Innovation Scheme  and European innovation ecosystems at large , throughout the Union , notably through co-funding partnerships with national and regional innovation support actors , both public and private . | |

Amendment 30

Proposal for a regulation

Recital 20

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (20) | The policy objectives of this Programme will be also addressed through  financial instruments  and budgetary  guarantee  under the policy windows of the InvestEU Fund. Financial  support  should be used to address market failures or sub-optimal investment situations, in a proportionate manner and actions should not duplicate or crowd out private financing or distort competition in the Internal market .  Actions should have a clear European added value . | | |  |  | | --- | --- | | (20) | In order to address the need to support investment in higher-risk and non-linear activities such as research and innovation, it is essential that Horizon Europe, in particular the EIC, as well as the EIT with its KICs, work in synergy with the financial products to be deployed under InvestEU. In that regard, the experience gained from the  financial instruments  deployed under Horizon 2020 such as InnovFin and the loan  guarantee  for SMEs, should serve as a strong basis to deliver this targeted  support  EIC should develop strategic intelligence and real time evaluation activities in order to timely manage and coordinate its various actions. | |

Amendment 31

Proposal for a regulation

Recital 21

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (21) | The EIC through its instruments — Pathfinder and Accelerator — should aim at identifying, developing and deploying breakthrough market creating innovations and supporting their rapid scale-up to EU and international levels. Through coherent and streamlined support to breakthrough innovation the EIC should fill the current vacuum in public support and private investment for breakthrough innovation. The instruments of the EIC call for dedicated legal and management features in order to reflect its objectives, in particular market deployment activities. | | deleted |

Amendment 32

Proposal for a regulation

Recital 22

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (22) | Through EIC blended finance, the Accelerator should bridge the ‘valley of death’ between research, pre-mass commercialisation and the scaling-up of companies. In particular, the Accelerator should provide support to operations presenting such technological or market risks that they are not considered as bankable and cannot leverage significant investments from the market, hence complementing the InvestEU programme established by Regulation …[(15)](#ntr15-C_2020388EN.01034801-E0004) .. | | |  |  | | --- | --- | | (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)](#ntr15-C_2020388EN.01034801-E0005) | |

Amendment 33

Proposal for a regulation

Recital 23

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (23) | The EIT, primarily through its Knowledge and Innovation Communities (KICs), should aim at strengthening innovation ecosystems that tackle global challenges, by fostering the integration of business, research, higher education and entrepreneurship. The EIT should foster innovation in its activities and should support the integration of higher education within the innovation ecosystem, in particular by: stimulating entrepreneurial education, fostering strong non-disciplinary collaborations between industry and academia; and identifying prospective skills for future innovators to address global challenges, which includes advanced digital and innovation skills. Support schemes provided by the EIT should benefit to EIC beneficiaries, while start-ups emerging from EIT KICs should have access to EIC actions. While the EIT’s focus on innovation ecosystems should make it naturally fit within the pillar ‘ Open Innovation ’, the planning of its KICs should be aligned through the strategic planning process with the pillar ‘Global Challenges and Industrial Competitiveness’. | | |  |  | | --- | --- | | (23) | The EIT, primarily through its Knowledge and Innovation Communities (KICs)  and the EIT Regional Innovation Scheme  should aim at strengthening innovation ecosystems  for the development of an overall Union capacity for innovation  that tackle global challenges, by fostering the integration of business, research, higher education and entrepreneurship.  In line with its founding act, the EIT Regulation [(1a)](#ntr1a-C_2020388EN.01034801-E0006)  and the Strategic Innovation Agenda of the EIT [(1b)](#ntr1b-C_2020388EN.01034801-E0007)  ,  the EIT should foster innovation in its activities and should support the integration of higher education within the innovation ecosystem, in particular by: stimulating entrepreneurial education, fostering strong non-disciplinary collaborations between industry and academia; and identifying prospective skills for future innovators to address global challenges, which includes advanced digital and innovation skills. Support schemes provided by the EIT should benefit to EIC beneficiaries, while start-ups emerging from EIT KICs should have  fast-track  access to EIC actions. While the EIT’s focus on innovation ecosystems should make it naturally fit within the pillar ‘ Innovative Europe ’ , it should also support all other pillars, as appropriate , the planning of its KICs should be aligned through the strategic planning process with the pillar ‘Global Challenges and  European  Industrial Competitiveness’.  Duplication between KICs and other instruments in the same field, in particular other Partnerships, should be avoided. | |

Amendment 34

Proposal for a regulation

Recital 24

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (24) | Ensuring and preserving a level playing field for companies that compete in a given market should be a key requirement for breakthrough or disruptive innovation to flourish thereby enabling in particular small and medium-size innovators to reap the benefits of their investment and to capture a share of the market. | | |  |  | | --- | --- | | (24) | Ensuring and preserving a level playing field for companies that compete in a given market should be a key requirement for breakthrough or disruptive innovation to flourish thereby enabling in particular small and medium-size innovators to reap the benefits of their investment and to capture a share of the market.  Similarly, a certain degree of openness in the innovation scale of funded actions — addressing a large network of beneficiaries — may contribute substantially to the building capacity of SMEs, as it provides them with the necessary means to attract investments and to thrive. | |

Amendment 35

Proposal for a regulation

Recital 25

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (25) | The Programme should promote and integrate cooperation with third countries and international organisations and initiatives based on  common  interest, mutual  benefit  and global commitments to implement the UN SDGs. International cooperation should aim to strengthen the Union's research and innovation  excellence , attractiveness and economic and industrial competitiveness, to tackle global challenges, as embodied in the UN SDGs, and to support the Union's external policies. An approach of general opening for international participation and targeted international cooperation actions should be followed,  including through  appropriate eligibility for funding of entities established in low to middle income countries. At the same time, association of third countries to the Programme should be promoted. | | |  |  | | --- | --- | | (25) | The Programme should promote and integrate cooperation with third countries and international organisations and initiatives based on  Union’s  interest,  and  mutual  benefits  and global commitments to implement the UN SDGs. International cooperation should aim to strengthen the Union's  excellence in  research and innovation, attractiveness and economic and industrial competitiveness, to tackle global challenges, as embodied in the UN SDGs, and to support the Union's external policies. An approach of general opening for  reciprocal  international participation and targeted international cooperation actions should be followed, appropriate eligibility  criteria, considering different levels of R&I capacities,  for funding of entities established in low to middle income countries  need to be applied . At the same time, association of third countries to the Programme should be promoted  where reciprocity is envisaged and where Union’s interest is safeguarded and increased participation of all Member States in the Programme is promoted . | |

Amendment 36

Proposal for a regulation

Recital 26

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (26) | With the aim of deepening the relationship between science and society and maximising benefits of their interactions, the Programme should engage and involve citizens and civil society organisations in co-designing and co-creating responsible research and innovation agendas and contents, promoting science education, making scientific knowledge publicly accessible, and facilitating participation  by  citizens and civil society organisations in its activities . It should do so across the Programme and through dedicated activities in the part ‘Strengthening the European Research Area’. The engagement of citizens and civil society in research and innovation should be coupled with public outreach activities to generate and sustain public support for the Programme. The programme should also seek to remove barriers and boost synergies between science, technology, culture and the arts to obtain a new quality of sustainable innovation. | | |  |  | | --- | --- | | (26) | With the aim of deepening the relationship between science and society and maximising benefits of their interactions, the Programme should engage and involve citizens and civil society organisations in co-designing and co-creating responsible research and innovation  (RRI)  agendas and contents  that meet citizens’ and civil society’s concerns, needs and expectations,  promoting science education, making scientific knowledge publicly accessible, and facilitating participation  of  citizens and civil society organisations in its activities.  The measures taken to improve the involvement of citizens and civil society should be monitored. | |

Amendment 37

Proposal for a regulation

Recital 26 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (26 a) | Horizon Europe should support new technologies which contribute to overcoming obstacles, that prevent the access and the full participation of persons with disabilities and which consequently restrain the development of a truly inclusive society. | |

Amendment 38

Proposal for a regulation

Recital 26 b (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (26 b) | With the aim of strengthening of the European Research Area, all parts of the Programme should contribute to significantly reduce the R&I divide, in particular by increasing the participation of widening countries in the Programme R&I actions, spreading scientific excellence, boosting new R&I cooperation patterns, reducing the remuneration gap among researchers within the Union, counterbalancing the brain-drain, modernising national R&I ecosystems and ensuring a balanced representation in the evaluation panels, expert groups and scientific boards. | |

Amendment 39

Proposal for a regulation

Recital 27

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (27) | Pursuant to Article 349 of the TFEU, the Union's outermost regions are entitled to specific measures (taking into account their structural, social and economic situation) regarding access to horizontal Union programmes. The Programme should therefore take into account the specific characteristics of those regions in line with the Commission's Communication on ‘A stronger and renewed strategic partnership with the EU's outermost regions’ (COM(2017)0623) as endorsed by the Council on 12 April 2018. | | |  |  | | --- | --- | | (27) | Pursuant to Article 349 of the TFEU, the Union's outermost regions are entitled to specific measures (taking into account their structural, social and economic situation) regarding access to horizontal Union programmes. The Programme should therefore take into account the specific characteristics of those regions in line with the Commission's Communication on ‘A stronger and renewed strategic partnership with the EU's outermost regions’ (COM(2017)0623) as endorsed by the Council on 12 April 2018 2018  and where possible promote their participation in the Programme. | |

Amendment 40

Proposal for a regulation

Recital 28

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (28) | The activities developed under the Programme should aim at eliminating gender inequalities  and  promoting equality between women and men  in  research and innovation , in compliance with Articles 2 and 3 of the Treaty on European Union and Article 8 of the TFEU. The gender dimension should be adequately integrated in research and innovation content and followed through at all stages of the research cycle . | | |  |  | | --- | --- | | (28) | The activities developed under the Programme should aim at eliminating gender inequalities , avoiding gender bias, adequately integrating the gender dimension in research and innovation content, aiming at enhancing work-life balance,  promoting equality between women and men  including equal pay principles as referred to in Article 141(3) of the TFEU and in Directive 2006/54/EC on the implementation of the principle of equal opportunities and equal treatment of men and women in matters of employment and occupation, as well as ensuring accessibility of researchers with disabilities to  research and innovation. | |

Amendment 41

Proposal for a regulation

Recital 29

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (29) | In light of the specificities of the defence industry sector, the detailed provisions for Union funding to defence research projects should be fixed in the Regulation … establishing the European Defence Fund[(16)](#ntr16-C_2020388EN.01034801-E0008) 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)](#ntr16-C_2020388EN.01034801-E0009) which defines the rules of participation for defence research.  Although synergies between Horizon Europe and the European Defence Fund could be encouraged while avoiding duplication, actions under Horizon Europe  should have an exclusive focus on  civilian  applications. | |

Amendment 42

Proposal for a regulation

Recital 31 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (31 a) | Administrative simplification, in particular the reduction of the administrative burden and delays for beneficiaries should be continuously sought in the establishment, implementation, evaluation, reporting and monitoring of the Programme. | |

Amendment 43

Proposal for a regulation

Recital 31 b (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (31 b) | In order to ensure that Europe remains at the forefront of global research and innovation in the digital field and to take account of the necessity to step up investments to benefit from the growing opportunities of digital technologies, sufficient budget should be allocated to core digital priorities. | |

Amendment 44

Proposal for a regulation

Recital 33

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (33) | Pursuant to [reference to be updated as appropriate according to a new decision on OCTs: Article 94 of Council Decision 2013/755/EU[(23)](#ntr23-C_2020388EN.01034801-E0010)], 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)](#ntr23-C_2020388EN.01034801-E0011)], 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. | |

Amendment 45

Proposal for a regulation

Recital 34

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (34) | Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law-Making of 13 April 2016, there is a need to evaluate this Programme on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States. These requirements, where appropriate, can include measurable indicators, as a basis for evaluating the effects of the Programme on the ground. | | |  |  | | --- | --- | | (34) | Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better Law-Making of 13 April 2016, there is a need to evaluate this Programme on the basis of information collected through specific monitoring requirements, while avoiding overregulation and administrative burdens, in particular on Member States  and beneficiaries under the Programme.  These requirements, where appropriate, can include measurable indicators, as a basis for evaluating the effects of the Programme on the ground. | |

Amendment 46

Proposal for a regulation

Recital 38

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (38) | Common rules across the Programme should ensure a coherent framework which facilitates participation in programmes financially supported by the budget of the Programme, including participation in programmes managed by funding bodies such as the EIT, joint undertakings or any other structures under Article 187 TFEU, and participation in programmes undertaken by Member States pursuant to Article 185 TFEU.  Flexibility to adopt  specific rules should be  ensured when  justified. | | |  |  | | --- | --- | | (38) | Common rules  and requirements  across the Programme should ensure  simplified and common implementing tools including for monitoring and reporting and  a coherent framework which facilitates participation in programmes financially supported by the budget of the Programme, including participation in programmes managed by funding bodies such as the EIT, joint undertakings or any other structures under Article 187 TFEU, and participation in programmes undertaken by Member States pursuant to Article 185 TFEU.  Adopting  specific rules should be  possible but exceptions must be limited to when strictly necessary and duly  justified. | |

Amendment 47

Proposal for a regulation

Recital 39

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (39) | Actions which fall within the scope of the Programme should respect fundamental rights and observe the principles acknowledged in particular by the Charter of Fundamental Rights of the European Union. Such actions should be in conformity with any legal obligation including international law and with any relevant Commission decisions such as the Commission notice of 28 June 2013[(25)](#ntr25-C_2020388EN.01034801-E0012), 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[(25)](#ntr25-C_2020388EN.01034801-E0013), 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. | |

Amendment 48

Proposal for a regulation

Recital 40

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (40) | In line with the objectives of international cooperation as set out in Articles 180 and 186 TFEU, the participation of legal entities established in third countries and of international organisations should be promoted. The implementation of the Programme should be in conformity with the measures adopted in accordance with Articles 75 and 215 TFEU and should be in compliance with international law. For actions related to Union strategic assets, interests, autonomy or security, the participation to specific actions of the Programme may be limited to entities established in Member States only, or to entities established in specified associated or other third countries in addition to Member States. | | |  |  | | --- | --- | | (40) | In line with the objectives of international cooperation as set out in Articles 180 and 186 TFEU, the participation of legal entities established in third countries and of international organisations should be promoted  in the Union’s scientific, societal, economic and technological interests . The implementation of the Programme should be in conformity with the measures adopted in accordance with Articles 75 and 215 TFEU and should be in compliance with international law. For actions related to Union strategic assets, interests, autonomy or security, the participation to specific actions of the Programme may be limited to entities established in Member States only, or to entities established in specified associated or other third countries in addition to Member States. | |

Amendment 49

Proposal for a regulation

Recital 41

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (41) | Reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Programme will contribute  to mainstream climate actions and to the achievement of an overall target of 25 %  of the EU budget expenditures  supporting climate objectives . | | |  |  | | --- | --- | | (41) | Acknowledging climate change as one of the biggest global and societal challenges and  reflecting the importance of tackling climate change in line with the Union's commitments to implement the Paris Agreement and the United Nations Sustainable Development Goals, this Programme will contribute  with at least 35 % of its expenditures supporting climate objectives as appropriate and as part of the general Union objective of mainstreaming climate actions and of spending 30 %  of the EU budget . In order to monitor and verify this objective, all climate-related  expenditures  must be recorded to cover all Union budget programmes and reflected in the appropriate parts of the work programmes. Their estimated spending on particular technologies within clean energy technology, should be broken down to ensure international comparability. In order to address the European Court of Auditors’ recommendations [Report 31/2016], climate mainstreaming mechanisms should differentiate ex-post between mitigation and adaptation when reporting. | |

Amendment 50

Proposal for a regulation

Recital 43

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (43) | Use of sensitive background information or access by unauthorized individuals to sensitive results may have an adverse impact on the interests of the Union or of one or more of the Member States. Thus handling of confidential data and classified information should be governed by all relevant Union law, including the Institutions' internal rules, such as Commission Decision (EU, Euratom) 2015/444, which lays down the provisions on security rules for protecting EU classified information. | | |  |  | | --- | --- | | (43) | Use of sensitive background information or access by unauthorized individuals to sensitive results  and research data  may have an adverse impact on the interests of the Union or of one or more of the Member States. Thus handling of confidential data and classified information should be governed by all relevant Union law, including the Institutions' internal rules, such as Commission Decision (EU, Euratom) 2015/444, which lays down the provisions on security rules for protecting EU classified information. | |

Amendment 51

Proposal for a regulation

Recital 44

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (44) | It is necessary to establish the minimum conditions for participation, both as a general rule where the consortium should include at least one legal entity from a Member State, and with regard to the specificities of particular type of actions under the Programme. | | deleted |

Amendment 52

Proposal for a regulation

Recital 45

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (45) | It is  appropriate  to establish the terms and conditions for providing Union funding to participants in actions under the Programme. Grants  should be implemented  taking into account  all forms of contribution  set out in the Financial Regulation , including lump sums, flat rates or unit costs , with the view to further simplification. | | |  |  | | --- | --- | | (45) | It is  necessary  to establish the terms and conditions for providing Union funding to participants in actions under the Programme. Grants  will be the main type of financing within the Programme. Other types of financing should be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results,  taking into account  in particular the costs of controls, the administrative burden, and the expected risk of non-compliance. For grants, this should include a consideration of the use of lump sums, flat rates and scales of unit costs as  set out in the Financial Regulation, with a view to further simplification.  Before any new costs reimbursement system could be deemed a real simplification for the beneficiaries, it should be preceded by an extensive and positive evaluation. | |

Amendment 53

Proposal for a regulation

Recital 46

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (46) | The funding rates in this Regulation are referred to as maximums in order to comply with the co-financing principle. | | deleted |

Amendment 54

Proposal for a regulation

Recital 47

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (47) | In accordance with the Financial Regulation, the Programme should provide the basis for a wider acceptance of the usual cost accounting practices of the beneficiaries as regards personnel costs and unit costs for internally invoiced goods and services. | | |  |  | | --- | --- | | (47) | In accordance with the Financial Regulation, the Programme should provide the basis for a wider acceptance of the usual cost accounting practices of the beneficiaries as regards personnel costs and unit costs for internally invoiced goods and services.  The usage of unit costs for internally invoiced goods and services combining direct costs and indirect cost should be an option which could be chosen by all beneficiaries. Costs estimated via allocation keys should be eligible. | |

Amendment 55

Proposal for a regulation

Recital 48

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (48) | The current system of reimbursement of actual personnel costs should be further simplified building on the project-based remuneration approach developed under Horizon 2020 and further aligned to the Financial Regulation. | | |  |  | | --- | --- | | (48) | The current system of reimbursement of actual personnel costs should be further simplified building on the project-based remuneration approach developed under Horizon 2020 and further aligned to the Financial Regulation , aiming for ‘equal pay for equal work’ as a general principle and to close the remuneration gap between EU researchers involved in the Programme . | |

Amendment 56

Proposal for a regulation

Recital 50

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (50) | Rules governing the exploitation and dissemination of results should be laid down to ensure that beneficiaries protect, exploit, disseminate and provide access to those results as appropriate. More emphasis should be given to exploiting the results,  in particular  in the Union. Beneficiaries should update their plans regarding the exploitation and dissemination of their results during  and after the end of  the action. | | |  |  | | --- | --- | | (50) | Rules governing the exploitation and dissemination of results should be laid down to ensure that beneficiaries protect, exploit, disseminate and provide access to those results as appropriate , taking into consideration the legitimate interests of the beneficiaries and any other constraints, such as data protection rules, privacy and security rules as well as intellectual property rights, confidentiality, or the Union's global economic competitiveness . More emphasis should be given to exploiting the results,  especially  in the Union. Beneficiaries should update their plans regarding the exploitation and dissemination of their results during the action. | |

Amendment 57

Proposal for a regulation

Recital 51

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (51) | The key elements of the proposal evaluation and selection system of the predecessor programme Horizon 2020 with its particular focus on excellence should be maintained. Proposals should continue to be selected based on the evaluation made by independent experts. Where relevant, the necessity to ensure the overall coherence of the portfolio of projects should be taken into account. | | |  |  | | --- | --- | | (51) | The key elements of the proposal evaluation and selection system of the predecessor programme Horizon 2020 with its particular focus on excellence , ‘impact’ and ‘quality and efficiency of implementation’ criteria  should be maintained. Proposals should continue to be selected based on the evaluation made by independent experts  stemming from as many Member States as possible. The Commission should organise anonymous evaluation where appropriate and analyse its results in order to avoid selection bias . Where relevant, the necessity to ensure the overall coherence of the portfolio of projects should be taken into account  by independent experts . | |

Amendment 58

Proposal for a regulation

Recital 52

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (52) | A wider  cross-reliance on audits and assessments  – including  with other Union programmes — should be  envisaged , in order to reduce administrative burden for beneficiaries of Union funds. Cross reliance should be explicitly provided for by considering also other elements of assurance such as systems and processes audits. | | |  |  | | --- | --- | | (52) | Systematic  cross-reliance on audits and assessments with other Union programmes should be  implemented in accordance with Article 127 of the Financial Regulation for all parts of the Programme,  in order to reduce administrative burden for beneficiaries of Union funds. Cross reliance should be explicitly provided for by considering also other elements of assurance such as systems and processes audits. | |

Amendment 59

Proposal for a regulation

Recital 53

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (53) | Specific challenges in the  area  of research  of  innovation should be addressed by prizes, including through common or joint prizes where appropriate, organised by the Commission or funding body with other Union bodies, third countries, international organisations or non-profit legal entities. | | |  |  | | --- | --- | | (53) | Specific challenges in the  areas  of research  and  innovation should be addressed by prizes, including through common or joint prizes where appropriate, organised by the Commission or funding body with other Union bodies, third countries, international organisations or non-profit legal entities.  In particular, prizes should be awarded to projects attracting scientists to widening countries as well as to successful projects to increase their visibility and allow to increase the promotion of Union funded actions. | |

Amendment 60

Proposal for a regulation

Recital 54

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (54) | The types of  financing and the methods of implementation under this Regulation shall be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance.  For grants, this shall  include consideration of the use of lump sums, flat rates and scales of unit costs. | | |  |  | | --- | --- | | (54) | Financing  types  and the methods of implementation under this Regulation shall be chosen on the basis of their ability to achieve the specific objectives of the actions and to deliver results, taking into account, in particular, the costs of controls, the administrative burden, and the expected risk of non-compliance.  This should  include consideration of the use of lump sums, flat rates and scales of unit costs. | |

Amendment 61

Proposal for a regulation

Article 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 1 | Article 1 |
| Subject matter | Subject matter |
| 1.   This Regulation establishes Horizon Europe — the Framework Programme for Research and Innovation (‘the Programme’) and the rules for participation and dissemination in indirect actions under the Programme. | 1.   This Regulation establishes Horizon Europe — the Framework Programme for Research and Innovation (‘the Programme’) and the rules for participation and dissemination in indirect actions under the Programme  and determines the framework governing Union support to research and innovation activities . |
| 2.   It lays down the objectives of the Programme, the budget for the period 2021 — 2027, the forms of Union funding and the rules for providing such funding. | 2.   It lays down the objectives of the Programme, the budget for the period 2021 — 2027, the forms of Union funding and the rules for providing such funding. |
| 3.   The Programme shall be implemented through: | 3.   The Programme shall be implemented through: |
| |  |  | | --- | --- | | (a) | the specific programme established by Decision …/…/EU[(25)](#ntr25-C_2020388EN.01034801-E0014), which includes  a financial contribution to  the EIT; | | |  |  | | --- | --- | | (a) | the specific programme established by Decision …/…/EU[(25)](#ntr25-C_2020388EN.01034801-E0015), which includes the  rationale and intervention areas of  the EIT; | |
| |  |  | | --- | --- | | (b) | the specific programme on defence research established by Regulation …/…/EU. | | |  |  | | --- | --- | | (b) | the specific programme on defence research established by Regulation …/…/EU. | |
| 4.   The terms ‘Horizon Europe’, ‘the Programme’ and ‘specific programme’ used in this Regulation address matters relevant  only  to the specific programme described in paragraph  3(a),  unless otherwise explicitly stated. | 4.   The terms ‘Horizon Europe’, ‘the Programme’ and ‘specific programme’ used in this Regulation  do not  address matters relevant to the specific programme described in paragraph  3(b)  unless otherwise explicitly stated. |
|  | 4.a     The EIT shall implement the Programme in accordance with the Strategic R&I plan and the Strategic Innovation Agenda of the EIT for the period 2021-2027, with the reserve that any new KIC created shall, if possible, entail additional and adequate budgetary resources and shall not undermine the objectives and the commitments of the existing KICs. |
|  |  |

Amendment 62

Proposal for a regulation

Article 2

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 2 | Article 2 |
| Definitions | Definitions |
| For the purposes of this Regulation, the following definitions apply: | For the purposes of this Regulation, the following definitions apply: |
| |  |  | | --- | --- | | (1) | ‘research infrastructures’ mean facilities that provide resources and services for the research communities to conduct research and foster innovation in their fields. This definition includes the associated human resources, and it covers major equipment or sets of instruments; knowledge-related facilities such as collections, archives or scientific data infrastructures; computing systems, communication networks, and any other infrastructure, of a unique nature and open to external users, essential to achieve excellence in research and innovation. Where relevant, they may be used beyond research, for example for education or public services and they may be ‘single sited’, ‘virtual’ or ‘distributed’; | | |  |  | | --- | --- | | (1) | ‘research infrastructures’ mean facilities that provide resources and services for the research communities to conduct research and foster innovation in their fields. This definition includes the associated human resources, and it covers major equipment or sets of instruments  in particular those supported by other Union funds as referred to in Annex IV ; knowledge-related facilities such as collections, archives or scientific data infrastructures; computing systems, communication networks, and any other infrastructure, of a unique nature and open to external users, essential to achieve excellence in research and innovation. Where relevant, they may be used beyond research, for example for education or public services and they may be ‘single sited’, ‘virtual’ or ‘distributed’; | |
| |  |  | | --- | --- | | (2) | ‘smart specialisation strategy’ has the same meaning as smart specialisation strategy as defined in Regulation (EU) No 1303/2013 of the European Parliament and of the Council[(26)](#ntr26-C_2020388EN.01034801-E0016) and fulfilling the enabling conditions set out in Regulation (EU) XX [Common Provisions Regulation]; | | |  |  | | --- | --- | | (2) | ‘smart specialisation strategy’ has the same meaning as smart specialisation strategy as defined in Regulation (EU) No 1303/2013 of the European Parliament and of the Council[(26)](#ntr26-C_2020388EN.01034801-E0017) and fulfilling the enabling conditions set out in Regulation (EU) XX [Common Provisions Regulation]; | |
| |  |  | | --- | --- | | (3) | ‘European Partnership’ means an initiative where the Union, together with private and/or public partners (such as industry, research organisations, bodies with a public service mission at local, regional, national or international level or civil society organisations including foundations), commit to jointly support the development and implementation of a programme of research and innovation activities, including those related to market, regulatory or policy uptake; | | |  |  | | --- | --- | | (3) | ‘European Partnership’ means an initiative where the Union, together with private and/or public partners (such as industry,  universities,  research organisations  including research infrastructures , bodies with a public service mission at local, regional, national or international level or civil society organisations including  non-governmental organisations and  foundations),  where appropriate  commit to jointly support the development and implementation of a programme of research and innovation activities, including those  pursuant to Article 185 and 187 TFUE, and those  related to market, regulatory or policy uptake; | |
| |  |  | | --- | --- | | (4) | ‘open access’ means the practice of providing online access to research outputs resulting from actions funded under the Programme, in particular scientific publications and research data, free of charge to the end-user; | | |  |  | | --- | --- | | (4) | ‘open access’ means the practice of providing online access to research outputs resulting from actions funded under the Programme, in particular scientific publications and research data, free of charge to the end-user . With regard to research data, relevant privacy and security interests, as well as intellectual property rights, confidentiality, European Union global economic competitiveness and other legitimate interests need to be addressed in accordance with the principle ‘as open as possible, as closed as necessary’ and according to ‘robust opt-outs’ ; | |
| |  |  | | --- | --- | | (5) | ‘mission’ means a portfolio of actions intended to achieve a measurable goal within a set timeframe, and impact for science and technology  and/or  society and citizens  that  could not be achieved through individual actions; | | |  |  | | --- | --- | | (5) | ‘mission’ means a portfolio of  excellence-driven R&I  actions  which could be cross-cluster or cross-cutting  intended to achieve a measurable goal within a set timeframe, and  have an  impact for science and technology , for  society , policy-making and/or diplomacy  and citizens  and which  could not be achieved through individual actions; | |
| |  |  | | --- | --- | | (6) | ‘pre-commercial procurement’ means the procurement of research and development services involving risk-benefit sharing under market conditions, and competitive development in phases, where there is a clear separation of the research and development services procured from the deployment of commercial volumes of end-products; | | |  |  | | --- | --- | | (6) | ‘pre-commercial procurement’ means the procurement of research and development services involving risk-benefit sharing under market conditions, and competitive development in phases, where there is a clear separation of the research and development services procured from the deployment of commercial volumes of end-products; | |
| |  |  | | --- | --- | | (7) | ‘public procurement of innovative solutions’ means procurement where contracting authorities act as a launch customer for innovative goods or services which are not yet available on a large-scale commercial basis, and may include conformity testing. | | |  |  | | --- | --- | | (7) | ‘public procurement of innovative solutions’ means procurement where contracting authorities act as a launch customer for innovative goods or services which are not yet available on a large-scale commercial basis, and may include conformity testing. | |
| |  |  | | --- | --- | | (8) | ‘access rights’ means rights to use results or background; | | |  |  | | --- | --- | | (8) | ‘access rights’ means rights to use results or background  under terms and conditions laid down in accordance with this Regulation ; | |
| |  |  | | --- | --- | | (9) | ‘background’ means any data, know-how or information whatever its form or nature, tangible or intangible, including any rights such as intellectual property rights, that is: (i) held by beneficiaries prior to their accession to the action; (ii) identified by the beneficiaries in  writing in any manner  as needed for implementing the action or for exploiting its results; | | |  |  | | --- | --- | | (9) | ‘background’ means any data, know-how or information whatever its form or nature, tangible or intangible, including any rights such as intellectual property rights, that is: (i) held by beneficiaries prior to their accession to the action;  and  (ii) identified by the beneficiaries in  a written agreement  as needed for implementing the action or for exploiting its results; | |
| |  |  | | --- | --- | | (10) | ‘dissemination’ means the public disclosure of the results by appropriate means (other than resulting from protecting or exploiting the results), including by scientific publications in any medium; | | |  |  | | --- | --- | | (10) | ‘dissemination’ means the public disclosure of the results by appropriate means (other than resulting from protecting or exploiting the results), including by scientific publications in any medium; | |
| |  |  | | --- | --- | | (11) | ‘exploitation’ means the use of results in further research and innovation activities other than those covered by the action concerned, or  in  developing, creating, manufacturing and marketing a product or process, or in creating and providing a service, or in standardisation activities; | | |  |  | | --- | --- | | (11) | ‘exploitation’ means the use of results in further research and innovation activities other than those covered by the action concerned, or  inter alia, commercial exploitation such as  developing, creating, manufacturing and marketing a product or process, or in creating and providing a service, or in standardisation activities; | |
| |  |  | | --- | --- | | (12) | ‘fair and reasonable conditions’ means appropriate conditions, including possible financial terms or royalty-free conditions, taking into account the specific circumstances of the request for access, for example the actual or potential value of the results or background to which access is requested and/or the scope, duration or other characteristics of the exploitation envisaged; | | |  |  | | --- | --- | | (12) | ‘fair and reasonable conditions’ means appropriate conditions, including possible financial terms or royalty-free conditions, taking into account the specific circumstances of the request for access, for example the actual or potential value of the results or background to which access is requested and/or the scope, duration or other characteristics of the exploitation envisaged; | |
| |  |  | | --- | --- | | (13) | ‘funding body’ means a body or organisation, other than the Commission, as referred to in point (c) of Article 62(1) of the Financial Regulation, to which the Commission has entrusted budget implementation tasks under the Programme; | | |  |  | | --- | --- | | (13) | ‘funding body’ means a body or organisation, other than the Commission, as referred to in point (c) of Article 62(1) of the Financial Regulation, to which the Commission has entrusted budget implementation tasks under the Programme; | |
| |  |  | | --- | --- | | (14) | ‘international European research organisation’ means an international organisation, the majority of whose members are Member States or associated countries, and whose principal objective is to promote scientific and technological cooperation in Europe; | | |  |  | | --- | --- | | (14) | ‘international European research organisation’ means an international organisation, the majority of whose members are Member States or associated countries, and whose principal objective is to promote scientific and technological cooperation in Europe; | |
| |  |  | | --- | --- | | (15) | ‘legal entity’ means any natural or legal person created and recognised as such under national law, Union law or international law, which has legal personality and which may, acting in its own name, exercise rights and be subject to obligations, or an entity without a legal personality in accordance with Article 197(2)(c) of the Financial Regulation; | | |  |  | | --- | --- | | (15) | ‘legal entity’ means any natural or legal person created and recognised as such under national law, Union law or international law, which has legal personality and which may, acting in its own name, exercise rights and be subject to obligations, or an entity without a legal personality in accordance with Article 197(2)(c) of the Financial Regulation; | |
|  | |  |  | | --- | --- | | (15 a) | ‘widening countries’ means those countries identified through the composite indicator of Research Excellence (R&D intensity, excellence in S&T, Knowledge-intensity of economy, High Tech& Medium Tech product contribution to trade balance) and with a corrective threshold of 70 % of the Union average [(26a)](#ntr26a-C_2020388EN.01034801-E0018)  . | |
| |  |  | | --- | --- | | (16) | ‘non-profit legal entity’ means a legal entity which by its legal form is non-profit-making or which has a legal or statutory obligation not to distribute profits to its shareholders or individual members; | | |  |  | | --- | --- | | (16) | ‘non-profit legal entity’ means a legal entity which by its legal form is non-profit-making or which has a legal or statutory obligation not to distribute profits to its shareholders or individual members; | |
| |  |  | | --- | --- | | (17) | ‘mid-cap’ means a company that is not a micro-, small- and medium-sized enterprise (‘SME’) as defined in Commission Recommendation 2003/361/EC[(27)](#ntr27-C_2020388EN.01034801-E0019), and that has a number of employees of up to 3 000 where the staff headcount is calculated in accordance with Articles 3, 4, 5 and 6 of Title I of the Annex of that Recommendation; | | |  |  | | --- | --- | | (17) | ‘mid-cap’ means a company that is not a micro-, small- and medium-sized enterprise (‘SME’) as defined in Commission Recommendation 2003/361/EC[(27)](#ntr27-C_2020388EN.01034801-E0020), and that has a number of employees of up to 3 000 where the staff headcount is calculated in accordance with Articles 3, 4, 5 and 6 of Title I of the Annex of that Recommendation; | |
| |  |  | | --- | --- | | (18) | ‘results’ means any tangible or intangible  effect  of the action, such as data, know-how or information, whatever its form or nature, whether or not it can be protected, as well as any rights attached to it, including intellectual property rights; | | |  |  | | --- | --- | | (18) | ‘results’ means any tangible or intangible  output  of the action, such as data, know-how or information, whatever its form or nature, whether or not it can be protected, as well as any rights attached to it, including intellectual property rights; | |
| |  |  | | --- | --- | | (19) | ‘seal of excellence’ means a certified label which shows that a proposal submitted to a call for proposals exceeded all of the thresholds set out in the work programme, but could not be funded due to lack of budget available to that call in the work programme; | | |  |  | | --- | --- | | (19) | ‘seal of excellence’ means a certified label which shows that a proposal submitted to a call for proposals exceeded all of the thresholds set out in the work programme, but could not be funded due to lack of budget available to that call in the work programme , but which might receive support from other Union or national sources of funding ; | |
|  | |  |  | | --- | --- | | (19 a) | ‘strategic R&I Plan’ means a document adopted every two years by means of a delegated act supplementing the Specific Programme, and following a broad mandatory multi-stakeholder consultation process with Member States, the European Parliament, the RDI stakeholders, including civil society. It defines the priorities, the instruments, and the suitable types of action and forms of implementation, thus serving as a basis for the development of the work programmes. It contains in particular the selected missions, the newly established or continued contractual or institutional partnerships, FET-Flagships and KICs; | |
| |  |  | | --- | --- | | (20) | ‘work programme’ means the document adopted by the Commission for the implementation of the specific programme[(28)](#ntr28-C_2020388EN.01034801-E0021) in accordance with its Article 12 or the equivalent document in content and structure adopted by a funding body. | | |  |  | | --- | --- | | (20) | ‘work programme’ means the document adopted by the Commission for the implementation of the specific programme[(28)](#ntr28-C_2020388EN.01034801-E0022) in accordance with its Article 12 or the equivalent document in content and structure adopted by a funding body. | |
| |  |  | | --- | --- | | (21) | ‘reimbursable advance’ means the part of  a  Horizon Europe  or EIC  blended finance corresponding to a loan under Title X of the Financial Regulation, but that is directly awarded by the Union on a non-profit basis to cover the costs of activities corresponding to an innovation action, and to be reimbursed by the beneficiary to the Union under the conditions provided for in the contract; | | |  |  | | --- | --- | | (21) | ‘reimbursable advance’ means the part of Horizon Europe  Programme  blended finance corresponding to a loan under Title X of the Financial Regulation, but that is directly awarded by the Union on a non-profit basis to cover the costs of activities corresponding to an innovation action, and to be reimbursed by the beneficiary to the Union under the conditions provided for in the contract; | |
| |  |  | | --- | --- | | (22) | ‘contract’ means the agreement concluded between the Commission or a funding body with a legal entity implementing an innovation and market deployment action and supported by  a  Horizon Europe  or EIC  blended finance. | | |  |  | | --- | --- | | (22) | ‘contract’ means the agreement concluded between the Commission or a funding body with a legal entity implementing an innovation and market deployment action and supported by Horizon Europe  Programme  blended finance. | |
| |  |  | | --- | --- | | (23) | ‘classified information’ means EU classified information ad defined in Article 3 of Commission Decision (EU, Euratom) 2015/444 as well as classified information of Member States, classified information of third countries with which the Union has a security agreement and classified information of international organisation with which the Union has a security agreement; | | |  |  | | --- | --- | | (23) | ‘classified information’ means EU classified information ad defined in Article 3 of Commission Decision (EU, Euratom) 2015/444 as well as classified information of Member States, classified information of third countries with which the Union has a security agreement and classified information of international organisation with which the Union has a security agreement; | |
| |  |  | | --- | --- | | (24) | ‘Blending operation’ means actions supported by the EU budget, including within blending facilities pursuant to Article 2(6) of the Financial Regulation, combining non-repayable forms of support and/or financial instruments from the EU budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors; | | |  |  | | --- | --- | | (24) | ‘Blending operation’ means actions supported by the EU budget, including within blending facilities pursuant to Article 2(6) of the Financial Regulation, combining non-repayable forms of support and/or financial instruments from the EU budget with repayable forms of support from development or other public finance institutions, as well as from commercial finance institutions and investors; | |
| |  |  | | --- | --- | | (25) | ‘Horizon Europe  or EIC  blended finance’ means a single financial support to an innovation and market deployment action, consisting in a specific combination of a grant or a reimbursable advance with an investment in equity; | | |  |  | | --- | --- | | (25) | ‘Horizon Europe  Programme  blended finance’ means a single financial support to an innovation and market deployment action, consisting in a specific combination of a grant or a reimbursable advance with an investment in equity; | |
|  | |  |  | | --- | --- | | (25 a) | ‘research and innovation action’ means an action primarily consisting of activities aiming to establish new knowledge and/or to explore the feasibility of a new or improved technology, product, process, service or solution. This may include basic and applied research, technology development and integration, testing and validation on a small-scale prototype in a laboratory or simulated environment; | |
|  | |  |  | | --- | --- | | (25 b) | ‘innovation action’ means an action primarily consisting of activities directly aimed at producing plans and arrangements or designs for new, altered or improved products, processes or services, possibly including prototyping, testing, demonstrating, piloting, large-scale product validation and market replication; | |
|  | |  |  | | --- | --- | | (25 c) | ‘ERC frontier research’ means principal investigator-led research actions, hosted by ERC only single or multiple beneficiaries; | |
|  | |  |  | | --- | --- | | (25 d) | ‘training and mobility action’ means an action geared towards the improvement of skills, knowledge and career prospects of researchers based on mobility between countries, and, if relevant, between sectors or disciplines; | |
|  | |  |  | | --- | --- | | (25 e) | ‘programme co-funding action’ means an action to provide co-funding to a programme of activities established and/or implemented by entities managing and/or funding research and innovation programmes, other than Union funding bodies; | |
|  | |  |  | | --- | --- | | (25 f) | ‘pre-commercial procurement action’ means an action with the primary aim of conducting pre-commercial procurement procedures implemented by beneficiaries that are contracting authorities or contracting entities; | |
|  | |  |  | | --- | --- | | (25 g)‘ | public procurement of innovative solutions action’ means an action with the primary aim of conducting joint or coordinated public procurement procedures concerning innovative solutions implemented by beneficiaries that are contracting authorities or contracting entities; | |
|  | |  |  | | --- | --- | | (25 h)‘ | coordination and support action’ means an action contributing to the objectives of the Programme, excluding research and innovation activities; | |
|  | |  |  | | --- | --- | | (25 i) | ‘public procurement’ means the implementation of parts of the Programme related to strategic interests and autonomy of the Union and the carrying out, for the Commission’s own purposes, of public procurement procedures for studies, products, services and capabilities; | |
|  | |  |  | | --- | --- | | (25 j) | ‘affiliated entity’ means any legal entity that is under the direct or indirect control of a participant, or under the same direct or indirect control as the participant, or that is directly or indirectly controlling a participant; | |
|  |  |

Amendment 63

Proposal for a regulation

Article 3

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 3 | Article 3 |
| Programme objectives | Programme objectives |
| 1.   The Programme’s general objective is to deliver scientific, economic and societal impact from the Union’s investments in research and innovation so as to strengthen the scientific and technological bases of the Union and foster its competitiveness , including in its  industry, deliver on the Union strategic priorities, and contribute to  tackling  global challenges, including the Sustainable Development Goals. | 1.   The Programme’s general objective is to deliver scientific , technological , economic and societal impact from the Union’s investments in research and innovation so as to strengthen the scientific and technological bases of the Union  as a whole, to strengthen the European Research Area  and foster its competitiveness . Research and  industry  shall  deliver on the Union strategic priorities and  policies,  contribute to  addressing  global challenges, including the Sustainable Development Goals  and the Paris Agreement as well as contribute to achieving an overall investment of 3 % of the GDP invested in research and development, in line with the commitment made by the Union Heads of State and Governments . |
| 2.   The Programme has the following specific objectives: | 2.   The Programme has the following specific objectives: |
|  | |  |  | | --- | --- | | (-a) | new to develop, promote and spread scientific and technological excellence; | |
| |  |  | | --- | --- | | (a) | to support the creation and diffusion of high-quality  new  knowledge, skills, technologies and solutions  to  global challenges; | | |  |  | | --- | --- | | (a) | to support the creation and diffusion of high-quality knowledge, skills, technologies and solutions , based on both fundamental and applied research, in order to tackle  global challenges , including climate change and Sustainable Development goals ; | |
|  | |  |  | | --- | --- | | (a a) | to aim at significantly reducing the R&I divide within the Union, in particular by increasing participation in Horizon Europe of low R&I performing Member States as compared to the previous FP; | |
| |  |  | | --- | --- | | (b) | to strengthen the impact of research and innovation in developing, supporting and implementing Union policies, and support the uptake of innovative solutions in  industry and  society  to address global challenges ; | | |  |  | | --- | --- | | (b) | to strengthen  the Union added value of RDI funding,  the impact of research and innovation in developing, supporting and implementing Union policies, and support the  access to and  uptake of innovative solutions in society  and European industry ; | |
| |  |  | | --- | --- | | (c) | to foster all forms of innovation , including breakthrough innovation,  and strengthen market deployment  of innovative solutions ; | | |  |  | | --- | --- | | (c) | to foster all forms of innovation and strengthen market deployment  and exploitation of RDI results especially within the Union ; | |
| |  |  | | --- | --- | | (d) | to optimise the Programme's delivery for  increased  impact  within a strengthened  European Research Area. | | |  |  | | --- | --- | | (d) | to optimise the Programme's delivery for  strengthening and increasing the  impact  and RDI attractiveness of the  European Research Area. | |

Amendment 64

Proposal for a regulation

Article 4

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 4 | Article 4 |
| Programme structure | Programme structure |
| 1.   The Programme is structured in the following parts contributing to the general and specific objectives set out in  in  Article 3: | 1.   The Programme is structured in the following parts contributing to the general and specific objectives set out in Article 3: |
| |  |  | | --- | --- | | (1) | Pillar I ‘Open Science’ , pursuing the specific objective set out in Article 3(2)(a) and also supporting specific objectives set out in Article 3(2)(b) and (c),  with the following components: | | |  |  | | --- | --- | | (1) | Pillar I ‘ Excellent and  Open Science’ with the following components: | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (a) | the European Research Council (ERC); | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (a) | the European Research Council (ERC); | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (b) | Marie Skłodowska-Curie Actions (MSCA); | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (b) | Marie Skłodowska-Curie Actions (MSCA); | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (c) | research infrastructures. | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (c) | research infrastructures. | | |
| |  |  | | --- | --- | | (2) | Pillar II ‘Global Challenges and Industrial Competitiveness’ , pursuing the specific objective set out in Article 3(2)(b) and also supporting the specific objectives set out in Article 3(2)(a) and (c),  with the following components: | | |  |  | | --- | --- | | (2) | Pillar II ‘Global Challenges and  European  Industrial Competitiveness’ with the following components: | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (a) | cluster ‘Health’; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (a) | cluster ‘Health’; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (b) | cluster ‘Inclusive and  Secure  Society’; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (b) | cluster ‘Inclusive and  Creative  Society’; | | |
|  | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (b a) | cluster ‘Secure Societies’; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (c) | cluster ‘Digital  and  Industry’; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (c) | cluster ‘Digital, Industry  and Space ’; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (d) | cluster ‘Climate, Energy and Mobility’; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (d) | cluster ‘Climate, Energy and Mobility’; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (e) | cluster ‘Food  and  Natural Resources’; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (e) | cluster ‘Food, Natural Resources  and Agriculture ’; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (f) | non-nuclear direct actions of the Joint Research Centre (JRC). | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (f) | non-nuclear direct actions of the Joint Research Centre (JRC). | | |
| |  |  | | --- | --- | | (3) | Pillar III ‘ Open Innovation ’ , pursuing the specific objective set out in Article 3(2)(c) and also supporting the specific objectives set out in Article 3(2)(a) and (b),  with the following components: | | |  |  | | --- | --- | | (3) | Pillar III ‘ Innovative Europe ’ with the following components: | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (a) | the European Innovation Council (EIC); | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (a) | the European Innovation Council (EIC); | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (b) | European innovation ecosystems; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (b) | European innovation ecosystems; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (c) | the European Institute of Innovation and Technology (EIT). | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (c) | the European Institute of Innovation and Technology (EIT). | | |
| |  |  | | --- | --- | | (4) | Part ‘Strengthening the European Research Area’ , pursuing the specific objective set out in Article 3(2)(d) and also supporting the specific objectives set out in Article 3(2)(a), (b) and (c),  with the following components: | | |  |  | | --- | --- | | (4) | Part ‘Strengthening the European Research Area’ with the following components: | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (a) | sharing  excellence; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (a) | Spreading  excellence  and widening participation across the Union ; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (b) | reforming and enhancing the European R&I System. | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (b) | reforming and enhancing the European R&I System. | | |
| 2.   The broad lines of activities are set out in Annex I. | 2.   The broad lines of activities are set out in Annex I. |

Amendment 65

Proposal for a regulation

Article 5

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 5 | Article 5 |
| Defence research | Defence research |
| 1.   Activities to be carried out under the specific programme referred to in Article 1(3)(b) and which are laid down in Regulation …. establishing the European Defence Fund, shall  be research with an exclusive  focus on defence applications, with the objective to foster  the  competitiveness, efficiency and innovation of defence industry. | 1.   Activities to be carried out under the specific programme referred to in Article 1(3)(b) and which are laid down in Regulation …. establishing the European Defence Fund, shall  exclusively  focus on defence  research and  applications, with the objective to foster  consolidation,  competitiveness, efficiency and innovation of  the Union's  defence industry  and avoid duplications between the two programmes . |
| 2.   This Regulation does not apply to the specific programme referred to in Article 1(3)(b), with the exception of this Article, Article 1(1) and (3) and Article 9(1). | 2.   This Regulation does not apply to the specific programme referred to in Article 1(3)(b), with the exception of this Article, Article 1(1) and (3) and Article 9(1). |

Amendment 66

Proposal for a regulation

Article 6

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 6 | Article 6 |
| Implementation  and forms of EU funding | Strategic planning and implementation  and forms of EU funding |
| 1.   The Programme shall be implemented in direct management in accordance with the Financial Regulation or in indirect management with funding bodies referred to in Article 62(1)(c) of the Financial Regulation. | 1.   The Programme shall be implemented in direct management in accordance with the Financial Regulation or in indirect management with funding bodies referred to in Article 62(1)(c) of the Financial Regulation. |
| 2.   The Programme may provide funding to indirect actions in any of the forms laid down in the Financial Regulation, in particular grants (including operating grants), prizes and procurements It may also provide financing in the form of financial instruments within blending operations. | 2.   The Programme may provide funding to indirect actions in any of the forms laid down in the Financial Regulation, in particular grants (including operating grants)  which shall be the main form of support under the Programme , prizes and procurements It may also provide financing in the form of financial instruments within blending operations. |
| 3.   The rules for participation and dissemination laid down in this Regulation shall apply to indirect actions. | 3.   The rules for participation and dissemination laid down in this Regulation shall apply to indirect actions. |
| 4.   The main types of action to be used under the Programme are set out and defined in Annex II.  All  forms of funding shall be used in a flexible manner across all objectives of the Programme with their use being determined on the basis of the needs and the characteristics of the particular objectives. | 4.   The main types of action to be used under the Programme are set out and defined in  Article 2 and in  Annex II.  The  forms of funding , referred to in paragraph 2,  shall be used in a flexible manner across all objectives of the Programme with their use being determined on the basis of the needs and the characteristics of the particular objectives. |
| 5.   The Programme shall also support direct actions undertaken by the JRC. Where these actions contribute to initiatives established under Article 185 or Article 187 TFEU, this contribution shall not be considered as part of the financial contribution allocated to those initiatives. | 5.   The Programme shall also support direct actions undertaken by the JRC. Where these actions contribute to initiatives established under Article 185 or Article 187 TFEU, this contribution shall not be considered as part of the financial contribution allocated to those initiatives. |
| 6.   The implementation of the specific programme[(29)](#ntr29-C_2020388EN.01034801-E0023) shall be based on  a  transparent and strategic multiannual planning of research and innovation activities, in particular for the pillar ‘Global Challenges and Industrial Competitiveness’ , following  consultations with stakeholders about priorities and the suitable types of action and forms of implementation to use.  This  shall ensure alignment with other relevant Union programmes. | 6.   The implementation of the specific programme[(29)](#ntr29-C_2020388EN.01034801-E0024) shall be based on  Strategic R&I Plans and in accordance with all the objectives of the Programme as set out in Article 3 and following a process of  transparent , inclusive  and strategic multiannual planning of research and innovation activities, in particular for the pillar ‘Global Challenges and  European  Industrial Competitiveness’. |
|  | Consultations with  national authorities, the European Parliament, RDI and industry  stakeholders  including European Technology Platforms (ETPs), civil society representatives, and independent advisory groups of high-level experts shall be held  about priorities and the suitable types of action and forms of implementation to use.  The Strategic Planning  shall ensure alignment with other relevant Union programmes  and increase complementarity and synergies with national and regional RDI funding programmes and priorities, thereby strengthening the ERA . |
|  | 6 a.     The Programme shall provide the possibility to apply for funding in a faster manner for all beneficiaries. A number of research and innovation actions shall apply a Fast Track to Research and Innovation logic where time-to-grant shall not exceeding 6 months. This shall allow a faster, bottom-up access to funds for small collaborative consortia covering actions from fundamental research to market application. Calls under the Fast Track to Research and Innovation approach shall be continuously open with cut-off dates and be implemented in the work programmes under clusters, the EIC and the ‘spreading excellence’ part. |
| 7.   Horizon Europe activities shall be  primarily  delivered through calls for proposals, some of which organised as parts of missions and European Partnerships. | 7.   Horizon Europe activities shall be delivered through calls for proposals, some of which organised as parts of missions and European Partnerships , except for the activities referred to in Article 39 on Prizes . |
| 8.     Research and innovation activities carried out under Horizon Europe shall have a focus on civil applications. |  |
| 9.     The Programme shall ensure the effective promotion of gender equality and the gender dimension in research and innovation content. Particular attention shall be paid to ensuring gender balance, subject to the situation in the field of research and innovation concerned, in evaluation panels and in bodies such as expert groups. |  |
|  |  |

Amendment 67

Proposal for a regulation

Article 6 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | Article 6 a |
|  | Principles of EU funding and cross-cutting issues |
|  | 1.     Research and innovation activities carried out under Horizon Europe shall have an exclusive focus on civil applications. Budgetary transfers between the Programme and the European Defence Fund shall not be permitted. |
|  | 2.     Horizon Europe shall ensure a multidisciplinary approach and shall foresee, where appropriate, the integration of social sciences and humanities across all activities developed under the Programme. |
|  | 3.     The collaborative parts of the Programme shall ensure a balance between lower and higher TRLs thereby covering the whole value chain. |
|  | 4.     The Programme shall aim to significantly reduce the RDI divide within the Union and to promote broad geographical coverage in collaborative projects. Those efforts shall be mirrored by proportional measures by Member States, with the support of Union, national and regional funds. Particular attention shall be paid to geographical balance, subject to the situation in the field of research and innovation concerned, in funded projects, evaluation panels and in bodies such as boards and expert groups, without undermining the excellence criteria. |
|  | 5.     The Programme shall ensure the effective promotion of gender equality and the gender dimension in research and innovation content and shall address the causes of gender imbalance. Particular attention shall be paid to ensuring gender balance, subject to the situation in the field of research and innovation concerned, in evaluation panels and in other relevant advisory bodies such as boards and expert groups. |
|  | 6.     The Programme shall aim at continuous administrative simplification and reduction of the burden for the beneficiaries. |
|  | 7.     Climate mainstreaming shall be adequately integrated in research and innovation content and applied at all stages of the research cycle. |
|  | 8.     The programme shall provide, where applicable, for societal engagement to better align the process of R&I and its outcomes with the values and needs of society, by promoting science engagement and science education activities and by co-creation and co-design of scientific agendas through engagement of citizens and civil society in R&I priority-setting; |
|  | 9.     The programme shall ensure transparency and accountability of public funding in research and innovation projects, thereby preserving the public interest. |
|  | 10.     The Commission or the relevant funding body shall ensure that sufficient guidance and information is made available to all potential participants at the time of publication of the call for proposals, in particular the applicable model grant agreement. |

Amendment 68

Proposal for a regulation

Article 7

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 7 | Article 7 |
| Missions | Missions |
| 1.   Missions shall be programmed within the pillar ‘Global Challenges and Industrial Competitiveness’, but may also benefit from actions carried out within other parts of the Programme. | 1.   Missions shall be programmed within the pillar ‘Global Challenges and  European  Industrial Competitiveness’, but may also benefit from actions carried out within other parts of the Programme  as well as actions carried out under other Union funding programmes, under Horizon Europe rules . |
| 2.   The missions shall be  implemented in accordance with  Article 5 of the Specific Programme. Evaluation shall be carried out in accordance with Article 26. | 2.    The content of  the missions , objectives, targets, timelines and their implementation  shall be  further specified in the Strategic R&I Plans as identified, as defined in Article 2 and specified in Article 6 of the Framework programme and in  Article 5 of the Specific Programme. Evaluation shall be carried out in accordance with Article 26. |
|  | 2 a.     During the first two years of the programme, a maximum of 10 % of the annual budget of Pillar II shall be programmed through specific calls for implementing the missions. For the last three years of the programme, and only after a positive evaluation of the mission selection and management process, this percentage may be increased. The total budgetary share dedicated to missions shall be specified in Strategic R&I Plans. |
|  | 2 b.     A full evaluation of the missions covering the scope, governance, Board appointment and their preliminary actions shall be carried out in accordance with their respective measurable milestones. The recommendations resulting from that evaluation shall be taken into account before programming new missions or before continuing, terminating or redirecting existing ones. |
| 3.   Missions shall: | 3.   Missions shall: |
| |  |  | | --- | --- | | (a) | have a clear EU-added value and contribute to reaching Union priorities; | | |  |  | | --- | --- | | (a) | have a clear EU-added value and contribute to reaching Union priorities , objectives and commitments ; | |
|  | |  |  | | --- | --- | | (a a) | be inclusive, encourage broad engagement and ensure participation of various types of stakeholders and deliver R&D&I results benefitting all Member States; | |
| |  |  | | --- | --- | | (b) | be bold  and  inspirational, and  hence  have wide societal or economic relevance; | | |  |  | | --- | --- | | (b) | be bold, inspirational, and have wide societal , scientific, technological, diplomatic, environmental  or economic relevance; | |
| |  |  | | --- | --- | | (c) | indicate a clear direction and be targeted, measurable and time-bound; | | |  |  | | --- | --- | | (c) | indicate a clear direction and be targeted, measurable and time-bound; | |
| |  |  | | --- | --- | | (d) | be centered on ambitious but realistic research and innovation activities; | | |  |  | | --- | --- | | (d) | be selected in a transparent manner and  be centered on ambitious , excellence-driven,  but realistic research and innovation activities  across all stages of development ; | |
|  | |  |  | | --- | --- | | (d a) | include an element of urgency regarding the mission objectives, have the necessary scope, scale and wide mobilization of the resources required and with the sole focus being to deliver the mission outcome; | |
| |  |  | | --- | --- | | (e) | spark activity across disciplines, sectors and actors; | | |  |  | | --- | --- | | (e) | spark activity across disciplines  (including social sciences and humanities) , sectors and actors; | |
| |  |  | | --- | --- | | (f) | be open to multiple, bottom-up solutions. | | |  |  | | --- | --- | | (f) | be open to multiple, bottom-up solutions. | |
|  | |  |  | | --- | --- | | (f a) | achieve synergies in a transparent manner with other Union programmes as well as with public and private funds, including through active involvement of national and regional innovation ecosystems. | |

Amendment 69

Proposal for a regulation

Article 7 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | Article 7 a |
|  | The European Innovation Council |
|  | 1.     The Commission shall establish a European Innovation Council (EIC) for implementing actions under Pillar III ‘Innovative Europe’ which relates to the EIC. The EIC shall operate according to the following principles: focus on breakthrough and disruptive innovation, autonomy, ability to take risk, efficiency, effectiveness, transparency and accountability. |
|  | 2.     The EIC shall be open to all types of innovators from individuals to universities, research organisations and companies, startups, in particular SMEs and mid-caps and from single beneficiaries to multi-disciplinary consortia. At least 70 % of EIC budget shall be dedicated to innovative start-ups and SMEs. |
|  | 3.     The EIC Board and management features of the EIC are defined in Decision (EU)… [Specific Programme] and its annexes. |

Amendment 70

Proposal for a regulation

Article 8

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 8 | Article 8 |
| European Partnerships | European Partnerships |
| 1.   Parts of Horizon Europe may be implemented through European Partnerships. The involvement of the Union in European Partnerships may take any of the following forms: | 1.   Parts of Horizon Europe may be implemented through European Partnerships. The involvement of the Union in European Partnerships may take any of the following forms: |
| |  |  | | --- | --- | | (a) | participation in partnerships set up on the basis of memoranda of understanding and/or contractual arrangements between the Commission and the partners referred to in Article 2(3), specifying the objectives of the partnership, related commitments for financial and/or in-kind contributions of the partners, key performance and impact indicators, and outputs to be delivered. They include the identification of complementary research and innovation activities that are implemented by the partners and by the Programme (Co-programmed European Partnerships); | | |  |  | | --- | --- | | (a) | participation in partnerships set up on the basis of memoranda of understanding and/or contractual arrangements between the Commission and the partners referred to in Article 2(3), specifying the objectives of the partnership, related commitments for financial and/or in-kind contributions of the partners, key performance and impact indicators, and outputs to be delivered. They include the identification of complementary research and innovation activities that are implemented by the partners and by the Programme (Co-programmed European Partnerships); | |
| |  |  | | --- | --- | | (b) | participation in and financial contribution to a programme of research and innovation activities, based on the commitment of the partners for financial and in-kind contributions and integration of their relevant activities using a Programme co-fund action (Co-funded European Partnerships); | | |  |  | | --- | --- | | (b) | participation in and financial contribution to a programme of research and innovation activities, based on the commitment of the partners for financial and in-kind contributions and integration of their relevant activities using a Programme co-fund action (Co-funded European Partnerships); | |
| |  |  | | --- | --- | | (c) | participation in and financial  contribution  to research and innovation programmes undertaken by several Member States in accordance with Article 185 TFEU, or by bodies established pursuant to Article 187 TFEU, such as Joint Undertakings, or by the EIT Knowledge and Innovation Communities in compliance with the [EIT Regulation] (Institutionalised European Partnerships), to be implemented only where other forms of European Partnerships would not achieve the objectives or would not generate the necessary expected impacts, and if justified by a long-term perspective and high degree of integration including central management of all financial contributions. | | |  |  | | --- | --- | | (c) | participation in and financial  and/or in-kind contributions  to research and innovation programmes undertaken by several Member States in accordance with Article 185 TFEU, or by bodies established pursuant to Article 187 TFEU, such as Joint Undertakings, or by the EIT Knowledge and Innovation Communities in compliance with the [EIT Regulation] (Institutionalised European Partnerships), to be implemented only where other forms of European Partnerships would not achieve the objectives or would not generate the necessary expected impacts, and if justified by a long-term perspective and high degree of integration including central management of all financial contributions. | |
| 2.   European Partnerships shall: | 2.   European Partnerships shall: |
| |  |  | | --- | --- | | (a) | Be  established in cases where they will more effectively achieve objectives of Horizon Europe  than the Union alone ; | | |  |  | | --- | --- | | (a) | be  established  only  in cases where they will more effectively achieve objectives of Horizon Europe  when compared to other parts of the Framework programme ; | |
| |  |  | | --- | --- | | (b) | Adhere  to the principles of Union added value, transparency, openness, impact, leverage effect, long-term financial commitment of all the involved parties, flexibility, coherence and complementarity with Union, local, regional national and international initiatives; | | |  |  | | --- | --- | | (b) | adhere  to the principles of Union added value, transparency, openness, impact,  strong  leverage effect, long-term financial  and/or in-kind  commitment of all the involved parties, flexibility, coherence, and complementarity with Union, local, regional national and international initiatives; | |
| |  |  | | --- | --- | | (c) | Be  time limited and include conditions for phasing-out the Programme funding. | | |  |  | | --- | --- | | (c) | be  time limited and include conditions for phasing-out the Programme funding. | |
|  | 2 a.     All Partnerships shall be identified in Strategic R&I Plans, as referred to in Article 6 of and Annex III to the Framework Programme and Annex I to the Specific Programme, before being implemented in work programmes or work plans. |
| Provisions and criteria for their selection, implementation, monitoring, evaluation and phasing-out are set out in Annex III. | Provisions and criteria for their selection, implementation, monitoring, evaluation and phasing-out are set out in Annex III. |

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. | 1.   The financial envelope for the implementation of the Framework Programme for the period 2021 — 2027 shall be EUR  120 000 000 000 in 2018  prices for the specific programme referred to in Article 1(3)(a) and, in addition, the amount for the specific programme referred to in Article 1(3)(b), as laid down in Regulation…. establishing the European Defence Fund. |
| 2.   The indicative distribution of the amount referred to in paragraph 1, first half sentence, shall be: | 2.   The indicative distribution of the amount referred to in paragraph 1, first half sentence, shall be: |
| |  |  | | --- | --- | | (a) | EUR 25 800 000 000   for Pillar I ‘Open Science’ for the period 2021-2027, of which | | |  |  | | --- | --- | | (a) | 27,42  %  for Pillar I ' Excellent and ‘Open Science’  Open Science for the period 2021-2027, of which | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (1) | EUR 16 600 000 000   for the European Research Council; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (1) | 17,64  %  for the European Research Council; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (2) | EUR 6 800 000 000   for Marie Skłodowska-Curie Actions; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (2) | 7,23  %  for Marie Skłodowska-Curie Actions; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (3) | EUR 2 400 000 000   for research infrastructures; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (3) | 2,55  %  for research infrastructures; | | |
| |  |  | | --- | --- | | (b) | EUR 52 700 000 000   for Pillar II ‘Global Challenges and Industrial Competitiveness’ for the period 2021-2027, of which | | |  |  | | --- | --- | | (b) | 55,48  %  for Pillar II ‘Global Challenges and  European  Industrial Competitiveness’ for the period 2021-2027, of which | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (1) | EUR 7 700 000 000   for cluster ‘Health’; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (1) | 8,16  %  for cluster ‘Health’; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (2) | EUR 2 800 000 000   for cluster ‘Inclusive and  Secure  Society’; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (2) | 2,50  %  for cluster ‘Inclusive and  Creative  Society’; | | |
|  | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (2 a) | 2,00  % for cluster ‘Secure Societies’; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (3) | EUR 15 000 000 000   for cluster ‘Digital  and  Industry’; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (3) | 15,94  %  for cluster ‘Digital, Industry  and Space ’; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (4) | EUR 15 000 000 000   for cluster ‘Climate, Energy and Mobility’; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (4) | 15,84  %  for cluster ‘Climate, Energy and Mobility’; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (5) | EUR 10 000 000 000   for cluster ‘Food  and  Natural Resources’; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (5) | 9,00  %  for cluster ‘Food, Natural Resources  and Agriculture ’; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (6) | EUR 2 200 000 000 for the  non-nuclear direct actions of the Joint Research Centre (JRC); | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (6) | 2,04  % for  non-nuclear direct actions of the Joint Research Centre (JRC). | | |
| |  |  | | --- | --- | | (c) | EUR 13 500 000 000   for Pillar III ‘ Open Innovation ’ for the period 2021-2027, of which | | |  |  | | --- | --- | | (c) | 12,71  %  for Pillar III ‘ Innovative Europe ’ for the period 2021-2027, of which: | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (1) | EUR 10 500 000 000   for the European Innovation Council, including up to  EUR 500 000 000   for European Innovation Ecosystems; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (1) | 8,71  %  for the European Innovation Council  (EIC)  including up to  0,53  %  for European innovation ecosystems; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (2) | EUR 3 000 000 000   for the European Institute of Innovation and Technology (EIT); | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (2) | 4 %  for the European Institute of Innovation and Technology (EIT). | | |
| |  |  | | --- | --- | | (d) | EUR 2 100 000 000 for  Part ‘Strengthening the European Research Area’ for the period 2021-2027, of which | | |  |  | | --- | --- | | (d) | 4,39  % for the  Part ‘Strengthening the European Research Area’ with the following components: | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (1) | EUR 1 700 000 000 for ‘sharing  excellence’; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (1) | 4,00  % for Spreading  excellence  and widening participation across the Union ; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (2) | EUR 400 000 000 for ‘ reforming and enhancing the European R&I System’. | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (2) | 0,39  % for  reforming and enhancing the European R&I System. | | |
| 3.   In order to respond to unforeseen situations or to new developments and needs, the Commission may, within the annual budgetary procedure, deviate from the amounts referred to in paragraph 2 up to a maximum of 10 % . No such deviation shall be allowed in respect  of the  amounts referred to in points (b) (6) of paragraph 2 of this Article and the total amount set out for Part ‘Strengthening the European Research Area’ of paragraph 2 of this Article . | 3.   In order to respond to unforeseen situations or to new developments and needs, the Commission may, within the annual budgetary procedure, deviate from the amounts referred to in paragraph 2 up to a maximum of  10 %, including the allocation  of the  contributions from associated countries . |
|  | 3a.     As part of the general Union objective of mainstreaming climate actions and of spending 30 % of the Union budget in support of climate objectives, actions under the Programme shall contribute at least 35 % of the expenditure under the Programme to climate objectives where appropriate. |
|  | 3b.     At least EUR 2,5 billion shall be dedicated to grants for incremental innovation in SMEs according to the instrument referred to in Article 43a of this Regulation and in Annex I to the Decision. |
|  | 3c.     45 % of the budget of cluster ‘Inclusive and Creative Society’ shall support research on cultural and creative sectors, including the Union’s cultural heritage, that shall include EUR 300 million to be earmarked for the creation of a European Cultural Heritage Cloud, as set out in Annex I to the Specific Programme following an impact assessment to be presented to the European Parliament. |
|  | 3d.     At least EUR 1 billion shall aim to be dedicated to Quantum Research under the ‘Digital, Industry and Space’ cluster under Pillar II. |
| 4.   The amount referred to in paragraph 1, first half sentence, may also cover expenses for preparation, monitoring, control, audit, evaluation and other activities and expenditures necessary for managing and implementing the Programme, including all administrative expenditure, as well as evaluating the achievement of its objectives. It may moreover cover expenses relating to the studies, meetings of experts, information and communication actions, in so far as they are related to the objectives of the Programme, as well as expenses linked to information technology networks focusing on information processing and exchange, including corporate information technology tools and other technical and administrative assistance needed in connection with the management of the Programme. | 4.   The amount referred to in paragraph 1, first half sentence may also cover expenses for preparation, monitoring, control, audit, evaluation and other activities and expenditures necessary for managing and implementing the Programme, including all administrative expenditure, as well as evaluating the achievement of its objectives . Those expenses shall not exceed 5 % of the total amount under the Programme . It may moreover cover expenses relating to the studies, meetings of experts, information and communication actions, in so far as they are related to the objectives of the Programme, as well as expenses linked to information technology networks focusing on information processing and exchange, including corporate information technology tools and other technical and administrative assistance needed in connection with the management of the Programme. |
| 5.   If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses provided for in paragraph 4, to enable the management of actions not completed by 31 December 2027. | 5.   If necessary, appropriations may be entered in the budget beyond 2027 to cover the expenses provided for in paragraph 4, to enable the management of actions not completed by 31 December 2027. |
| 6.   Budgetary commitments for actions extending over more than one financial year may be broken down over several years into annual instalments. | 6.   Budgetary commitments for actions extending over more than one financial year may be broken down over several years into annual instalments. |
| 7.   Without prejudice to the Financial Regulation, expenditure for actions resulting from projects included in the first work programme may be eligible as from 1 January 2021. | 7.   Without prejudice to the Financial Regulation, expenditure for actions resulting from projects included in the first work programme may be eligible as from 1 January 2021. |
| 8.     Resources allocated to Member States under shared management and transferrable in accordance with Article 21 of Regulation (EU) XX […Common Provisions Regulation] may, at their request, be transferred to the Programme. The Commission shall implement those resources directly in accordance with point (a) of Article 62(1) of the Financial Regulation or indirectly in accordance with point (c) of that Article. Where possible, those resources shall be used for the benefit of the Member State concerned. |  |
| 9.     Horizon Europe is designed to be implemented in synergy with other Union funding programmes. A non-exhaustive list of synergies with other Union funding programmes is included in Annex IV. |  |

Amendment 72

Proposal for a regulation

Article 10

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 10 | Article 10 |
| Open access and open data | Open access and open data |
| 1.   Open access to scientific publications resulting from research funded under the Programme shall be ensured in accordance with Article 35(3). Open access to research data shall be ensured in line with the principle ‘as open as possible, as closed as necessary’.  Open access to other research outputs shall be encouraged. | 1.   Open access to scientific publications resulting from research funded under the Programme shall be ensured in accordance with Article 35(3). Open access to research data shall be ensured in line with the principle ‘as open as possible, as closed as necessary’. |
|  | 1 a.     Open access to research data shall recognise the need for different access regimes because of the Union’s economic interest, Intellectual Property Rights, personal data protection and confidentiality, security concerns and other legitimate interests, including the possibility for opt-out. Data management plans during the duration of the project shall be considered as eligible costs. |
|  | 1 b.     Reciprocal open access to scientific publications and research data shall be promoted internationally, taking into account the Union’s competitiveness and industrial interests. In particular, reciprocal open access shall be encouraged foreseen in all association agreements and in S&T cooperation agreements with third countries, including agreements signed by funding bodies entrusted for indirect management of the Programme. |
| 2.   Responsible management of research data shall be ensured in line with the principles ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’ (FAIR). | 2.   Responsible management of research data shall be ensured in line with the principles  of data ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’ (FAIR). |
| 3.   Open science practices beyond open access to research  outputs  and responsible management of research data shall be promoted. | 3.   Open science practices beyond open access to research  data and scientific publications  and responsible management of research data shall be promoted. |

Amendment 73

Proposal for a regulation

Article 11

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 11 | Article 11 |
| Complementary  and  combined funding | Complementary, combined  and cumulative  funding |
|  | 1.     Horizon Europe shall be implemented in synergy with other Union funding programmes while seeking maximal administrative simplification. A non-exhaustive list of synergies with other funding programmes is included in Annex IV. A The Horizon Europe single set of rules shall apply for an RDI co-funded action. |
| Actions awarded a Seal of Excellence certification, or which comply with the following cumulative, comparative, conditions: | 2.     The Seal of Excellence shall be awarded for all parts of the Programme.  Actions awarded a Seal of Excellence certification, or which comply with the following cumulative, comparative, conditions: |
| |  |  | | --- | --- | | (a) | they have been assessed in a call for proposals under the Programme; | | |  |  | | --- | --- | | (a) | they have been assessed in a call for proposals under the Programme; | |
| |  |  | | --- | --- | | (b) | they comply with the minimum quality requirements of that call for proposals; | | |  |  | | --- | --- | | (b) | they comply with the minimum quality requirements of that call for proposals; | |
| |  |  | | --- | --- | | (c) | they may not be financed under that call for proposals due to budgetary constraints, | | |  |  | | --- | --- | | (c) | they may not be financed under that call for proposals due to budgetary constraints, | |
| may receive support from the European Regional Development Fund, the Cohesion Fund, the European Social Fund+ or the European Agricultural Fund for Rural Development, in accordance with paragraph 5 of Article [67] of Regulation (EU) XX [Common Provisions Regulation] and Article [8] or Regulation (EU) XX [Financing, management and monitoring of the Common Agricultural Policy], provided that such actions are consistent with the objectives of the programme concerned. The rules of the Fund providing support shall apply. | may receive support  from national or regional funds, including  from the European Regional Development Fund, the Cohesion Fund, the European Social Fund+ or the European Agricultural Fund for Rural Development, in accordance with paragraph 5 of Article [67] of Regulation (EU) XX [Common Provisions Regulation] and Article [8] or Regulation (EU) XX [Financing, management and monitoring of the Common Agricultural Policy],  without requiring any further application and evaluation and  provided that such actions are consistent with the objectives of the programme concerned.  With the exception of state aid rules,  the rules of the Fund providing support shall apply. |
|  | 2 a.     In accordance with Article 21 of Regulation (EU) XX [… Common Provisions Regulation], the managing authority, on a voluntary basis, may request the transfer of parts of its financial allocations to Horizon Europe. Transferred resources shall be implemented in accordance with the rules of Horizon Europe. In addition, the Commission shall ensure that such transferred funds are earmarked entirely for programmes and/or projects which will be implemented in the Member State or region, as applicable, they originated from. |
|  | 2 b.     With prior authorisation from the applicants, the Commission shall include the allocations referred to in this Article in the information system on selected projects in order to allow for a fast exchange of information and enable financing authorities to provide funding to the selected actions. |
|  | An action that has received a contribution from another Union programme may also receive a contribution under the Programme, provided that the contributions do not cover the same costs. |

Amendment 74

Proposal for a regulation

Article 12

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 12 | Article 12 |
| Third countries associated to the Programme | Third countries associated to the Programme |
| 1.   The Programme shall be open to association of the following third countries: | 1.   The Programme shall be open to association of the following third countries: |
| |  |  | | --- | --- | | (a) | European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA), in accordance with the conditions laid down in the EEA agreement; | | |  |  | | --- | --- | | (a) | European Free Trade Association (EFTA) members which are members of the European Economic Area (EEA), in accordance with the conditions laid down in the EEA agreement; | |
| |  |  | | --- | --- | | (b) | acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; | | |  |  | | --- | --- | | (b) | acceding countries, candidate countries and potential candidates, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; | |
| |  |  | | --- | --- | | (c) | countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; | | |  |  | | --- | --- | | (c) | countries covered by the European Neighbourhood Policy, in accordance with the general principles and general terms and conditions for the participation of those countries in Union programmes established in the respective framework agreements and Association Council decisions, or similar agreements, and in accordance with the specific conditions laid down in agreements between the Union and those countries; | |
| |  |  | | --- | --- | | (d) | third countries and territories that fulfil all of the following criteria: | | |  |  | | --- | --- | | (d) | third countries and territories that fulfil all of the following criteria: | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | i. | a good capacity in science, technology and innovation; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | i. | a good capacity in science, technology and innovation; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | ii. | commitment to a rules-based open market economy, including fair and equitable dealing with intellectual property rights, backed by democratic institutions; | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | ii. | commitment to a rules-based open market economy, including fair and equitable dealing with intellectual property rights,  respect of human rights,  backed by democratic institutions; | | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | iii. | active promotion of policies to improve the economic and social well-being of citizens. | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | iii. | active promotion of policies to improve the economic and social well-being of citizens. | | |
| Association to the Programme of each of the third countries under point(d) shall be in accordance with the conditions laid down in a specific agreement covering the participation of the third country to any Union programme, provided that the agreement: | Full or partial  association to the Programme of each of the third countries under point (d) shall  be based on an assessment of the benefits for the Union. It shall in particular  be in accordance with the conditions laid down in a specific agreement covering the participation of the third country to any Union programme, provided that the agreement: |
| |  |  | | --- | --- | | — | ensures a fair balance as regards the contributions and benefits of the third country participating in the Union programmes; | | |  |  | | --- | --- | | — | ensures a fair balance as regards the contributions and benefits of the third country participating in the Union programmes; | |
|  | |  |  | | --- | --- | | — | confers the right to coordinate an action under the Programme provided that it benefits the Union and that the protection of Union’s financial interest is ensured; | |
| |  |  | | --- | --- | | — | lays down the conditions of participation in the  programmes,  including the calculation of financial contributions to individual programmes and their administrative costs. These contributions shall constitute assigned revenues in accordance with Article 21(5) of the Financial Regulation; | | |  |  | | --- | --- | | — | lays down the conditions of participation in the  Programme  including the calculation of financial contributions to individual  (sub-) programmes and their administrative costs. These contributions shall constitute assigned revenues in accordance with Article 21(5) of the Financial Regulation; | |
| |  |  | | --- | --- | | — | guarantees the rights of the Union to ensure sound financial management and to protect  its  financial interests. | | |  |  | | --- | --- | | — | guarantees the rights of the Union to ensure sound financial management and to protect  the Union’s  financial interests. | |
| 2.   The scope of association of each third country to the Programme shall take into account the objective of driving economic growth in the Union through innovation. Accordingly, with the exception of EEA members, acceding countries, candidate countries and potential candidates, parts of the Programme may be excluded from an association agreement for a specific country. | 2.   The scope of association of each third country to the Programme shall take into account the objective of driving economic growth in the Union through innovation  and shall avoid the brain drain from the Union . Accordingly, with the exception of EEA members, acceding countries, candidate countries and potential candidates,  mono-beneficiary  parts of the Programme may be excluded from an association agreement for a specific country , in particular those dedicated to private entities . |
| 3.   The association agreement shall, where appropriate, provide for  the  participation of legal entities established in the Union in equivalent programmes of associated countries in accordance with the conditions laid down therein. | 3.   The association agreement shall, where appropriate, provide for  and pursue reciprocal  participation of legal entities established in the Union in equivalent programmes of associated countries in accordance with the conditions laid down therein. |
| 4.   The conditions determining the level of financial contribution shall ensure an automatic correction of any  significant  imbalance compared to the amount that entities established in the associated country receive through participation in the Programme, taking into account the costs in the management, execution and operation of the Programme. | 4.   The  association agreement  conditions determining the level of financial contribution shall ensure an automatic correction , every two years  of any imbalance compared to the amount that entities established in the associated country receive through participation in the Programme, taking into account the costs in the management, execution and operation of the Programme. |
|  | 4 a.     The contributions of all associated countries shall be included in the relevant parts of the Programme provided that the budget breakdown as specified in Article 9, paragraph 2 is respected. The Commission shall report to the Council and the Parliament during the annual budgetary procedure the total budget of each part of the Programme, identifying each of the associated countries, individual contributions and their financial balance. |

Amendment 75

Proposal for a regulation

Article 14 — title

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Eligible actions | Eligible actions  and ethical principles |

Amendment 76

Proposal for a regulation

Article 15

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 15 | Article 15 |
| Ethics | Ethics |
| 1.   Actions carried out under the Programme shall comply with ethical principles and relevant national, Union and international legislation, including the Charter of Fundamental Rights of the European Union and the European Convention on Human Rights and its Supplementary Protocols. | 1.   Actions carried out under the Programme shall comply with ethical principles and relevant national, Union and international legislation, including the Charter of Fundamental Rights of the European Union and the European Convention on Human Rights and its Supplementary Protocols. |
|  | Particular attention shall be paid to the principle of proportionality, the right to privacy, the right to the protection of personal data, the right to the physical and mental integrity of a person, the right to non-discrimination and the need to ensure high levels of human health protection. |
| 2.   Entities participating in the action shall provide: | 2.   Entities participating in the action shall provide: |
| |  |  | | --- | --- | | (a) | an ethics self-assessment identifying and detailing all the foreseeable ethics issues related to the objective, implementation and likely impact of the activities to be funded, including a confirmation of compliance with paragraph 1, and a description of how it will be ensured; | | |  |  | | --- | --- | | (a) | an ethics self-assessment identifying and detailing all the foreseeable ethics issues related to the objective, implementation and likely impact of the activities to be funded, including a confirmation of compliance with paragraph 1, and a description of how it will be ensured; | |
| |  |  | | --- | --- | | (b) | a confirmation that the activities will comply with the European Code of Conduct for Research Integrity published by All European Academies and that no activities excluded from funding will be conducted; | | |  |  | | --- | --- | | (b) | a confirmation that the activities will comply with the European Code of Conduct for Research Integrity published by All European Academies and that no activities excluded from funding will be conducted; | |
| |  |  | | --- | --- | | (c) | for activities carried out outside the Union, a confirmation that the same activities would have been allowed in a Member State; and | | |  |  | | --- | --- | | (c) | for activities carried out outside the Union, a confirmation that the same activities would have been allowed in a Member State; and | |
| |  |  | | --- | --- | | (d) | for activities making use of human embryonic stem cells, as appropriate, details of licensing and control measures that shall be taken by the competent authorities of the Member States concerned as well as details of the ethics approvals that shall be obtained before the activities concerned start. | | |  |  | | --- | --- | | (d) | for activities making use of human embryonic stem cells, as appropriate, details of licensing and control measures that shall be taken by the competent authorities of the Member States concerned as well as details of the ethics approvals that shall be obtained before the activities concerned start. | |
| 3.   Proposals shall be systematically screened to identify those actions raising complex or serious ethics issues and submit them to an ethics assessment. The ethics assessment shall be carried out by the Commission unless it is delegated to the funding body. For actions involving the use of human embryonic stem cells or human embryos, an ethics assessment shall be mandatory. Ethics screenings and assessments shall be carried out with the support of ethics experts. The Commission and the funding bodies shall ensure the transparency of the ethics procedures  as much as possible . | 3.   Proposals shall be systematically screened to identify those actions raising complex or serious ethics issues and submit them to an ethics assessment. The ethics assessment shall be carried out by the Commission unless it is delegated to the funding body. For actions involving the use of human embryonic stem cells or human embryos, an ethics assessment shall be mandatory. Ethics screenings and assessments shall be carried out with the support of ethics experts. The Commission and the funding bodies shall ensure the transparency of the ethics procedures. |
| 4.   Entities participating in the action shall obtain all approvals or other mandatory documents from the relevant national, local ethics committees or other bodies such as data protection authorities before the start of the relevant activities. Those documents shall be kept on file and provided to the Commission or funding body upon request. | 4.   Entities participating in the action shall obtain all approvals or other mandatory documents from the relevant national, local ethics committees or other bodies such as data protection authorities before the start of the relevant activities. Those documents shall be kept on file and provided to the Commission or funding body upon request. |
| 5.   If appropriate, ethics checks shall be carried out by the Commission or funding body. For serious or complex ethics issues, the checks shall be carried out by the Commission unless it is delegated to the funding body. | 5.   If appropriate, ethics checks shall be carried out by the Commission or funding body. For serious or complex ethics issues, the checks shall be carried out by the Commission unless it is delegated to the funding body. |
| Ethics checks shall be carried out with the support of ethics experts. | Ethics checks shall be carried out with the support of ethics experts. |
| 6.   Actions which are not ethically acceptable  may  be rejected or terminated  at any time . | 6.   Actions which are not ethically acceptable  shall  be rejected or terminated  as soon as the ethical unacceptability has been established . |

Amendment 77

Proposal for a regulation

Article 16

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 16 | Article 16 |
| Security | Security |
| 1.   Actions carried out under the Programme shall comply with the applicable security rules and in particular rules on protection of classified information against unauthorised disclosure, including compliance with any relevant national and Union law. In case of research carried out outside the Union using and/or generating classified information, it is necessary that, in addition to the compliance with those requirements, a security agreement shall have to be concluded between the Union and the third country in which the research is conducted. | 1.   Actions carried out under the Programme shall comply with the applicable security rules and in particular rules on protection of classified information against unauthorised disclosure, including compliance with any relevant national and Union law. In case of research carried out outside the Union using and/or generating classified information, it is necessary that, in addition to the compliance with those requirements, a security agreement shall have to be concluded between the Union and the third country in which the research is conducted. |
| 2.   Where appropriate, proposals shall include a security self-assessment identifying any security issues and detailing how these issues will be addressed in order to meet the relevant national and Union law. | 2.   Where appropriate, proposals shall include a security self-assessment identifying any security issues and detailing how these issues will be addressed in order to meet the relevant national and Union law. |
| 3.   Where appropriate, the Commission or funding body shall carry out a security scrutiny for proposals raising security issues. | 3.   Where appropriate, the Commission or funding body shall carry out a security scrutiny for proposals raising security issues. |
| 4.   Where appropriate, the actions shall comply with Decision (EU, Euratom) 2015/444, and its implementing rules. | 4.   Where appropriate, the actions shall comply with Decision (EU, Euratom) 2015/444, and its implementing rules. |
| 5.   Entities participating in the action shall ensure the protection against unauthorised disclosure of classified information used and/or generated by the action. They shall provide proof of personal and/or facility security clearance from the relevant national security authorities, prior to the start of the activities concerned. | 5.   Entities participating in the action shall ensure the protection against unauthorised disclosure of classified information used and/or generated by the action. They shall provide proof of personal and/or facility security clearance from the relevant national security authorities, prior to the start of the activities concerned  on request by the Commission or a funding body . |
| 6.   If external experts have to deal with classified information, the appropriate security clearance shall be required before those experts are appointed. | 6.   If external experts have to deal with classified information, the appropriate security clearance shall be required before those experts are appointed. |
| 7.   Where appropriate, the Commission or funding body may carry out security checks. | 7.   Where appropriate, the Commission or funding body may carry out security checks. |
| 8.   Actions which do not comply with security rules may be rejected or terminated at any time. | 8.   Actions which do not comply with security rules may be rejected or terminated at any time. |

Amendment 78

Proposal for a regulation

Article 18

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 18 | Article 18 |
| Entities eligible for participation | Entities eligible for participation |
| 1.   Any legal entity, regardless of its place of establishment, or international organisation may participate in actions under the Programme, provided that the conditions laid down in this Regulation have been met together with any conditions laid down in the work programme or call. | 1.   Any legal entity, regardless of its place of establishment,  including legal entities from non-associated third countries  or international organisation may participate in actions under the Programme, provided that the conditions laid down in this Regulation have been met together with any conditions laid down in the work programme or call. |
| 2.   Entities shall be part of a consortium that shall include at least three independent legal entities each established in a different Member State  or  associated country and with at least  one  of them established in a Member State, unless: | 2.   Entities shall be part of a consortium that shall include at least three independent legal entities each established in a different Member State  including outermost regions or in an  associated country and with at least  two  of them established in a Member State, unless  the action is one referred to in paragraph 3 or 4; |
| |  |  | | --- | --- | | (a) | the work programme provides otherwise, if justified; | |  |
| |  |  | | --- | --- | | (b) | the action is one referred to in paragraphs 3 or 4. | |  |
| 3.   European Research Council (ERC) frontier research actions, European Innovation Council (EIC) actions, training and mobility actions or programme co-fund actions may be implemented by one or more legal entities, one of which must be established in a Member State or associated country. | 3.   European Research Council (ERC) frontier research actions, European Innovation Council (EIC) actions, training and mobility actions or programme co-fund actions may be implemented by one or more legal entities, one of which must be established in a Member State or  where applicable  associated country  as referred to in Article 12(1) . |
| 4.   Coordination and support actions may be implemented by one or more legal entities, which may be established in a Member State, associated country or in another third country. | 4.   Coordination and support actions may be implemented by one or more legal entities, which may be established in a Member State  or  associated country or in another third country. |
| 5.   For actions related to Union strategic assets, interests, autonomy or security, the work programme may provide that the participation can be limited to those legal entities established in Member States only, or to those legal entities established in specified associated or other third countries in addition to Member States. | 5.   For actions related to Union strategic assets, interests, autonomy or security, the work programme may provide that the participation can be limited to those legal entities established in Member States only, or to those legal entities established in specified associated or other third countries in addition to Member States. |
| 6.   The work programme may provide for eligibility criteria in addition to those set out in paragraphs 2, 3, 4, and 5 according to specific policy requirements or to the nature and objectives of the action, including the number of legal entities, the type of legal entity and the place of establishment. | 6.   The work programme may provide for eligibility criteria in addition to those set out in paragraphs 2, 3, 4, and 5 according to specific policy requirements or to the nature and objectives of the action, including the number of legal entities, the type of legal entity and the place of establishment. |
| 7.   For actions benefiting from amounts under Article  9(8) , the participation shall be limited to a single legal entity established in the jurisdiction of the delegating Managing Authority, except if otherwise agreed with the Managing Authority and provided for in the work programme. | 7.   For actions benefiting from amounts under Article  11 , the participation shall be limited to a single legal entity established in the jurisdiction of the delegating Managing Authority, except if otherwise agreed with the Managing Authority and provided for in the work programme. |
| 8.   Where indicated in the work programme, the Joint Research Centre may participate in actions. | 8.   Where indicated in the work programme, the Joint Research Centre may participate in actions |
| 9.     The Joint Research Centre, international European research organisations and legal entities created under Union law shall be deemed to be established in a Member State other than the ones in which other legal entities participating in the action are established. |  |
| 10.   For European Research Council (ERC) frontier research actions and training and mobility actions, international organisations with headquarters in a Member State or associated country shall be deemed to be established in this Member State or associated country. | 10.   For European Research Council (ERC) frontier research actions and training and mobility actions, international organisations with headquarters in a Member State or associated country shall be deemed to be established in this Member State or associated country. |

Amendment 79

Proposal for a regulation

Article 19

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 19 | Article 19 |
| Entities eligible for funding | Entities eligible for funding |
| 1.   Entities are eligible for funding if they are established in a Member State or associated country. | 1.   Entities are eligible for funding if they are established in a Member State or associated country  as referred to in Article 12 (1) . |
| For actions benefiting from amounts under Article  9(8) , only entities established in the jurisdiction of the delegating Managing Authority shall be eligible for funding out of these amounts. | For actions benefiting from amounts under Article  11(3) , only entities established in the jurisdiction of the delegating Managing Authority shall be eligible for funding out of these amounts. |
|  | 1 a.     Where applicable, international organisations shall be eligible for funding in an action if their headquarters are located in a Member State or in an associated country. |
|  | 1 b.     Low to middle income countries and exceptionally for other non-associated third countries they could be eligible for funding in an action if: |
|  | |  |  | | --- | --- | | (a) | the third country is identified in the work programme; and | |
|  | |  |  | | --- | --- | | (b) | the Commission or funding body consider that its participation is essential for implementing the action; | |
| 2.   Entities established in  a  non-associated third country should  in principle  bear the cost of their participation.  However, for low to middle income countries and exceptionally for other  non-associated third countries  they could be eligible for  funding  in an action if: | 2.   Entities established in  other  non-associated third countries should bear the cost of their participation.  R&D agreements between those  non-associated third countries  and the Union can be made wherever deemed useful, and co-funding mechanism similar to the ones agreed inside Horizon 2020 may be established. Those countries shall ensure reciprocal access for Union legal entities to those countries’ RDI  funding  programmes, as well as reciprocity in open access to scientific results and data and to fair and equitable terms for intellectual property rights. |
| |  |  | | --- | --- | | (a) | the third country is identified in the work programme adopted by the Commission; or | |  |
| |  |  | | --- | --- | | (b) | the Commission or funding body consider that its participation is essential for implementing the action; | |  |
| 3.   Affiliated entities are eligible for funding in an action if they are established in a Member State, Associated country , or in a third country identified in the work programme adopted by the Commission . | 3.   Affiliated entities are eligible for funding in an action if they are established in a Member State  or  Associated country. |
|  | 3 a.     The Commission shall report to the Parliament and the Council specifying, for each non-associated third country, the amount of the Union’s financial contributions provided to the participating entities and the amount of the financial contributions provided by the same country to Union entities participating in their activities. |

Amendment 80

Proposal for a regulation

Article 20

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 20 | Article 20 |
| Calls for proposals | Calls for proposals |
| 1.   For all actions , except for EIC Pathfinder transition activities,  the content of the calls for proposals shall be included in the work programme. | 1.   For all actions the content of the calls for proposals shall be included in the work programme. |
|  | The work programme shall explain why a particular action is to be funded with reference to the outcome of specific previous projects and to the state of science, technology and, innovation at national, Union and international level and of relevant policy, market and societal developments. |
| 2.     For EIC Pathfinder transition activities: |  |
| |  |  | | --- | --- | | (a) | the launch and the content of the calls for proposals shall be determined with regard to objectives and budget established by the work programme in relation with the concerned portfolio of actions; | |  |
| |  |  | | --- | --- | | (b) | grants for a fixed amount not exceeding EUR 50,000 may be awarded without a call for proposals to carry out urgent coordination and support actions for reinforcing the portfolio’s community of beneficiaries or assessing possible spin-offs or potential market creating-innovation. | |  |
| 3.   If necessary to achieve their objectives, calls may be restricted to develop additional activities or to add additional partners to existing actions. | 3.   If necessary to achieve their objectives, calls may be restricted to develop additional activities or to add additional partners to existing actions. |
| 4.   A call for proposals is not required for coordination and support actions or programme co-fund actions which: | 4.   A call for proposals is not required for coordination and support actions or programme co-fund actions which: |
| |  |  | | --- | --- | | (a) | are to be carried out by the Joint Research Centre or legal entities identified in the work programme and | | |  |  | | --- | --- | | (a) | are to be carried out by the Joint Research Centre or legal entities identified in the work programme and | |
| |  |  | | --- | --- | | (b) | do not fall within the scope of a call for proposals. | | |  |  | | --- | --- | | (b) | do not fall within the scope of a call for proposals. | |
| 5.   The work programme shall specify calls for which ‘Seals of Excellence’ will be awarded. With prior authorisation from the applicant, information concerning the application and the evaluation may be shared with interested financing authorities, subject to the conclusion of confidentiality agreements. | 5.   The work programme shall specify calls for which ‘Seals of Excellence’ will be awarded. With prior authorisation from the applicant, information concerning the application and the evaluation may be shared with interested financing authorities, subject to the conclusion of confidentiality agreements. |
|  | 5 a.     To tackle oversubscription, the Commission may apply, to a number of calls, a two-stage evaluation procedure. |

Amendment 81

Proposal for a regulation

Article 21

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 21 | Article 21 |
| Joint calls | Joint calls |
| The Commission or funding body may issue a joint call for proposals with: | The Commission or funding body may issue a joint call for proposals with: |
| |  |  | | --- | --- | | (a) | third countries, including their scientific and technological organisations or agencies; | | |  |  | | --- | --- | | (a) | third countries, including their scientific and technological organisations or agencies; | |
| |  |  | | --- | --- | | (b) | international organisations; | | |  |  | | --- | --- | | (b) | international organisations; | |
| |  |  | | --- | --- | | (c) | non-profit legal entities. | | |  |  | | --- | --- | | (c) | non-profit legal entities. | |
| In the case of a joint call, joint procedures shall be established for selection and evaluation of proposals. The procedures shall involve a balanced group of experts appointed by each party. | In the case of a joint call,  applying consortia shall fulfil the requirements under Article 18 of this Regulation and  joint procedures shall be established for selection and evaluation of proposals. The procedures shall involve a balanced group of experts appointed by each party. |

Amendment 82

Proposal for a regulation

Article 22

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 22 | Article 22 |
| Pre-commercial procurement and procurement of innovative solutions | Pre-commercial procurement and procurement of innovative solutions |
| 1.   Actions may involve or have as their primary aim pre-commercial procurement or public procurement of innovative solutions that shall be carried out by beneficiaries which are contracting authorities or contracting entities as defined in Directives 2014/24/EU[(31)](#ntr31-C_2020388EN.01034801-E0025), 2014/25/EU[(32)](#ntr32-C_2020388EN.01034801-E0026) and 2009/81/EC[(33)](#ntr33-C_2020388EN.01034801-E0027). | 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)](#ntr31-C_2020388EN.01034801-E0028), 2014/25/EU[(32)](#ntr32-C_2020388EN.01034801-E0029) and 2009/81/EC[(33)](#ntr33-C_2020388EN.01034801-E0030). |
| 2.   The procurement procedures: | 2.   The procurement procedures: |
| |  |  | | --- | --- | | (a) | shall comply with the principles of transparency, non- discrimination, equal treatment, sound financial management, proportionality and competition rules; | | |  |  | | --- | --- | | (a) | shall comply with the principles of transparency, non- discrimination, equal treatment, sound financial management, proportionality and competition rules; | |
| |  |  | | --- | --- | | (b) | for pre-commercial procurement, may provide for specific conditions such as the place of performance of the procured activities being limited to the territory of the Member States and of associated countries; | | |  |  | | --- | --- | | (b) | for pre-commercial procurement,  a simplified and/or accelerated procedure may be used, and  may provide for specific conditions such as the place of performance of the procured activities being limited to the territory of the Member States and of Associated countries; | |
| |  |  | | --- | --- | | (c) | may authorise the award of multiple contracts within the same procedure (multiple sourcing); and | | |  |  | | --- | --- | | (c) | may authorise the award of multiple contracts within the same procedure (multiple sourcing); and | |
| |  |  | | --- | --- | | (d) | shall provide for the award of the contracts to the tender(s) offering best value for money while ensuring absence of conflict of interest. | | |  |  | | --- | --- | | (d) | shall provide for the award of the contracts to the tender(s) offering best value for money while ensuring absence of conflict of interest. | |
| 3.   The contractor generating results in pre-commercial procurement shall own at least the attached intellectual property rights. The contracting authorities shall enjoy  at least  royalty-free access rights to the results for their own use  and the right to grant, or require the participating contractors to grant, non-exclusive licences to third parties to exploit the results for the contracting authority under fair and reasonable conditions without any right to sub-license . If a contractor fails to commercially exploit the results within a given period after the pre-commercial procurement as identified in the contract, the contracting authorities can require it to transfer any ownership of the results to the contracting authorities. | 3.   The contractor generating results in pre-commercial procurement shall own at least the attached intellectual property rights. The contracting authorities shall enjoy royalty-free access rights to the results for their own use. If a contractor fails to commercially exploit the results within a given period after the pre-commercial procurement as identified in the contract, the contracting authorities  shall consult with the contractor and investigate the reasons for such lack of exploitation. After such consultation, the contracting authority  can require it to transfer any ownership of the results to the contracting authorities. |
|  | 3 a.     Specific provisions regarding ownership, access rights and licensing may be laid down in the contracts for public procurement of innovative solutions. |
|  |  |

Amendment 83

Proposal for a regulation

Article 23

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 23 | deleted |
| Cumulative funding |  |
| An action that has received a contribution from another Union programme may also receive a contribution under the Programme, provided that the contributions do not cover the same costs. The rules of each contributing Union programme shall apply to its respective contribution to the action. The cumulative funding shall not exceed the total eligible costs of the action and the support from different Union programmes may be calculated on a pro-rata basis in accordance with the documents setting out the conditions for support. |  |

Amendment 84

Proposal for a regulation

Article 24 — title

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Selection criteria | Financial capacity of applicants |

Amendment 85

Proposal for a regulation

Article 25

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 25 | Article 25 |
| Award criteria | Selection and  award criteria |
| 1.   A proposal shall be evaluated on the basis of the following award criteria: | 1.   A proposal shall be evaluated on the basis of the following award criteria: |
| |  |  | | --- | --- | | (a) | excellence; | | |  |  | | --- | --- | | (a) | excellence; | |
| |  |  | | --- | --- | | (b) | impact; | | |  |  | | --- | --- | | (b) | impact; | |
| |  |  | | --- | --- | | (c) | quality and efficiency of the implementation. | | |  |  | | --- | --- | | (c) | quality and efficiency of the implementation. | |
| 2.   Only the criterion referred to in point (a) of paragraph 1 shall apply to proposals for ERC frontier research actions. | 2.   Only the criterion referred to in point (a) of paragraph 1 shall apply to proposals for ERC frontier research actions.  Only in cases when two or more excellent projects obtain the same ranking, the differentiation shall be made by applying the criteria referred to in point (b) or point (c) of paragraph 1. |
| 3.   The work programme shall lay down further details of the application of the award criteria laid down in paragraph 1 , and may specify weightings and  thresholds. | 3.   The work programme shall lay down further details of the application of the award criteria laid down in paragraph 1  including any weighting,  thresholds  and rules for dealing with ex-aequo proposals, taking into consideration the objectives of the call for proposals .  The conditions for dealing with ex-aequo proposals may include, but not limited to the following criteria: SMEs, gender, widening countries participants; |
|  | 3 a.     The Commission shall take into account the possibility of a two-stage submission procedure and where possible, anonymised proposals may be evaluated during the first stage of evaluation based on the award criteria referred to in paragraph 1. |

Amendment 86

Proposal for a regulation

Article 26

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 26 | Article 26 |
| Evaluation | Evaluation |
| 1.   Proposals shall be evaluated by the evaluation committee which  may  be: | 1.   Proposals shall be evaluated by the evaluation committee which  shall  be: |
| |  |  | | --- | --- | | — | fully or partially  composed of external independent experts, | | |  |  | | --- | --- | | — | composed of external independent experts. | |
| |  |  | | --- | --- | | — | composed of  representatives of Union Institutions or bodies as referred to in Article 150 of the Financial Regulation. | | In the case of the EIC and missions, the evaluation committee may also include  representatives of Union Institutions or bodies as referred to in Article 150 of the Financial Regulation. |
| The evaluation committee may be assisted by independent experts. | The evaluation committee may be assisted by independent experts. |
| 2.   Where necessary, the evaluation committee shall rank the proposals having passed the applicable thresholds, according to: | 2.   Where necessary, the evaluation committee shall rank the proposals having passed the applicable thresholds, according to: |
| |  |  | | --- | --- | | — | the evaluation scores, | | |  |  | | --- | --- | | — | the evaluation scores, | |
| |  |  | | --- | --- | | — | their contribution to the achievement of specific policy objectives, including the constitution of a consistent portfolio of projects. | | |  |  | | --- | --- | | — | their contribution to the achievement of specific policy objectives, including the constitution of a consistent portfolio of projects. | |
| The evaluation committee may  also  propose  any substantial  adjustments to the proposals in as far as needed for the consistency of the portfolio. | The evaluation committee may  only exceptionally and in duly justified cases  propose adjustments to the proposals in as far as needed for the consistency of the portfolio. |
|  | 2 a.     The evaluation process shall avoid any conflict of interest and reputation bias. The transparency of the evaluation criteria and of the proposal scoring shall be guaranteed. |

Amendment 87

Proposal for a regulation

Article 27

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 27 | Article 27 |
| Evaluation review procedure | Evaluation review procedure , enquiries and complaints |
| 1.   An applicant may request an evaluation review if it considers that the applicable evaluation procedure has not been correctly applied to its proposal. | 1.   An applicant may request an evaluation review if it considers that the applicable evaluation procedure has not been correctly applied to its proposal. |
| 2.   An evaluation review applies only to the procedural aspects of the evaluation, not to the evaluation of the merits of the proposal. | 2.   An evaluation review applies only to the procedural aspects of the evaluation, not to the evaluation of the merits of the proposal. |
|  | 2 a.     A request for review shall relate to a specific proposal and shall be submitted within 30 days after the communication of evaluation results. The review committee shall be chaired by and composed of representatives who were not involved in the call for proposals. The committee shall decide whether the proposal needs to be re-evaluated or the initial evaluation is confirmed. It shall do so without undue delay, without compromising the selection possibilities. |
| 3.   An evaluation review shall not delay the selection process for proposals that are not the subject of review. | 3.   An evaluation review shall not delay the selection process for proposals that are not the subject of review. |
|  | 3 a.     The Commission shall ensure the existence of a procedure for participants to make direct e  nquiries and complaints about their involvement in Horizon Europe. Information on how to register enquiries or complaints shall be made available on-line. |

Amendment 88

Proposal for a regulation

Article 28

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 28 | Article 28 |
| Time to grant | Time to grant |
| 1.   By derogation from the first subparagraph of Article 194(2) of the Financial Regulation, the following periods shall apply: | 1.   By derogation from the first subparagraph of Article 194(2) of the Financial Regulation, the following periods shall apply: |
| |  |  | | --- | --- | | (a) | for informing all applicants of the outcome of the evaluation of their application, a maximum period of five months from the final date for submission of complete proposals; | | |  |  | | --- | --- | | (a) | for informing all applicants of the outcome of the evaluation of their application, a maximum period of five months from the final date for submission of complete proposals; | |
| |  |  | | --- | --- | | (b) | for signing grant agreements with applicants, a maximum period of eight months from the final date for submission of complete proposals. | | |  |  | | --- | --- | | (b) | for signing grant agreements with applicants, a maximum period of eight months from the final date for submission of complete proposals; | |
|  | |  |  | | --- | --- | | (b a) | for the specific grant signed under Fast Track to Research and Innovation, a maximum period of six months from the final date for submission of complete proposals. | |
|  | Time to grant shall not affect the quality of evaluation. |
| 2.   The work programme for the EIC may establish shorter periods. | 2.   The work programme for the EIC may establish shorter periods. |
| 3.   In addition to the exceptions laid down in the second subparagraph of Article 194(2) of the Financial Regulation, the periods referred to in paragraph 1 may be exceeded for actions of the ERC, for missions and when actions are submitted to an ethics or security assessment. | 3.   In addition to the exceptions laid down in the second subparagraph of Article 194(2) of the Financial Regulation, the periods referred to in paragraph 1 may be exceeded for actions of the ERC, for missions and when actions are submitted to an ethics or security assessment. |

Amendment 89

Proposal for a regulation

Article 29

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 29 | Article 29 |
| Implementation of the grant | Implementation of the grant |
| 1.   If a beneficiary fails to comply with its obligations regarding the technical implementation of the action, the other beneficiaries shall comply with those obligations without any additional Union funding, unless they are expressly relieved of that obligation. The financial responsibility of each beneficiary shall be limited to its own debt subject to the provisions relating to the Mutual Insurance Mechanism. | 1.   If a beneficiary fails to comply with its obligations regarding the technical implementation of the action, the other beneficiaries shall comply with those obligations without any additional Union funding, unless they are expressly relieved of that obligation. The financial responsibility of each beneficiary shall be limited to its own debt subject to the provisions relating to the Mutual Insurance Mechanism. |
| 2.   The grant agreement may establish milestones and related pre-financing installments. If milestones are not met, the action may be suspended, amended or terminated. | 2.   The grant agreement may establish milestones and related pre-financing installments. If milestones are not met, the action may be suspended, amended , in case no corrective action is found,  or terminated , upon evaluation by independent experts . |
| 3.   The action may also be terminated where expected results have lost their relevance for the Union due to scientific, technological or economic reasons, including in the case of EIC and missions, their relevance as part of a portfolio of actions. | 3.   The action may also be terminated where expected results  and/or milestones  have lost their relevance for  both  the Union  and the beneficiaries  due to scientific, technological or economic reasons, including in the case of EIC and missions, their relevance as part of a portfolio of actions.  The Commission shall undergo a procedure with the action coordinator and if appropriate with external experts before deciding to terminate an action. |

Amendment 90

Proposal for a regulation

Article 30

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 30 | Article 30 |
| Funding rates | Funding rates |
| 1.   A single funding rate per action shall apply for all activities it funds. The maximum rate shall be fixed in the work programme. | 1.   A single funding rate per action shall apply for all activities it funds. The maximum rate  per action  shall be fixed in the work programme. |
| 2.   The Programme may reimburse up to 100 % of total eligible costs of an action, except for: | 2.   The Programme may reimburse up to 100 % of total eligible costs of an action, except for: |
| |  |  | | --- | --- | | (a) | innovation actions: up to 70 % of the total eligible costs, except for non-profit legal entities where the Programme may reimburse up to 100 % of the total eligible costs; | | |  |  | | --- | --- | | (a) | innovation actions: up to 70 % of the total eligible costs, except for non-profit legal entities, where the Programme may reimburse up to 100 % of the total eligible costs; | |
| |  |  | | --- | --- | | (b) | programme co-fund actions: at least 30 % of the total eligible costs, and in identified and duly justified cases up to 70 %. | | |  |  | | --- | --- | | (b) | programme co-fund actions: at least 30 % of the total eligible costs, and in identified and duly justified cases up to 70 %. | |
| 3.   The funding rates determined in this Article shall also apply for actions where flat rate, unit or lump sum financing is fixed for the whole or part of the action. | 3.   The funding rates determined in this Article shall also apply for actions where flat rate, unit or lump sum financing is fixed for the whole or part of the action. |

Amendment 91

Proposal for a regulation

Article 31

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 31 | Article 31 |
| Indirect costs | Indirect costs |
| 1.   Indirect eligible costs shall be determined by applying a flat rate of 25 % of the total direct eligible costs, excluding direct eligible costs for subcontracting, financial support to third parties and any unit costs or lump sums which include indirect costs. | 1.   Indirect eligible costs shall be determined by applying a flat rate of 25 % of the total direct eligible costs, excluding direct eligible costs for subcontracting, financial support to third parties and any unit costs or lump sums which include indirect costs. |
| Where appropriate, indirect costs included in unit costs or lump sums shall be calculated using the flat rate set out in paragraph 1, except for unit costs for internally invoiced goods and services which shall be calculated on the basis of actual costs, in accordance with the beneficiaries' usual costs accounting practices. | Where appropriate, indirect costs included in unit costs or lump sums shall be calculated using the flat rate set out in paragraph 1, except for unit costs for internally invoiced goods and services which shall be calculated on the basis of actual costs  allowing for allocation keys , in accordance with the beneficiaries' usual costs accounting practices. |
| 2.   However, if provided for in the work programme, indirect costs may be declared in the form of a lump sum or unit costs. | 2.   However, if provided for in the work programme, indirect costs may be declared in the form of a lump sum or unit costs. |

Amendment 92

Proposal for a regulation

Article 32

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 32 | Article 32 |
| Eligible costs | Eligible costs |
| 1.   In addition to the criteria set out in Article 197 of the Financial Regulation, for beneficiaries with project-based remuneration, costs of personnel are eligible up to the remuneration that the person is paid for work in similar projects funded by national schemes. | 1.   In addition to the criteria set out in Article 197 of the Financial Regulation, for  the  beneficiaries with project-based remuneration, costs of personnel are eligible up to the remuneration that the person is paid for work in similar projects funded by national schemes.  Limited to the duration of this Programme, in Member States eligible for widening actions, the hourly costs of personnel shall be eligible to a level representing 1,25 times the national level for hourly remuneration applied for RDI projects funded under national schemes. |
| Project-based remuneration means remuneration that is linked to the participation of a person in projects, is part of the beneficiary’s usual remuneration practices and is paid in a consistent manner. | Project-based remuneration means remuneration that is linked to the participation of a person in projects, is part of the beneficiary’s usual remuneration practices and is paid in a consistent manner. |
| 2.   By derogation from Article 190(1) of the Financial Regulation, costs of resources made available by third parties by means of in-kind contributions shall be eligible, up to the direct eligible costs of the third party. | 2.   By derogation from Article 190(1) of the Financial Regulation, costs of resources made available by third parties by means of in-kind contributions shall be eligible, up to the direct eligible costs of the third party. |
| 3.   By derogation from Article 192 of the Financial Regulation, income generated by the exploitation of the results shall not be considered as receipts of the action. | 3.   By derogation from Article 192 of the Financial Regulation, income generated by the exploitation of the results shall not be considered as receipts of the action. |
|  | 3 a.     Beneficiaries may use their usual accounting practices to identify and declare the costs incurred in relation to an action. The Commission may specify a limited number of additional eligibility conditions in order to ensure the sound management of the grant. The Commission shall not reject accounting practices if their outcomes do not differ from its own and if they offer the same level of protection of the Union’s financial interests. |
| 4.   By derogation from Article 203(4) of the Financial Regulation, a certificate on the financial statements shall be mandatory at payment of the balance, if the amount claimed as actual costs and unit costs calculated in accordance with usual cost accounting practices is equal to or greater than EUR 325 000 . | 4.   By derogation from Article 203(4) of the Financial Regulation, a certificate on the financial statements shall be mandatory at payment of the balance, if the amount claimed as actual costs and unit costs calculated in accordance with usual cost accounting practices is equal to or greater than EUR 325 000 . |
|  | Certificates on financial statements may be issued by a competent and independent public officer empowered by the relevant national authorities to audit the beneficiary or by an independent auditor qualified to carry out statutory audits of accounting documents in accordance with Directive 2006/43/EC. |
|  | 4 a.     By derogation from Article 186(1) of the Financial Regulation, for the MSCA training and mobility actions, exclusively in the event of maternity or parental leave during the lifetime of the grant, the maximum grant amount shall be increased by the allowances due to the researcher in this respect. |
|  | 4 b.     Costs generated by the responsible management of research data in line with the principles ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’(FAIR) shall be eligible. |

Amendment 93

Proposal for a regulation

Article 33

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 33 | Article 33 |
| Mutual Insurance Mechanism | Mutual Insurance Mechanism |
| 1.   A Mutual Insurance Mechanism (the ‘Mechanism’) is hereby established which shall replace and succeed the fund set up in accordance with Article 38 of Regulation (EC) No 1290/2013. The Mechanism shall cover the risk associated with non-recovery of sums due by the beneficiaries: | 1.   A Mutual Insurance Mechanism (the ‘Mechanism’) is hereby established which shall replace and succeed the fund set up in accordance with Article 38 of Regulation ( EU ) No 1290/2013. The Mechanism shall cover the risk associated with non-recovery of sums due by the beneficiaries: |
| |  |  | | --- | --- | | (a) | to the Commission under Decision No 1982/2006/EC, | | |  |  | | --- | --- | | (a) | to the Commission under Decision No 1982/2006/EC, | |
| |  |  | | --- | --- | | (b) | to the Commission and Union bodies under ‘Horizon 2020’, | | |  |  | | --- | --- | | (b) | to the Commission and Union bodies under ‘Horizon 2020’, | |
| |  |  | | --- | --- | | (c) | to the Commission and funding bodies under the Programme. | | |  |  | | --- | --- | | (c) | to the Commission and funding bodies under the Programme. | |
| The coverage of the risk regarding funding bodies referred to in point (c) of the first subparagraph may be implemented through an indirect coverage system set out in the applicable agreement and taking into account the nature of the funding body. | The coverage of the risk regarding funding bodies referred to in point (c) of the first subparagraph may be implemented through an indirect coverage system set out in the applicable agreement and taking into account the nature of the funding body. |
| 2.   The Mechanism shall be managed by the Union, represented by the Commission acting as executive agent. The Commission shall set up specific rules for the operation of the Fund. | 2.   The Mechanism shall be managed by the Union, represented by the Commission acting as executive agent. The Commission shall set up specific rules for the operation of the Fund. |
| 3.   Beneficiaries shall make a contribution of 5 % of the Union funding for the action. On the basis of  periodic  evaluations, this contribution may be raised by the Commission up to 8 % or may be reduced under 5 %. The beneficiaries' contribution to the Mechanism may be offset from the initial pre-financing and be paid to the Fund on behalf of the beneficiaries. | 3.   Beneficiaries shall make a contribution of 5 % of the Union funding for the action. On the basis of  transparent  evaluations  carried out annually , this contribution may be raised by the Commission up to 8 % or may be reduced under 5 %. The beneficiaries' contribution to the Mechanism may be offset from the initial pre-financing and be paid to the Fund on behalf of the beneficiaries. |
| 4.   The contribution of the beneficiaries shall be returned at the payment of the balance. | 4.   The contribution of the beneficiaries shall be returned at the payment of the balance. |
| 5.   Any financial return generated by the Mechanism shall be added to the Mechanism. If the return is insufficient, the Mechanism shall not intervene and the Commission or funding body shall recover directly from beneficiaries or third parties any amount owed. | 5.   Any financial return generated by the Mechanism shall be added to the Mechanism. If the return is insufficient, the Mechanism shall not intervene and the Commission or funding body shall recover directly from beneficiaries or third parties any amount owed. |
| 6.   The amounts recovered shall constitute revenue assigned to the Mechanism within the meaning of Article 21(4) of the Financial Regulation. Once all grants whose risk is covered directly or indirectly by the Mechanism are completed, any sums outstanding shall be recovered by the Commission and entered into the budget of the Union , subject to decisions of the legislative authority . | 6.   The amounts recovered shall constitute revenue assigned to the Mechanism within the meaning of Article 21(4) of the Financial Regulation. Once all grants whose risk is covered directly or indirectly by the Mechanism are completed, any sums outstanding shall be recovered by the Commission and entered into the budget of the Union. |
| 7.   The Mechanism may be  opened  to beneficiaries of any other directly managed Union programme. The Commission shall adopt modalities for participation of beneficiaries of other programmes. | 7.   The Mechanism may be  extended  to beneficiaries of any other directly managed Union programme. The Commission shall adopt modalities for participation of beneficiaries of other programmes. |

Amendment 94

Proposal for a regulation

Article 34

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 34 | Article 34 |
| Ownership and protection | Ownership and protection |
| 1.   Beneficiaries shall own the results they generate. They shall ensure that any rights of their employees or any other parties in relation to the results can be exercised in a manner compatible with the beneficiaries’ obligations in accordance with the terms and conditions laid down in the grant agreement. | 1.   Beneficiaries shall own the results they generate. They shall ensure that any rights of their employees or any other parties in relation to the results can be exercised in a manner compatible with the beneficiaries’ obligations in accordance with the terms and conditions laid down in the grant agreement. |
| Two or more beneficiaries shall own results jointly if: | Two or more beneficiaries shall own results jointly if: |
| |  |  | | --- | --- | | (a) | they have jointly generated them; and | | |  |  | | --- | --- | | (a) | they have jointly generated them; and | |
| |  |  | | --- | --- | | (b) | it is not possible to: | | |  |  | | --- | --- | | (b) | it is not possible to: | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (i) | establish the respective contribution of each beneficiary, | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (i) | establish the respective contribution of each beneficiary, | | |
| |  |  | | --- | --- | |  | or | | |  |  | | --- | --- | |  | or | |
| |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (ii) | separate them when applying for, obtaining or maintaining their protection. | | | |  |  |  |  | | --- | --- | --- | --- | |  | |  |  | | --- | --- | | (ii) | separate them when applying for, obtaining or maintaining their protection. | | |
| The joint owners shall agree in writing on the allocation and terms of exercise of their joint ownership. Unless otherwise agreed, each joint owner may grant non-exclusive licences to third parties to exploit the jointly-owned results (without any right to sub-license), if the other joint owners are given advance notice and fair and reasonable compensation. The joint owners may agree in writing to apply another regime than joint ownership. | The joint owners shall agree in writing on the allocation and terms of exercise of their joint ownership. Unless otherwise agreed  in the Consortium Agreement and/or in the joint ownership agreement , each joint owner may grant non-exclusive licences to third parties to exploit the jointly-owned results (without any right to sub-license), if the other joint owners are given advance notice and fair and reasonable compensation. The joint owners may agree in writing to apply another regime than joint ownership. |
| 2.   Beneficiaries having received Union funding shall adequately protect their results if protection is possible and justified, taking into account all relevant considerations, including the prospects for commercial exploitation. When deciding on protection, beneficiaries shall also consider the legitimate interests of the other beneficiaries in the action. | 2.   Beneficiaries having received Union funding shall adequately protect their results if protection is possible and justified, taking into account all relevant considerations, including the prospects for commercial exploitation  and other legitimate interests such as data protection rules, privacy, intellectual property rights and security rules, coupled with the global economic competitiveness of the Union . When deciding on protection, beneficiaries shall also consider the legitimate interests of the other beneficiaries in the action. |

Amendment 95

Proposal for a regulation

Article 35

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 35 | Article 35 |
| Exploitation and dissemination | Exploitation and dissemination |
| 1.   Beneficiaries having received Union funding shall  use  their best efforts to exploit their results,  in particular  in the Union. Exploitation may be done directly by the beneficiaries or indirectly in particular through the transfer and licensing of results in accordance with Article 36. | 1.   Beneficiaries having received Union funding shall  make  their best efforts to exploit their results,  especially  in the Union. Exploitation may be done directly by the beneficiaries or indirectly in particular through the transfer and licensing of results in accordance with Article 36. |
| The work programme may provide for additional exploitation obligations. | The work programme may provide for additional exploitation obligations. |
| If despite a beneficiary's best efforts to exploit its results directly or indirectly no exploitation takes place within a given period as identified in the grant agreement , the beneficiary shall use an appropriate online platform as identified in the grant  agreement  to find interested parties to exploit those results . If justified on the basis of a request of the beneficiary, this obligation may be waived. | If despite a beneficiary's best efforts to exploit its results directly or indirectly no exploitation takes place within a given period as identified in the grant agreement  and as outlined in its Dissemination and Exploitation Plan, the exploitation activities may be transferred to another party upon  agreement  with the beneficiaries . If justified on the basis of a request of the beneficiary, this obligation may be waived. |
| 2.   Subject to any restrictions due to the protection of intellectual property, security rules or legitimate interests , beneficiaries shall disseminate their results as soon as possible . | 2.    Beneficiaries shall disseminate their results as soon as possible, in an open format,  subject to any restrictions due to the protection of intellectual property, security rules or legitimate interests. |
| The work programme may provide for additional dissemination obligations. | The work programme may provide for additional dissemination obligations  while safeguarding the Union’s economic and scientific interests . |
| 3.   Beneficiaries shall ensure that open access to scientific publications applies under the terms and conditions laid down in the grant agreement. In particular, the beneficiaries shall ensure that they or the authors retain sufficient intellectual property rights to comply with  their  open access requirements. | 3.   Beneficiaries shall ensure that open access to scientific publications applies under the terms and conditions laid down in the grant agreement. In particular, the beneficiaries shall ensure that they or the authors retain sufficient intellectual property rights to comply with  FAIR  open access requirements. |
| Open access to research data  shall be the general rule under the  terms and conditions  laid down in the grant agreement, but  exceptions shall apply if justified, taking into consideration the legitimate interests of the beneficiaries and any other constraints, such as data protection rules, security rules or intellectual property rights. | With regard to the dissemination of research data, the grant agreement shall, in the context of FAIR  open access to  and the preservation of  research data , lay down  terms and conditions  under which fair access to such results shall be provided, ensuring opt-outs following the principle ‘as open as possible, as closed as necessary’.  Exceptions shall apply if justified, taking into consideration the legitimate interests of the beneficiaries and any other constraints, such as data protection rules,  privacy, confidentiality,  security rules , trade secrets, legitimate commercial interests  or intellectual property rights  or Union’s external competitiveness . |
| The work programme may provide for additional  obligations  to adhere to open science practices. | The work programme may provide for additional  incentives  to adhere to open science practices. |
| 4.   Beneficiaries shall manage all research data in accordance with the terms and conditions laid down in the grant agreement and shall establish a Data Management Plan. | 4.   Beneficiaries shall manage all research data  generated in a Horizon Europe action  in accordance with the terms and conditions laid down in the grant agreement and shall establish a Data Management Plan. |
| The work programme may  provide for additional obligations to  use the European Open Science Cloud for storing and giving access to research data. | The work programme may  further encourage the  use the European Open Science Cloud for storing and giving access to research data. |
| 5.   Beneficiaries that intend to disseminate their results shall give advance notice to the other beneficiaries in the action. Any other beneficiary may object if it can show that the intended dissemination would significantly harm its legitimate interests in relation to its results or background. In such cases, the dissemination may not take place unless appropriate steps are taken to safeguard these legitimate interests. | 5.   Beneficiaries that intend to disseminate their results shall give advance notice to the other beneficiaries in the action. Any other beneficiary may object if it can show that the intended dissemination would significantly harm its legitimate interests in relation to its results or background. In such cases, the dissemination may not take place unless appropriate steps are taken to safeguard these legitimate interests. |
| 6.   Unless the work programme provides otherwise, proposals shall include a plan for the exploitation and dissemination of the results. If the expected exploitation entails developing, creating, manufacturing and marketing a product or process, or in creating and providing a service, the plan shall include a strategy for such exploitation. If the plan provides for exploitation primarily in non-associated third countries, the legal entities shall  explain  how that exploitation is still in the Union interest. | 6.   Unless the work programme provides otherwise, proposals shall include a plan for the exploitation and dissemination of the results. If the expected exploitation entails developing, creating, manufacturing and marketing a product or process, or in creating and providing a service, the plan shall include a strategy for such exploitation. If the plan provides for exploitation primarily in non-associated third countries, the legal entities shall  justify  how that exploitation is still in the Union interest. |
| The beneficiaries  shall  further develop the plan during  and after the end of  the action. | The beneficiaries  may  further develop the plan during the action , including through public engagement and science education . |
| 7.   For the purposes of monitoring and dissemination by the Commission or funding body, the beneficiaries shall provide any requested information regarding the exploitation and dissemination of their results. Subject to the legitimate interests of the beneficiaries, such information shall be made publicly available. | 7.   For the purposes of monitoring and dissemination by the Commission or funding body, the beneficiaries shall provide any  necessary  requested information regarding the exploitation and dissemination of their results  in accordance with the grant agreement . Subject to the legitimate interests of the beneficiaries, such information shall be made publicly available. |

Amendment 96

Proposal for a regulation

Article 36

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 36 | Article 36 |
| Transfer and licensing | Transfer and licensing |
| 1.   Beneficiaries may transfer ownership of their results. They shall ensure that their obligations also apply to the new owner and that the latter has the obligation to pass them on in any subsequent transfer. | 1.   Beneficiaries may transfer ownership of their results. They shall ensure that their obligations also apply to the new owner and that the latter has the obligation to pass them on in any subsequent transfer. |
| 2.   Unless agreed otherwise in writing for specifically-identified third parties or unless impossible under applicable law, beneficiaries that intend to transfer ownership of results shall give advance notice to any other beneficiary that still has access rights to the results. The notification must include sufficient information on the new owner to enable a beneficiary to assess the effects on its access rights. | 2.   Unless agreed otherwise in writing for specifically-identified third parties  and for its Affiliated Entities  or unless impossible under applicable law, beneficiaries that intend to transfer ownership of results shall give advance notice to any other beneficiary that still has access rights to the results. The notification must include sufficient information on the new owner to enable a beneficiary to assess the effects on its access rights. |
| Unless agreed otherwise in writing for specifically-identified third parties, a beneficiary may object to the transfer if it can show that the transfer would adversely affect its access rights. In this case, the transfer may not take place until agreement has been reached between the beneficiaries concerned. | Unless agreed otherwise in writing for specifically-identified third parties  and for its Affiliated Entities , a beneficiary may object to the transfer if it can show that the transfer would adversely affect its access rights. In this case, the transfer may not take place until agreement has been reached between the beneficiaries concerned.  The grant agreement shall lay down time limits in this respect. |
| 3.   Beneficiaries may grant licences to their results or otherwise give the right to exploit them, if this does not affect compliance with their obligations. | 3.   Beneficiaries may grant licences to their results or otherwise give the right to exploit them, if this does not affect compliance with their obligations. |
| 4.   Where this is justified, the grant agreement shall lay down the right to object to transfers of ownership of results, or to grants of an exclusive licence regarding results, if: | 4.   Where this is justified, the grant agreement shall lay down the right  for the Commission  to object to transfers of ownership of results, or to grants of an exclusive licence regarding results, if: |
| |  |  | | --- | --- | | (a) | the beneficiaries generating the results have received Union funding; | | |  |  | | --- | --- | | (a) | the beneficiaries generating the results have received Union funding; | |
| |  |  | | --- | --- | | (b) | the transfer or licence is to a legal entity established in a third country; and | | |  |  | | --- | --- | | (b) | the transfer or licence is to a legal entity established in a third country; and | |
| |  |  | | --- | --- | | (c) | the transfer or licence is not in line with Union interests. | | |  |  | | --- | --- | | (c) | the transfer or licence is not in line with Union interests. | |
|  | Technology transfer agreements shall be promoted. |
| If the right to object applies, the beneficiary shall give advance notice. The right to object may be waived in writing regarding transfers or grants to specifically identified legal entities if measures safeguarding Union interests are in place. | If the right to object applies, the beneficiary shall give advance notice. The right to object may be waived in writing regarding transfers or grants to specifically identified legal entities if measures safeguarding Union interests are in place. |

Amendment 97

Proposal for a regulation

Article 37

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 37 | Article 37 |
| Access rights | Access rights |
| 1.   The following access rights principles shall apply: | 1.   The following access rights principles shall apply: |
| |  |  | | --- | --- | | (a) | a request to exercise access rights or any waiving of access rights shall be made in writing; | | |  |  | | --- | --- | | (a) | a request to exercise access rights or any waiving of access rights shall be made in writing; | |
| |  |  | | --- | --- | | (b) | unless otherwise agreed with the grantor, access rights do not include the right to sub-license; | | |  |  | | --- | --- | | (b) | unless otherwise agreed with the grantor, access rights do not include the right to sub-license; | |
| |  |  | | --- | --- | | (c) | the beneficiaries shall inform each other before their accession to the grant agreement of any restrictions to granting access to their background; | | |  |  | | --- | --- | | (c) | the beneficiaries shall inform each other before their accession to the grant agreement of any restrictions to granting access to their background; | |
| |  |  | | --- | --- | | (d) | if a beneficiary is no longer involved in an action, it shall not affect its obligations to grant access; | | |  |  | | --- | --- | | (d) | if a beneficiary is no longer involved in an action, it shall not affect its obligations to grant access; | |
| |  |  | | --- | --- | | (e) | if a beneficiary defaults on its obligations, the beneficiaries may agree that it no longer has access rights. | | |  |  | | --- | --- | | (e) | if a beneficiary defaults on its obligations, the beneficiaries may agree that it no longer has access rights. | |
| 2.   Beneficiaries shall grant access to: | 2.   Beneficiaries shall grant access to: |
| |  |  | | --- | --- | | (a) | their results on a royalty-free basis to any other beneficiary in the action that needs it to implement its own tasks; | | |  |  | | --- | --- | | (a) | their results on a royalty-free basis to any other beneficiary in the action that needs it to implement its own tasks; | |
| |  |  | | --- | --- | | (b) | their background to any other beneficiary in the action that needs it to implement its own tasks, subject to any restrictions referred to in paragraph 1(c); that access shall be granted on a royalty-free basis, unless otherwise agreed by the beneficiaries before their accession to the grant agreement; | | |  |  | | --- | --- | | (b) | their background to any other beneficiary in the action that needs it to implement its own tasks, subject to any restrictions referred to in paragraph 1(c); that access shall be granted on a royalty-free basis, unless otherwise agreed by the beneficiaries before their accession to the grant agreement; | |
| |  |  | | --- | --- | | (c) | their results and, subject to any restrictions referred to in paragraph 1(c), to their background to any other beneficiary in the action that needs it to exploit its own results; that access shall be granted under fair and reasonable conditions to be agreed upon. | | |  |  | | --- | --- | | (c) | their results and, subject to any restrictions referred to in paragraph 1(c), to their background to any other beneficiary in the action that needs it to exploit its own results; that access shall be granted under fair and reasonable conditions to be agreed upon. | |
| |  |  | | --- | --- | | (3) | Unless otherwise agreed by the beneficiaries, they shall also grant access to their results and, subject to any restrictions referred to in paragraph 1(c), to their background to a legal entity that: | | 3.   Unless otherwise agreed by the beneficiaries, they shall also grant access to their results and, subject to any restrictions referred to in paragraph 1(c), to their background to a legal entity that: |
| |  |  | | --- | --- | | (a) | is established in a Member State or associated country; | | |  |  | | --- | --- | | (a) | is established in a Member State or associated country; | |
| |  |  | | --- | --- | | (b) | is under the direct or indirect control of another beneficiary, or is under the same direct or indirect control as that beneficiary, or is directly or indirectly controlling that beneficiary; and | | |  |  | | --- | --- | | (b) | is under the direct or indirect control of another beneficiary, or is under the same direct or indirect control as that beneficiary, or is directly or indirectly controlling that beneficiary; and | |
| |  |  | | --- | --- | | (c) | needs the access to exploit the results of that beneficiary. | | |  |  | | --- | --- | | (c) | needs the access to exploit the results of that beneficiary. | |
| Access shall be granted under fair and reasonable conditions to be agreed upon. | Access shall be granted under fair and reasonable conditions to be agreed upon. |
| 4.   A request for access for exploitation purposes may be made up to one year after the end of the action, unless the beneficiaries agree on a different time-limit. | 4.   A request for access for exploitation purposes may be made up to one year after the end of the action, unless the beneficiaries agree on a different time-limit. |
| 5.   Beneficiaries having received Union funding shall grant access to their results on a royalty-free basis to the Union institutions, bodies, offices or agencies for developing, implementing and monitoring Union policies or programmes. Access shall be limited to non-commercial and non-competitive use. | 5.   Beneficiaries having received Union funding shall grant access to their results on a royalty-free basis to the Union institutions, bodies, offices or agencies for developing, implementing and monitoring Union policies or programmes. Access shall be limited to non-commercial and non-competitive use  taking into consideration the legitimate interests of the beneficiaries . |
|  | Such access rights shall not extend to the participants’ background. |
| In actions under the cluster ‘ Inclusive and  secure Society’, area of intervention ‘Protection and Security’, beneficiaries having received Union funding shall also grant access to their results on a royalty-free basis to Member States' national authorities, for developing, implementing and monitoring their policies or programmes in that area. Access shall be limited to non-commercial and non-competitive use and shall be granted upon bilateral agreement defining specific conditions aimed at ensuring that those rights will be used only for the intended purpose and that appropriate confidentiality obligations will be in place. The requesting Member State, Union institution, body, office or agency shall notify all Member States of such requests. | In actions under the cluster ‘Secure Society’, area of intervention ‘Protection and Security’, beneficiaries having received Union funding shall also grant access to their results on a royalty-free basis to Member States' national authorities, for developing, implementing and monitoring their policies or programmes in that area. Access shall be limited to non-commercial and non-competitive use and shall be granted upon bilateral agreement defining specific conditions aimed at ensuring that those rights will be used only for the intended purpose and that appropriate confidentiality obligations will be in place. The requesting Member State, Union institution, body, office or agency shall notify all Member States of such requests. |
| 6.   The work programme may provide for additional access rights. | 6.   The work programme may provide , where appropriate,  for additional access rights. |

Amendment 98

Proposal for a regulation

Article 38

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 38 | Article 38 |
| Specific provisions on exploitation and dissemination | Specific provisions on exploitation and dissemination |
| Specific rules on  ownership,  exploitation and dissemination, transfer and licensing as well as access rights may apply for ERC actions, training and mobility actions, pre-commercial procurement actions, public procurement of innovative solutions actions, programme co-fund actions and coordination and support actions. | Specific rules on exploitation and dissemination, transfer and licensing as well as access rights may apply for ERC  actions, EIT  actions, training and mobility actions, pre-commercial procurement actions, public procurement of innovative solutions actions, programme co-fund actions and coordination and support actions. |
| These specific rules shall not change the obligations  on  open access. | These specific rules shall not change the obligations  and principles of  open access  as referred to in Article 10 . |

Amendment 99

Proposal for a regulation

Article 39

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 39 | Article 39 |
| Prizes | Prizes |
| 1.   Prizes under the Programme shall be awarded and managed in accordance with Title IX of the Financial Regulation, unless otherwise specified in this Chapter. | 1.   Prizes under the Programme shall be awarded and managed in accordance with Title IX of the Financial Regulation, unless otherwise specified in this Chapter. |
| 2.   Any legal entity, regardless of its place of establishment, may participate in a contest, unless otherwise provided in the work programme or rules of contests. | 2.   Any legal entity, regardless of its place of establishment, may participate in a contest, unless otherwise provided in the work programme or rules of contests. |
| 3.   The Commission or funding body may organise prizes with: | 3.   The Commission or funding body may , where appropriate,  organise prizes with: |
| |  |  | | --- | --- | | (a) | other Union bodies; | | |  |  | | --- | --- | | (a) | other Union bodies; | |
| |  |  | | --- | --- | | (b) | third countries, including their scientific and technological organisations or agencies; | | |  |  | | --- | --- | | (b) | third countries, including their scientific and technological organisations or agencies; | |
| |  |  | | --- | --- | | (c) | international organisations; or | | |  |  | | --- | --- | | (c) | international organisations; or | |
| |  |  | | --- | --- | | (d) | non-profit legal entities. | | |  |  | | --- | --- | | (d) | non-profit legal entities. | |
| 4.   The work programme or rules of contest  may  include obligations regarding communication, exploitation and dissemination. | 4.   The work programme or rules of contest  shall  include obligations regarding communication,  ownership, access rights,  exploitation and dissemination , including licensing provisions . |

Amendment 100

Proposal for a regulation

Article 42

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 42 | Article 42 |
| Horizon Europe and EIC Blended finance | Horizon Europe and EIC Blended finance |
| 1.   The grant and reimbursable advance components of Horizon Europe or EIC blended finance shall be subject to Articles 30 to 33. | 1.   The grant and reimbursable advance components of Horizon Europe or EIC blended finance shall be subject to Articles 30 to 33. |
| 2.   EIC blended finance shall be implemented in accordance with Article 43. The support under the EIC blended finance may be granted until the action can be financed as a blending operation or as a financing and investment operation fully covered by the EU guarantee under InvestEU. By derogation from Article 209 of the Financial Regulation, the conditions laid down in paragraph (2) and, in particular, paragraph (a) and (d), do not apply at the time of the award of EIC blended finance | 2.   EIC blended finance shall be implemented in accordance with Article 43. The support under the EIC blended finance may be granted for risk projects until the action can be financed as a blending operation or as a financing and investment operation fully covered by the EU guarantee under InvestEU. By derogation from Article 209 of the Financial Regulation, the conditions laid down in paragraph (2) and, in particular, paragraph (a) and (d), do not apply at the time of the award of EIC blended finance. |
| 3.   Horizon Europe blended finance may be awarded to a programme co-fund where a joint programme of Member States and associated countries provides for the deployment of financial instruments in support of selected actions. The evaluation and selection of such actions shall be made in accordance with Articles 19, 20 , 23 , 24, 25  and 26 . The implementation modalities of the Horizon Europe blended finance shall comply with Article 29, by analogy Article 43(9) and with additional conditions defined by the work programme. | 3.   Horizon Europe blended finance may be awarded to a programme co-fund where a joint programme of Member States and associated countries provides for the deployment of financial instruments in support of selected actions. The evaluation and selection of such actions shall be made in accordance with Articles  11,  19, 20, 24, 25 , 26, 42a and 43 . The implementation modalities of the Horizon Europe blended finance shall comply with Article 29, by analogy Article 43(9) and with additional  and justified  conditions defined by the work programme. |
| 4.   Repayments including reimbursed advances and revenues of Horizon Europe and EIC blended finance shall be considered as internal assigned revenues in accordance with Articles 21(3)(f) and 21(4) of Financial Regulation. | 4.   Repayments including reimbursed advances and revenues of Horizon Europe and EIC blended finance shall be considered as internal assigned revenues in accordance with Articles 21(3)(f) and 21(4) of Financial Regulation. |
| 5.   Horizon Europe and EIC blended finance shall be provided in a manner that  does not distort  competition. | 5.   Horizon Europe and EIC blended finance shall be provided in a manner that  promotes the Union’s competitiveness while avoiding distortion of  competition. |

Amendment 101

Proposal for a regulation

Article 42 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | Article 42 a |
|  | The Pathfinder |
|  | 1.     The Pathfinder shall provide grants to high-risk cutting-edge projects aiming to develop the strategic autonomy of the Union into potentially radical innovative technologies of the future and new market opportunities. The Pathfinder shall initially provide support for the earliest stages of scientific and technological research and development, including proof of concept and prototypes for technology validation. |
|  | The Pathfinder shall be mainly implemented through an open call for bottom-up proposals with regular cut-off dates per year and shall also provide for competitive challenges to develop key strategic objectives [(1a)](#ntr1a-C_2020388EN.01034801-E0031)  calling for deep-tech and radical thinking. Regrouping of selected projects into thematic or objective driven portfolios will allow establishing critical mass of efforts, technological strategic autonomy at EU level and structuring new multidisciplinary research communities. |
|  | 2.     The Pathfinder's Transition activities shall be implemented to help innovators develop the pathway to commercial development in the Union, such as demonstration activities and feasibility studies to assess potential business cases, and support the creation of spin offs and start-ups. |
|  | |  |  | | --- | --- | | (a) | the launch and the content of the calls for proposals shall be determined with regard to objectives and budget established by the work programme in relation with the concerned portfolio of actions; | |
|  | |  |  | | --- | --- | | (b) | grants for a fixed amount not exceeding EUR 50 000 may be awarded without a call for proposals, only to those activities already funded under the Pathfinder to carry out urgent coordination and support actions for reinforcing the portfolio’s community of beneficiaries or assessing possible spin-offs or potential market creating-innovation. | |
|  | 3.     The award criteria as defined in Article 25 shall apply to the EIC Pathfinder. |

Amendment 102

Proposal for a regulation

Article 43

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 43 | Article 43 |
| EIC’s  Accelerator | The  Accelerator |
| 1.   The beneficiary of the EIC Accelerator shall be a legal entity qualifying as a start-up, an SME or as a mid-cap, established in a Member State or associated country. The proposal may be submitted by the beneficiary, or by one or more natural persons or legal entities intending to establish or support that beneficiary. | 1.   The beneficiary of the EIC Accelerator shall be a legal entity qualifying as a start-up , scale-up , an SME or as a mid-cap, established in a Member State or associated country. The proposal may be submitted by the beneficiary, or by one or more natural persons or legal entities intending to establish or support that beneficiary. |
| 2.   A single award decision shall cover and provide funding for all forms of Union contribution provided under EIC blended finance. | 2.   A single award decision shall cover and provide funding for all forms of Union contribution provided under EIC blended finance. |
| 3.   Proposals shall be evaluated on their individual merit by independent experts and selected in the context of an annual open call with cut-off dates, based on Articles 24 to 26, subject to paragraph 4. | 3.   Proposals shall be evaluated on their individual merit by independent experts and selected in the context of an annual open call with cut-off dates, based on Articles 24 to 26, subject to paragraph 4. |
| 4.   Award criteria shall be: | 4.   Award criteria shall be: |
| |  |  | | --- | --- | | — | excellence; | | |  |  | | --- | --- | | — | excellence; | |
| |  |  | | --- | --- | | — | impact; | | |  |  | | --- | --- | | — | impact  and EU added value ; | |
| |  |  | | --- | --- | | — | the level risk of the action and the need for Union support. | | |  |  | | --- | --- | | — | the level risk of the action and the need for Union support. | |
| 5.   With the agreement of applicants concerned, the Commission or funding bodies implementing Horizon Europe may directly submit for evaluation under the last evaluation criterion a proposal for an innovation and market deployment action which already fulfils the first two criteria, subject to the following cumulative conditions: | 5.   With the agreement of applicants concerned, the Commission or funding bodies implementing Horizon Europe  (including EIT and KICs)  may directly submit for evaluation under the last evaluation criterion a proposal for an innovation and market deployment action  especially in the Union  which already fulfils the first two criteria, subject to the following cumulative conditions: |
| |  |  | | --- | --- | | — | the proposal shall stem from any other action funded by Horizon 2020 or this Programme, or from a national programme  similar to the EIC's Pathfinder  and acknowledged  as such  by the Commission; | | |  |  | | --- | --- | | — | the proposal shall stem from any other action funded by Horizon 2020 or this Programme, or from a national programme and acknowledged by the Commission  as meeting EIC requirements ; | |
| |  |  | | --- | --- | | — | be based on a previous project review assessing the excellence and the impact of the proposal and subject to conditions and processes further detailed in the work programme. | | |  |  | | --- | --- | | — | be based on a previous project review assessing the excellence and the impact of the proposal and subject to conditions and processes further detailed in the work programme. | |
| 6.   A Seal of Excellence may be awarded subject to the following cumulative conditions: | 6.   A Seal of Excellence may be awarded subject to the following cumulative conditions: |
| |  |  | | --- | --- | | — | the beneficiary is a start-up or an SME, | | |  |  | | --- | --- | | — | the beneficiary is a start-up or an SME, | |
| |  |  | | --- | --- | | — | the proposal was eligible and has passed applicable thresholds for the first two award criteria referred to in paragraph 4, | | |  |  | | --- | --- | | — | the proposal was eligible and has passed applicable thresholds for the first two award criteria referred to in paragraph 4, | |
| |  |  | | --- | --- | | — | for those activities that would be eligible under an innovation action. | | |  |  | | --- | --- | | — | for those activities that would be eligible under an innovation action. | |
| 7.   For a proposal having passed the evaluation, independent experts shall propose a corresponding EIC blended finance, based on the risk incurred and the resources and time necessary to bring and deploy the innovation to the market. | 7.   For a proposal having passed the evaluation, independent experts shall propose a corresponding EIC blended finance, based on the risk incurred and the resources and time necessary to bring and deploy the innovation to the market. |
| The Commission may reject a proposal retained by independent experts for justified reasons, including  compliance  with the objectives of Union policies. | The Commission may reject a proposal retained by independent experts for justified reasons, including  non-compliance  with the objectives of Union policies. |
| 8.   The grant or the reimbursable advance component of the blended finance shall not exceed 70 % of the costs of the selected innovation action. | 8.   The grant or the reimbursable advance component of the blended finance shall not exceed 70 % of the costs of the selected innovation action. |
| 9.   Implementation modalities of the equity and repayable support components of the EIC blended finance shall be detailed in Decision [Specific programme]. | 9.   Implementation modalities of the equity and repayable support components of the EIC blended finance shall be detailed in Decision [Specific programme]. |
| 10.   The contract for the selected action shall establish specific milestones and the corresponding pre-financing and payments by instalments of the EIC blended finance. | 10.   The contract for the selected action shall establish specific  measurable  milestones and the corresponding pre-financing and payments by instalments of the EIC blended finance. |
| Activities corresponding to an innovation action may be launched and first pre-financing of the grant or the reimbursable advance paid, prior to the implementation of other components of the awarded EIC blended finance. The implementation of those components shall be subject to the achievement of specific milestones established in the contract. | Activities corresponding to an innovation action may be launched and first pre-financing of the grant or the reimbursable advance paid, prior to the implementation of other components of the awarded EIC blended finance. The implementation of those components shall be subject to the achievement of specific milestones established in the contract. |
| 11.   In accordance with the contract, the action shall be suspended, amended or terminated if milestones are not met. It may also be terminated where the expected market deployment cannot be met. | 11.   In accordance with the contract, the action shall be suspended, amended or terminated if  measurable  milestones are not met. It may also be terminated where the expected market deployment  especially in the Union  cannot be met. |
| The Commission may decide to increase the EIC blended finance subject to a project review by external independent experts. | The Commission may decide to increase the EIC blended finance subject to a project review by external independent experts. |

Amendment 103

Proposal for a regulation

Article 43 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | Article 43 a  SME Incremental innovation  In addition to the instruments under the EIC, an SME specific instrument for incremental innovation shall be managed and implemented centrally, supporting mono-beneficiary grants for R&I activities in all clusters, in a bottom-up manner through a continuously open call tailored to the needs of SMEs. |

Amendment 104

Proposal for a regulation

Article 44

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 44 | Article 44 |
| Appointment of external experts | Appointment of  independent  external experts |
| 1.   By derogation from Article 237(3) of the Financial Regulation, external experts may be selected without a call for expressions of interest,  if  justified and the selection  is  carried out in a transparent manner. | 1.   By derogation from Article 237(3) of the Financial Regulation,  independent  external experts may  exceptionally  be selected without a call for expressions of interest,  only if a call for expressions of interest has not identified suitable external experts. Any selection of external experts without a call for expressions of interest shall be duly  justified and the selection  shall be  carried out in a transparent manner.  Such experts shall need to prove their independence and capacity to support Horizon Europe objectives. |
|  | 1 a.     Independent external experts shall be chosen on the basis of their skills, experience and knowledge appropriate for carrying out the task assigned to them. When appointing independent external experts the Commission or the Union funding body shall seek balanced representation and composition within the expert group and evaluation panels in terms of specialisation, geographical background, gender and type of organisation they represent. |
| 2.   In accordance with Article 237(2) and 237(3) of the Financial Regulation, external experts shall be remunerated based on standard conditions.  If justified, an appropriate level of remuneration beyond the standard conditions based on relevant market standards, especially for specific high level experts, may be granted. | 2.   In accordance with Article 237(2) and 237(3) of the Financial Regulation,  independent  external experts shall be remunerated based on standard conditions. |
| 3.   In addition to paragraphs 2 and 3 of Article 38 of the Financial Regulation, the names of external experts evaluating grant applications, who are appointed in a personal capacity shall be published, together with their area of expertise, at least once a year on the internet site of the Commission or the funding body. Such information shall be collected, processed and published in accordance with the EU data protection rules. | 3.   In addition to paragraphs 2 and 3 of Article 38 of the Financial Regulation, the names of  independent  external experts evaluating grant applications, who are appointed in a personal capacity shall be published, together with their area of expertise, at least once a year on the internet site of the Commission or the funding body. Such information shall be collected, processed and published in accordance with the EU data protection rules. |
|  | 3 a.     The Commission or the relevant funding body shall ensure that an expert faced with a conflict of interest in relation to a matter on which the expert is required to provide an opinion does not evaluate, advise or assist on the specific matter in question. |
|  | 3 b.     An adequate number of independent experts shall be ensured for each call in order to guarantee the quality of the evaluation. |
|  | 3 c.     The level of remuneration of all independent and external experts shall be reported annually to the European Parliament and the Council. It shall be covered by the administrative expenses of the Programme. |

Amendment 105

Proposal for a regulation

Article 45

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 45 | Article 45 |
| Monitoring and reporting | Monitoring and reporting |
|  | 1.     The Commission shall monitor on an annual basis the implementation of Horizon Europe, its specific programme and the activities of the EIT. The annual monitoring reports shall include: |
| 1.     Indicators to report on progress of the Programme  towards the achievement of the objectives established in Article 3  are  set in Annex V along impact pathways. | |  |  | | --- | --- | | (i) | the  indicators towards the achievement of the objectives established in Article 3  and  set in Annex V along impact pathways; | |
|  | |  |  | | --- | --- | | (ii) | information on the implementation of the principles of funding and cross-cutting issues established in particular in Article 6a, such as the level of mainstreaming social sciences and humanities, the ratio between lower and higher TRLs in collaborative research, widening countries participation, the list of widening countries updated in the work programmes, the progress on reducing the RDI divide, the geographical coverage in collaborative projects, researchers salaries, the use of two stage submission and evaluation procedure, the use of the evaluation review and the level of complaints, the level of climate mainstreaming and related expenditures, SME participation, including comparing with national similar SME specific instruments, private sector participation, progress on gender equality, the Seals of Excellence, the private-public partnerships as well as the leverage effect on additional private and public funding, the complementary and cumulative funding from other Union funds, in particular synergies with programmes referred to in Annex IV, the use of research infrastructures supported by other Union funding programmes, the fast-track to research and innovation, the level and impact of international cooperation also as regards the reciprocity principle, engagement of citizens’ and civil society participation both at national and Union level; | |
|  | |  |  | | --- | --- | | (iii) | the levels of expenditure per areas of intervention as referred to in Annex I and cross-cutting issues in the Programme and the EIT in order to allow for portfolio analysis, and in order to enhance transparency this data shall also be made publicly available in an accessible manner on the Commission's webpage according to the latest update; | |
|  | |  |  | | --- | --- | | (iv) | the level of oversubscription, in particular the number of proposals per budget line and per intervention areas, their average score, the share of proposals above and below thresholds. | |
| 2.   The Commission is empowered to adopt delegated acts in accordance with Article 50 concerning amendments to Annex V to supplement or amend the impact pathway indicators, where considered necessary, and set baselines and targets. | 2.   The Commission is empowered to adopt delegated acts in accordance with Article 50 concerning amendments to Annex V to supplement or amend the impact pathway indicators, where considered necessary, and set baselines and targets. |
| 3.   The performance reporting system shall ensure that data for monitoring programme implementation and results are collected efficiently, effectively and in a timely manner . To that end, proportionate reporting requirements  shall be  imposed on recipients of Union funds and (where relevant) Member States . | 3.   The performance reporting system shall ensure that data for monitoring programme implementation and results are collected efficiently, effectively and in a timely manner  without increasing the administrative burden for beneficiaries. In particular, data for projects funded under ERC, European Partnerships, missions, EIC and EIT  shall be  included in the same database than actions funded directly under the Programme (i.e. E-corda database) . |
|  | 3 a.     Qualitative analysis from the Commission and Union or national funding bodies shall complement as much as possible quantitative data. |

Amendment 106

Proposal for a regulation

Article 46

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 46 | Article 46 |
| Information, communication, publicity and dissemination and exploitation | Information, communication, publicity and dissemination and exploitation |
| 1.   The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results) by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public. | 1.   The recipients of Union funding shall acknowledge the origin and ensure the visibility of the Union funding (in particular when promoting the actions and their results , including for prizes ) by providing coherent, effective and proportionate targeted information to multiple audiences, including the media and the public. |
| 2.   The Commission shall implement information and communication actions relating to the Programme, and its actions and results.  Financial resources allocated to the Programme  shall  also contribute to the corporate communication of the political priorities of the Union, as far as they are related to the objectives referred to in Article 3 . | 2.   The Commission shall implement information and communication actions relating to the Programme and its actions and results.  In particular, it  shall  provide timely and thorough information to Member States and beneficiaries . |
| 3.   The Commission shall also establish a dissemination and exploitation strategy for increasing the availability and diffusion of the Programme’s research and innovation results and knowledge to accelerate exploitation towards market uptake and boost the impact of the Programme. Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union as well as information, communication, publicity, dissemination and exploitation activities as far as they are related to the objectives referred to in Article 3. | 3.   The Commission shall also establish a dissemination and exploitation strategy for increasing the availability and diffusion of the Programme’s research and innovation results and knowledge to accelerate exploitation towards market uptake  especially within the Union  and boost the impact of the Programme. Financial resources allocated to the Programme shall also contribute to the corporate communication of the political priorities of the Union as well as information, communication, publicity, dissemination and exploitation activities as far as they are related to the objectives referred to in Article 3. |

Amendment 107

Proposal for a regulation

Article 47

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 47 | Article 47 |
| Programme evaluation | Programme evaluation |
| 1.   Programme evaluations shall be carried out in a timely manner to feed into the decision-making process on the programme, its successor and other initiatives relevant to research and innovation. | 1.   Programme evaluations shall be carried out in a timely manner  and made public in order  to feed into the decision-making process on the programme, its successor and other initiatives relevant to research and innovation. |
|  | 1 a.     Missions shall be fully evaluated by 31 December 2022 before any decision is taken on creating new missions or on redirection, termination, continuation of missions or on an increase of their budget. The results of the evaluation of missions shall be made public and shall include, but not limited to, the analysis of their selection process and of their governance, focus and performance. |
| 2.   The interim evaluation of the Programme shall be carried out once there is sufficient information available about the implementation of the Programme, but no later than  four  years after the start of the programme implementation. It shall include an assessment of the long-term impact of previous Framework Programmes and shall form the basis to adjust programme implementation, as appropriate. | 2.   The interim evaluation of the Programme shall be carried out once there is sufficient information available about the implementation of the Programme, but no later than  three  years after the start of the programme implementation. It shall include  a portfolio analysis and  an assessment of the long-term impact of previous Framework Programmes and shall form the basis to adjust programme implementation  and/or review the programme , as appropriate.  It shall assess the Programme’s effectiveness, efficiency, relevance, coherence, leverage effect, complementarity with other Union and national RDI funding programmes and Union added value. In particular, the impact of transferred funds from other Union programmes shall be assessed. |
| 3.   At the end of the implementation of the Programme, but no later than  four  years after the end of the period specified in Article 1, a final evaluation of the Programme shall be completed by the Commission. It shall include an assessment of the long-term impact of previous Framework Programmes. | 3.   At the end of the implementation of the Programme, but no later than  three  years after the end of the period specified in Article 1, a final evaluation of the Programme shall be completed by the Commission. It shall include an assessment of the long-term impact of previous Framework Programmes. |
| 4.   The Commission shall  communicate the  conclusions of the evaluations accompanied by its observations, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions. | 4.   The Commission shall  publish and disseminate the results and  conclusions of the evaluations accompanied by its observations  and shall present them  to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions. |

Amendment 108

Proposal for a regulation

Article 48

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Article 48 | Article 48 |
| Audits | Audits |
| 1.   The control system for the Programme shall ensure an appropriate balance between trust and control, taking into account administrative and other costs of controls at all levels, especially for beneficiaries. | 1.   The control system for the Programme shall ensure an appropriate balance between trust and control, taking into account administrative and other costs of controls at all levels, especially for beneficiaries.  Audit rules shall be clear, consistent and coherent throughout the Programme. |
| 2.   The audit strategy for the Programme shall be based on the financial audit of a representative sample of expenditure across the Programme as a whole. The representative sample shall be complemented by a selection based on an assessment of the risks related to expenditure. Actions that receive joint funding from different Union programmes shall be audited only once, covering all involved programmes and their respective applicable rules. | 2.   The audit strategy for the Programme shall be based on the financial audit of a representative sample of expenditure across the Programme as a whole. The representative sample shall be complemented by a selection based on an assessment of the risks related to expenditure. Actions that receive joint funding from different Union programmes shall be audited only once, covering all involved programmes and their respective applicable rules. |
| 3.   In addition, the Commission or funding body may rely on combined systems reviews at beneficiary level. These combined reviews shall be optional for certain types of beneficiaries and shall consist in a systems and process audit, complemented by an audit of transactions, carried out by a competent independent auditor qualified to carry out statutory audits of accounting documents in accordance with Directive 2006/43/EC[(34)](#ntr34-C_2020388EN.01034801-E0032). They may be used by the Commission or funding body to determine overall assurance on the sound financial management of expenditure and for reconsideration of the level of ex-post audits and certificates on financial statements. | 3.   In addition, the Commission or funding body may rely on combined systems reviews at beneficiary level. These combined reviews shall be optional for certain types of beneficiaries and shall consist in a systems and process audit, complemented by an audit of transactions, carried out by a competent independent auditor qualified to carry out statutory audits of accounting documents in accordance with Directive 2006/43/EC[(34)](#ntr34-C_2020388EN.01034801-E0033). They may be used by the Commission or funding body to determine overall assurance on the sound financial management of expenditure and for reconsideration of  eligibility of costs claimed and of  the level of ex-post audits and certificates on financial statements. |
| 4.   In accordance with Article 127 of the Financial Regulation, the Commission or funding body  may  rely on audits on the use of Union contributions carried out by other persons or entities, including by other than those mandated by the Union Institutions or bodies. | 4.   In accordance with Article 127 of the Financial Regulation, the Commission or funding body  shall  rely on audits on the use of Union contributions carried out by other  certified  persons or entities, including by other than those mandated by the Union Institutions or bodies. |
| 5.   Audits may be carried out up to two years after the  payment  of the  balance . | 5.   Audits may be carried out up to two years after the  end date  of the  project . |
|  | 5 a.     The Commission shall publish audit guidelines elaborated in cooperation with the European Court of Auditors. Auditors shall ensure the transparency of the audit they have conducted, as well as a reliable and uniform interpretation of audit rules throughout the duration of the Programme, in order to ensure legal certainty. |
|  |  |

Amendment 109

Proposal for a regulation

Annex I — point 1 — introductory part

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (1) | Pillar I ‘Open Science’ | | |  |  | | --- | --- | | (1) | Pillar I ‘ Excellent and  Open Science’ | |

Amendment 110

Proposal for a regulation

Annex I — point 1 — paragraph 1 — point a — introductory part

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (a) | European Research Council: Providing attractive and flexible funding to enable talented and creative individual researchers and their teams to pursue the most promising avenues at the frontier of science, on the basis of Union-wide competition. | | |  |  | | --- | --- | | (a) | European Research Council: Providing attractive and flexible funding to enable talented and creative individual researchers , with an emphasis on young researchers,  and their teams to pursue the most promising avenues at the frontier of science, on the basis of Union-wide competition. | |

Amendment 111

Proposal for a regulation

Annex I — point 1 — paragraph 1 — point b — introductory part

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (b) | Marie Skłodowska-Curie Actions: Equipping researchers with new knowledge and skills through mobility and exposure across borders, sectors and disciplines, as well as structuring and improving institutional and national recruitment, training and career development systems; in so doing, the Marie Skłodowska-Curie Actions help to lay the foundations of Europe's excellent research landscape, contributing to boosting jobs, growth, and investment, and solving current and future societal challenges. | | |  |  | | --- | --- | | (b) | Marie Skłodowska-Curie Actions: Equipping researchers with new knowledge and skills through mobility and exposure across borders, sectors and disciplines, as well as structuring and improving institutional and national recruitment, training and career development systems; in so doing, the Marie Skłodowska-Curie Actions help to lay the foundations of Europe's excellent research landscape  across the whole Europe , contributing to boosting jobs, growth, and investment, and solving current and future societal challenges. | |

Amendment 112

Proposal for a regulation

Annex I — point 1 — paragraph 1 — point b — paragraph 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Areas of intervention: Nurturing excellence through mobility of researchers across borders, sectors and disciplines; fostering new skills through excellent training of researchers; strengthening human  capital  and skills development across the European Research Area; improving and facilitating synergies; promoting public outreach. | Areas of intervention: Nurturing excellence through mobility of researchers across borders, sectors and disciplines; fostering new skills through excellent training of researchers; strengthening human  resources  and skills development across the European Research Area; improving and facilitating synergies; promoting public outreach. |

Amendment 113

Proposal for a regulation

Annex I — point 2 — introductory part

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (2) | Pillar II ‘Global Challenges  and industrial competitiveness ’ | | |  |  | | --- | --- | | (2) | Pillar II ‘Global Challenges  and European industrial competitiveness ’ | |

Amendment 114

Proposal for a regulation

Annex I — point 2 — paragraph 2

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| To maximise impact flexibility and synergies, research and innovation activities will be organised in  five  clusters, which individually and together will incentivise interdisciplinary, cross-sectoral, cross-policy, cross-border and international cooperation. | To maximise impact flexibility and synergies, research and innovation activities will be organised in  six  clusters , interconnected through pan-European research infrastructures , which individually and together will incentivise interdisciplinary, cross-sectoral, cross-policy, cross-border and international cooperation.  The six clusters will also support innovation of individual SMEs in a bottom-up manner through grants. |

Amendment 115

Proposal for a regulation

Annex I — point 2 — paragraph 4 — point a — introductory part

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (a) | Cluster ‘Health’: Improving and protecting the health of citizens at all ages, by developing innovative solutions to prevent, diagnose, monitor, treat and cure diseases; mitigating health risks, protecting populations and promoting good health; making public health systems more cost-effective, equitable and sustainable; and supporting and enabling patients' participation and self-management. | | |  |  | | --- | --- | | (a) | Cluster ‘Health’: Improving and protecting the health of citizens at all ages, by developing innovative solutions to prevent, diagnose, monitor, treat and cure diseases  and developing health technologies ; mitigating health risks, protecting populations and promoting good health; making public health systems more cost-effective, equitable and sustainable; and supporting and enabling patients' participation and self-management. | |

Amendment 116

Proposal for a regulation

Annex I — point 2 — paragraph 4 — point b — introductory part

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (b) | Cluster ‘Inclusive and  secure  society’: Strengthening European democratic values, including rule of law and fundamental rights, safeguarding our cultural heritage, and promoting socio-economic transformations that contribute to inclusion and growth,  while responding to the challenges arising from persistent security threats,  including  cybercrime, as well as natural and man-made disasters . | | |  |  | | --- | --- | | (b) | Cluster ‘Inclusive and  creative  society’: Strengthening European democratic values, including rule of law and fundamental rights, safeguarding our cultural heritage,  exploring the potential of cultural and creative sectors,  and promoting socio-economic transformations that contribute to inclusion and growth, including  migration management and integration of migrants . | |

Amendment 117

Proposal for a regulation

Annex I — point 2 — paragraph 4 — point b — paragraph 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Areas of intervention: Democracy;  Cultural heritage ; Social and economic transformations;  Disaster-resilient societies; Protection and Security; Cybersecurity | Areas of intervention: Democracy;  Culture and creativity ; Social , cultural  and economic transformations;  social sciences and humanities. |

Amendment 118

Proposal for a regulation

Annex I — point 2 — paragraph 4 — point c — paragraph 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Areas of intervention: Manufacturing technologies; Digital technologies; Advanced materials; Artificial intelligence and robotics; Next generation internet; High performance computing and Big Data; Circular industries; Low carbon and clean industry; Space | Areas of intervention: Manufacturing technologies; Digital technologies; Advanced materials; Artificial intelligence and robotics; Next generation internet;  Quantum technologies;  High performance computing and Big Data; Circular industries; Low carbon and clean industry; Space |

Amendment 119

Proposal for a regulation

Annex I — point 2 — paragraph 4 — point c a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (c a) | Cluster ‘Secure Society’: responding to the challenges arising from persistent security threats, including cybercrime, as well as natural and man-made disasters.  Areas of intervention: Organised crime; terrorism, extremism, radicalisation and ideologically motivated violence; Border protection management; Cyber-Security, privacy, data protection; Protecting critical infrastructures and improving disaster response; Piracy and counterfeit of products; Supporting the Union's external security policies, including through conflict prevention and peace-building; Promoting coordination, cooperation and synergies. | |

Amendment 120

Proposal for a regulation

Annex I — point 2 — paragraph 4 — point d — introductory part

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (d) | Cluster ‘Climate, Energy and Mobility’: Fighting climate change by better understanding its causes, evolution, risks, impacts and opportunities, and by making the energy and transport sectors more climate and environment-friendly, more efficient and competitive, smarter, safer and more resilient. | | |  |  | | --- | --- | | (d) | Cluster ‘Climate, Energy and Mobility’: Fighting climate change by better understanding its causes, evolution, risks, impacts and opportunities, and by making the energy and transport sectors more climate and environment-friendly, more efficient and competitive, smarter, safer and more resilient ; promote the use of renewable energy sources and behavioural change . | |

Amendment 121

Proposal for a regulation

Annex I — point 2 — paragraph 4 — point d — paragraph 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Areas of intervention: Climate science and solutions; Energy supply; Energy systems and grids; Buildings  and  industrial facilities in energy transition; Communities and cities; Industrial competitiveness in transport; Clean transport and mobility; Smart mobility; Energy storage. | Areas of intervention: Climate science and solutions; Energy supply; Energy systems and grids; Buildings  in energy transition;  Industrial facilities in  the  energy transition;  Coal regions in transition;  Communities and cities; Industrial competitiveness in transport; Clean transport and mobility; Smart mobility; Energy storage, |

Amendment 122

Proposal for a regulation

Annex I — point 2 — paragraph 4 — point e — introductory part

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (e) | Cluster ‘Food  and  natural resources’: Protecting, restoring, sustainably managing and using natural and biological resources from land and sea to address food and nutrition security and the transition to a low carbon, resource efficient circular economy. | | |  |  | | --- | --- | | (e) | Cluster ‘Food, Natural Resources  and Agriculture ’: Protecting, restoring, sustainably managing and using natural and biological resources from land , inland waters and  sea to address food and nutrition security and the transition to a low carbon, resource efficient circular economy. | |

Amendment 123

Proposal for a regulation

Annex I — point 2 — paragraph 4 — point e — paragraph 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Areas of intervention: Environmental observation; Biodiversity and natural capital; Agriculture, forestry and rural areas;  Sea and  oceans; Food systems; Bio-based innovation systems; Circular systems | Areas of intervention: Environmental observation; Biodiversity and natural capital; Agriculture, forestry and rural areas;  Seas,  oceans , inland waters and the Blue Economy ; Food systems; Bio-based innovation systems; Circular systems |

Amendment 124

Proposal for a regulation

Annex I — point 2 — paragraph 4 — point f — paragraph 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Areas of intervention: Health;  resilience and security ; digital  and  industry; climate, energy and mobility; food and natural resources; support to the functioning of the internal market and the economic governance of the Union; support to Member States with implementation of legislation and development of smart specialisation strategies; analytical tools and methods for policy making; knowledge management; knowledge and technology transfer; support to science for policy platforms. | Areas of intervention: Health;  Inclusive and creative society; Secure society ; digital, industry  and space ; climate, energy and mobility; food and natural resources; support to the functioning of the internal market and the economic governance of the Union; support to Member States with implementation of legislation and development of smart specialisation strategies; analytical tools and methods for policy making; knowledge management; knowledge and technology transfer; support to science for policy platforms. |

Amendment 125

Proposal for a regulation

Annex I — point 3 — introductory part

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (3) | Pillar III ‘ Open Innovation ’ | | |  |  | | --- | --- | | (3) | Pillar III ‘ Innovative Europe ’ | |

Amendment 126

Proposal for a regulation

Annex I — point 3 — paragraph 1 — introductory part

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Through the following activities, this pillar will, in line with Article 4, foster all forms of innovation, including breakthrough innovation, and strengthen market deployment of innovative solutions. It will also contribute to the Programme's other specific objectives as described in Article 3. | Through the following activities, this pillar will, in line with Article 4, foster all forms of innovation, including breakthrough  technological and social  innovation, and strengthen market deployment of innovative solutions , in particular by start-ups and SMEs working together with research institutions . It will also contribute to the Programme's other specific objectives as described in Article 3. |

Amendment 127

Proposal for a regulation

Annex I — point 4 — paragraph 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Through the following activities, this part will, in line with Article 4, optimise the Programme's delivery for increased impact within a strengthened European Research Area. It will also support the Programme's other specific objectives as described in Article 3. While underpinning the entire Programme, this part will support activities that contribute to a more knowledge-based and innovative and gender-equal Europe, at the front edge of global competition, thereby optimising national strengths and potential across Europe in a well-performing European Research Area (ERA), where knowledge and a highly skilled workforce circulate freely, where the outcomes of R&I are understood and trusted by informed citizens and benefit society as a whole, and where EU policy, notably R&I policy, is based on high quality scientific evidence. | Through the following activities, this part will, in line with Article 4, optimise the Programme's delivery for increased impact  and attractiveness  within a strengthened European Research Area. It will also support the Programme's other specific objectives as described in Article 3. While underpinning the entire Programme, this part will support activities that contribute to  attract talent in the Union and tackle brain drain. It will also contribute to  a more knowledge-based and innovative and gender-equal Europe, at the front edge of global competition, thereby optimising national strengths and potential across  the whole of  Europe in a well-performing European Research Area (ERA), where knowledge and a highly skilled workforce circulate freely  in a balanced manner , where the outcomes of R&I are understood and trusted by informed citizens and benefit society as a whole, and where EU policy, notably R&I policy, is based on high quality scientific evidence. |

Amendment 128

Proposal for a regulation

Annex I — point 4 — paragraph 2

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Areas of intervention:  Sharing  Excellence; Reforming and enhancing the European R&I system. | Areas of intervention:  Spreading  excellence  and widening participation through teaming, twinning, ERA-Chairs initiatives, COST, Excellence initiatives and widening fellowships;  Reforming and enhancing the European R&I system. |

Amendment 129

Proposal for a regulation

Annex II — paragraph 2 — indent 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | — | Research and innovation action: action primarily consisting of activities aiming to establish new knowledge and/or to explore the feasibility of a new or improved technology, product, process, service or solution. This may include basic and applied research, technology development and integration, testing and validation on a small-scale prototype in a laboratory or simulated environment; | | |  |  | | --- | --- | | — | Research and innovation action: action primarily consisting of activities aiming to establish new knowledge and/or to explore the feasibility of a new or improved technology, product, process, service or solution. This may include basic and applied research, technology development and integration, testing and validation on a small-scale prototype in a laboratory or simulated environment . The Fast Track to Research and Innovation logic will be applied for a selected number of collaborative research and innovation actions ; | |

Amendment 130

Proposal for a regulation

Annex II — paragraph 2 — indent 6

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | — | Programme co-fund action: action to provide co-funding to a programme of activities established and/or implemented by entities managing and/or funding research and innovation programmes, other than Union funding bodies. Such a programme of activities may support networking and coordination, research, innovation, pilot actions, and innovation and market deployment actions, training and mobility actions, awareness raising and communication, dissemination and exploitation, or a combination thereof, directly implemented by those entities or by third parties to whom they may provide any relevant financial support such as grants, prizes, procurement, as well as Horizon Europe blended finance; | | |  |  | | --- | --- | | — | Programme co-fund action: action to provide co-funding to a programme of activities established and/or implemented by entities managing and/or funding research and innovation programmes, other than Union funding bodies. Such a programme of activities may support  interconnection,  networking and coordination, research, innovation, pilot actions, and innovation and market deployment actions, training and mobility actions, awareness raising and communication, dissemination and exploitation, or a combination thereof, directly implemented by those entities or by third parties to whom they may provide any relevant financial support such as grants, prizes, procurement, as well as Horizon Europe blended finance; | |

Amendment 131

Proposal for a regulation

Annex III — paragraph 1 — point 1 — point a — introductory part

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (a) | Evidence that the European Partnership is more effective in achieving the related objectives of the Programme, in particular in delivering clear impacts for  the EU and  its citizens, notably in view of delivering on global challenges and research and innovation objectives, securing EU competitiveness and contributing to the strengthening of the European Research and Innovation Area and international commitments; | | |  |  | | --- | --- | | (a) | Evidence that the European Partnership is more effective in achieving the related objectives of the Programme, in particular in delivering clear impacts for  throughout the Union and for  its citizens, notably in view of delivering on global challenges and research and innovation objectives, securing EU competitiveness , sustainability  and contributing to the strengthening of the European Research and Innovation Area and international commitments; | |

Amendment 132

Proposal for a regulation

Annex III — paragraph 1 — point 1 — point b

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (b) | Coherence and synergies of the European  Partnership  within the EU research and innovation landscape; | | |  |  | | --- | --- | | (b) | Coherence and synergies of the European  Partnerships  within the EU research and innovation landscape , including national and regional strategies ; | |

Amendment 133

Proposal for a regulation

Annex III — paragraph 1 — point 1 — point c

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (c) | Transparency and openness of the European  Partnership  as regards the identification of priorities and objectives, and the involvement of partners and stakeholders from different sectors, including international ones when relevant; | | |  |  | | --- | --- | | (c) | Transparency and openness of the European  Partnerships  as regards the identification of priorities and objectives,  as well as their governance,  and the involvement of partners, and stakeholders from different sectors  and backgrounds , including international ones when relevant. | |

Amendment 134

Proposal for a regulation

Annex III — paragraph 1 — point 1 — point d — indent 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | — | identification of measurable expected outcomes, deliverables and impacts within specific timeframes, including key economic value for  Europe ; | | |  |  | | --- | --- | | — | identification of measurable expected outcomes, deliverables and impacts within specific timeframes, including key economic value for  the EU ; | |

Amendment 135

Proposal for a regulation

Annex III — paragraph 1 — point 1 — point d — indent 2

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | — | demonstration of expected qualitative and quantitative leverage effects; | | |  |  | | --- | --- | | — | demonstration of  strong  expected qualitative and quantitative leverage effects; | |

Amendment 136

Proposal for a regulation

Annex III — paragraph 1 — point 1 — point d — indent 3

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | — | approaches to ensure flexibility of implementation and to adjust to changing policy  or  market needs, or scientific advances; | | |  |  | | --- | --- | | — | approaches to ensure flexibility of implementation and to adjust to changing policy , societal and/or  market needs, or scientific advances; | |

Amendment 137

Proposal for a regulation

Annex III — paragraph 1 — point 1 — point e — paragraph 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| In the case of institutionalised European Partnerships, the financial and/or in-kind, contributions from partners other than the Union, will at least be equal to 50 % and may reach up to 75 % of the aggregated European Partnership budgetary commitments.  For each institutionalised European Partnership, a share of the contributions from partners other than the Union will be in the form of financial contributions. | In the case of institutionalised European Partnerships, the financial and/or in-kind, contributions from partners other than the Union, will at least be equal to 50 %  in case of partnerships between the Union and private partners,  and may reach up to 75 % , in case of partnerships involving also Member States,  of the aggregated European Partnership budgetary commitments. |

Amendment 138

Proposal for a regulation

Annex III — paragraph 1 — point 1 — point e a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (e a) | In agreement with regional authorities, ERDF shall be accepted as a partial national contribution for Programme co-funding of actions involving Member States. | |

Amendment 139

Proposal for a regulation

Annex III — paragraph 1 — point 2 — point c

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (c) | Coordination and/or joint activities with other relevant research and innovation initiatives  ensuring  effective synergies; | | |  |  | | --- | --- | | (c) | Coordination and/or joint activities with other relevant research and innovation initiatives  to secure optimum level of interconnections and ensure  effective synergies; | |

Amendment 140

Proposal for a regulation

Annex III — paragraph 1 — point 2 — point d

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (d) | Legally binding commitments, in particular for financial contributions, from each partner throughout the lifetime of the initiative; | | |  |  | | --- | --- | | (d) | Legally binding commitments, in particular for  in kind and/or  financial contributions, from each partner throughout the lifetime of the initiative; | |

Amendment 141

Proposal for a regulation

Annex III — paragraph 1 — point 3 — point a

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (a) | A monitoring system in line with the requirements set out in Article 45 to track progress towards specific policy goals/objectives, deliverables and key performance indicators allowing for an assessment over time of achievements, impacts and potential needs for corrective measures; | | |  |  | | --- | --- | | (a) | A monitoring system in line with the requirements set out in Article 45 to track progress towards  programme- specific policy goals/objectives, deliverables and key performance indicators allowing for an assessment over time of achievements, impacts and potential needs for corrective measures; | |

Amendment 142

Proposal for a regulation

Annex III — paragraph 1 — point 4 — point b

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (b) | Appropriate measures ensuring phasing-out according to the agreed conditions  and timeline , without prejudice to possible continued transnational funding by national or other Union programmes. | | |  |  | | --- | --- | | (b) | In the absence of renewal,  appropriate measures ensuring phasing-out according to the agreed  timeline and  conditions  agreed with the legally committed partners , without prejudice to possible continued transnational funding by national or other Union programmes , and without prejudice to private investment and ongoing projects . | |

Amendment 143

Proposal for a regulation

Annex IV — point 1 — point b

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (b) | the CAP makes the best use of research and innovation results and promotes the use, implementation and deployment of innovative solutions, including those stemming from projects funded by the Framework Programmes for research and innovation  and  from the European Innovation Partnership ‘agricultural productivity and sustainability’; | | |  |  | | --- | --- | | (b) | the CAP makes the best use of research and innovation results and promotes the use, implementation and deployment of innovative solutions, including those stemming from projects funded by the Framework Programmes for research and innovation, from the European Innovation Partnership ‘agricultural productivity and sustainability’ and relevant EIT Knowledge and Innovation Communities (KICs) ; | |

Amendment 144

Proposal for a regulation

Annex IV — point 2 — point b

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (b) | the EMFF supports the rolling out of novel technologies and innovative products, processes and services, in particular those resulting from the Programme in the fields of marine and maritime policy; the EMFF also promotes ground data collection and data processing and disseminates relevant actions supported under the Programme, which in turn contributes to the implementation of the Common Fisheries Policy, the EU Maritime Policy  and  International Ocean Governance. | | |  |  | | --- | --- | | (b) | the EMFF supports the rolling out of novel technologies and innovative products, processes and services, in particular those resulting from the Programme in the fields of marine and maritime policy; the EMFF also promotes ground data collection and data processing and disseminates relevant actions supported under the Programme, which in turn contributes to the implementation of the Common Fisheries Policy, the EU Maritime Policy, International Ocean Governance  and International commitments. | |

Amendment 145

Proposal for a regulation

Annex IV — point 3 — point a

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (a) | arrangements for combined funding from ERDF and  Programme  are used to support activities providing a bridge between smart specialisations strategies and international excellence in research and innovation, including joint trans-regional/trans-national programmes and pan European Research Infrastructures, with the aim of strengthening the European Research Area; | | |  |  | | --- | --- | | (a) | arrangements for combined funding from ERDF and  Horizon Europe  are used to support activities providing a bridge between  regional Operational Programmes,  smart specialisations strategies and international excellence in research and innovation, including joint trans-regional/trans-national programmes and pan European Research Infrastructures, with the aim of strengthening the European Research Area; | |

Amendment 146

Proposal for a regulation

Annex IV — point 3 — point a a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (a a) | ERDF funds can be transferred on a voluntary basis to support activities under the Programme, in particular the Seal of excellence; | |

Amendment 147

Proposal for a regulation

Annex IV — point 3 — point b a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | (b a) | existing regional ecosystems, platform networks and regional strategies are enhanced; | |

Amendment 148

Proposal for a regulation

Annex IV — point 4 — point b

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (b) | arrangements for complementary funding from ESF+ can be used to support activities  promoting  human capital development in research and innovation with the aim of strengthening the European Research Area; | | |  |  | | --- | --- | | (b) | arrangements for complementary funding from ESF+ can be used  on a voluntary basis  to support activities  of the Programme that promote  human capital development in research and innovation with the aim of strengthening the European Research Area; | |

Amendment 149

Proposal for a regulation

Annex IV — point 6 — point b

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (b) | research and innovation needs related to digital aspects are identified and established in the Programme's strategic research and innovation plans; this includes research and innovation for High Performance Computing, Artificial Intelligence, Cybersecurity, combining digital with other enabling technologies and non-technological innovations; support for the scale-up of companies introducing breakthrough innovations (many of which will combine digital and physical technologies; the integration of digital across all the pillar ‘Global Challenges and Industrial Competitiveness’; and the support to digital research infrastructures; | | |  |  | | --- | --- | | (b) | research and innovation needs related to digital aspects are identified and established in the Programme's strategic research and innovation plans; this includes research and innovation for High Performance Computing, Artificial Intelligence, Cybersecurity,  Distributed Ledger Technologies, Quantum Technologies  combining digital with other enabling technologies and non-technological innovations; support for the scale-up of companies introducing breakthrough innovations (many of which will combine digital and physical technologies; the integration of digital across all the pillar ‘Global Challenges and  European  Industrial Competitiveness’; and the support to digital research infrastructures; | |

Amendment 150

Proposal for a regulation

Annex IV — point 6 — point c

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (c) | DEP focuses on large-scale digital capacity and infrastructure building in High Performance Computing, Artificial Intelligence, Cybersecurity and advanced digital skills aiming at wide uptake and deployment across Europe of critical existing or tested innovative digital solutions within an EU framework in areas of public interest (such as health, public administration, justice and education) or market failure (such as the digitisation of businesses, notably small and medium enterprises); DEP is mainly implemented through coordinated and strategic investments with Member States, notably through joint public procurement, in digital capacities to be shared across Europe and in EU-wide actions that support interoperability and standardisation as part of developing a Digital Single Market; | | |  |  | | --- | --- | | (c) | DEP focuses on large-scale digital capacity and infrastructure building in High Performance Computing, Artificial Intelligence, Cybersecurity , Distributed Ledger Technologies, Quantum Technologies  and advanced digital skills aiming at wide uptake and deployment across Europe of critical existing or tested innovative digital solutions within an EU framework in areas of public interest (such as health, public administration, justice and education) or market failure (such as the digitisation of businesses, notably small and medium enterprises); DEP is mainly implemented through coordinated and strategic investments with Member States, notably through joint public procurement, in digital capacities to be shared across Europe and in EU-wide actions that support interoperability and standardisation as part of developing a Digital Single Market; | |

Amendment 151

Proposal for a regulation

Annex IV — point 6 — point f

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (f) | the Programme's initiatives for the development of skills and competencies curricula, including those delivered at the co-location centres of the European Institute of Innovation and  Technology's KIC-Digital , are complemented by Digital Europe-supported capacity-building in advanced digital skills; | | |  |  | | --- | --- | | (f) | the Programme's initiatives for the development of skills and competencies curricula, including those delivered at the co-location centres of the European Institute of Innovation and  Technology Knowledge and Innovation Communities , are complemented by Digital Europe-supported capacity-building in advanced digital skills; | |

Amendment 152

Proposal for a regulation

Annex IV — point 7 — point a

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (a) | the Single Market Programme addresses the market failures which affect all SMEs, and will promote entrepreneurship and the creation and growth of companies. Full complementarity exists between the Single Market Programme and the actions of the future European Innovation Council for innovative companies, as well as in the area of support services for SMEs, in particular where the market does not provide viable financing; | | |  |  | | --- | --- | | (a) | the Single Market Programme addresses the market failures which affect all SMEs, and will promote entrepreneurship and the creation and growth of companies. Full complementarity exists between the Single Market Programme and the actions of  both the EIT and  the future European Innovation Council for innovative companies, as well as in the area of support services for SMEs, in particular where the market does not provide viable financing; | |

Amendment 153

Proposal for a regulation

Annex IV — point 7 — point b

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (b) | the Enterprise Europe Network may serve, as other existing SME support structures (e.g. National Contact Points, Innovation Agencies), to deliver support services under the European Innovation Council. | | |  |  | | --- | --- | | (b) | the Enterprise Europe Network may serve, as other existing SME support structures (e.g. National Contact Points, Innovation Agencies , DIH, Competence Centres, certified incubators ), to deliver support services under the  Horizon Europe programme, including the  European Innovation Council. | |

Amendment 154

Proposal for a regulation

Annex IV — point 8 — paragraph 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Research and innovation needs to tackle environmental, climate and energy challenges within the EU are identified and established during the Programme’s strategic research and innovation planning process. LIFE will continue to act as a catalyst for implementing EU environment, climate and relevant energy policy and legislation, including by taking up and applying research and innovation results from the Programme and help deploying them at national and (inter-)regional scale where it can help address environmental, climate or clean energy transition issues. In particular LIFE will continue to incentivise synergies with the Programme through the award of a bonus during the evaluation for proposals which feature the uptake of results from the Programme. LIFE standard action projects will support the development, testing or demonstration of suitable technologies or methodologies for implementation of EU environment and climate policy, which can subsequently be deployed at large scale, funded by other sources, including by the Programme. The Programme’s European Innovation Council can provide support to scale up and commercialise new breakthrough ideas that may result from the implementation of LIFE projects. | Research and innovation needs to tackle environmental, climate and energy challenges within the EU are identified and established during the Programme’s strategic research and innovation planning process. LIFE will continue to act as a catalyst for implementing EU environment, climate and relevant energy policy and legislation, including by taking up and applying research and innovation results from the Programme and help deploying them at national and (inter-)regional scale where it can help address environmental, climate or clean energy transition issues. In particular LIFE will continue to incentivise synergies with the Programme through the award of a bonus during the evaluation for proposals which feature the uptake of results from the Programme. LIFE standard action projects will support the development, testing or demonstration of suitable technologies or methodologies for implementation of EU environment and climate policy, which can subsequently be deployed at large scale, funded by other sources, including by the Programme. The Programme’s  EIT as well as the future  European Innovation Council can provide support to scale up and commercialise new breakthrough ideas that may result from the implementation of LIFE projects. |

Amendment 155

Proposal for a regulation

Annex IV — point 9 — point a

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (a) | combined resources from the Programme and the Erasmus Programme are used to support activities dedicated to strengthening and modernising European higher education institutions. The Programme will complement Erasmus programme support for the European Universities initiative, in particular its research dimension as part of developing new joint and integrated long term and sustainable strategies on education, research and innovation based on trans-disciplinary and cross-sectoral approaches to make the knowledge triangle a reality, providing impetus to economic growth; | | |  |  | | --- | --- | | (a) | combined resources from the Programme and the Erasmus Programme are used to support activities dedicated to strengthening and modernising European higher education institutions. The Programme will complement Erasmus programme support for the European Universities initiative, in particular its research dimension as part of developing new joint and integrated long term and sustainable strategies on education, research and innovation based on trans-disciplinary and cross-sectoral approaches to make the knowledge triangle a reality, providing impetus to economic growth;  the EIT’s educational activities could be both inspirational to and interlinked with the European Universities initiative. | |

Amendment 156

Proposal for a regulation

Annex IV — point 13 — point b

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (b) | financial instruments for research and innovation and SMEs are grouped together under the InvestEU Fund, in particular through a dedicated R&I thematic window, and through products deployed under the SME window targeting innovative companies, in this way also helping to deliver the objectives of the Programme. | | |  |  | | --- | --- | | (b) | financial instruments for research and innovation and SMEs are grouped together under the InvestEU Fund, in particular through a dedicated R&I thematic window, and through products deployed under the SME window targeting innovative companies, in this way also helping to deliver the objectives of the Programme.  Strong complementary links will be established between InvestEU and Horizon Europe. | |

Amendment 157

Proposal for a regulation

Annex IV — point 14 — point a

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (a) | the Innovation Fund will specifically target innovation in low-carbon technologies and processes, including environmentally safe carbon capture and utilisation that contributes substantially to mitigate climate change, as well as products substituting carbon intensive ones, and to help stimulate the construction and operation of projects that aim at the environmentally safe capture and geological storage of CO2 as well as innovative renewable energy and energy storage technologies; | | |  |  | | --- | --- | | (a) | the Innovation Fund will specifically target innovation in low-carbon technologies and processes, including environmentally safe carbon capture and utilisation that contributes substantially to mitigate climate change, as well as products substituting carbon intensive ones, and to help stimulate the construction and operation of projects that aim at the environmentally safe capture and geological storage of CO2 as well as innovative renewable energy and energy storage technologies;  An appropriate framework will be created to enable and to incentivise ‘greener’ products with a sustainable added value for the customers/end-users. | |

Amendment 158

Proposal for a regulation

Annex IV — point 14 — point b

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (b) | the Programme will fund the development  and  demonstration of technologies that can deliver on  EU  decarbonisation, energy and industrial transformation objectives, especially in its Pillar 2; | | |  |  | | --- | --- | | (b) | the Programme will fund the development, demonstration  and implementation  of technologies , including breakthrough solutions,  that can deliver on  a low-carbon economy and the Union’s  decarbonisation, energy and industrial transformation objectives, especially in its Pillar 2  and through the EIT ; | |

Amendment 159

Proposal for a regulation

Annex IV — point 14 — point c

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | (c) | the Innovation Fund may, subject to fulfilment of its selection and award criteria, support the demonstration phase of eligible projects  that may have received the  support from the Framework Programmes for research and innovation. | | |  |  | | --- | --- | | (c) | the Innovation Fund may, subject to fulfilment of its selection and award criteria, support the demonstration phase of eligible projects . Projects receiving support from the Innovation Fund may be eligible for  support from the Framework Programmes for research and innovation  and vice versa .  To complement Horizon Europe, the Innovation Fund may concentrate on close-to-the-market innovations contributing to a significant and fast reduction of CO2 emissions. Strong complementary links will be established between the Innovation Fund and Horizon Europe. | |

Amendment 160

Proposal for a regulation

Annex IV — point 16

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| |  |  | | --- | --- | | 16. | Synergies with the European Defence Fund will  benefit civil and defence research. Unnecessary  duplication  will be excluded . | | |  |  | | --- | --- | | 16. | Potential  synergies with the European Defence Fund will  contribute to avoiding  duplication. | |

Amendment 161

Proposal for a regulation

Annex IV — point 16 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | 16 a. | Synergies with Creative Europe will support competitiveness and innovation, contributing to economic and social growth and promoting the effective use of public funds. | |

Amendment 162

Proposal for a regulation

Annex IV — point 16 b (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | |  |  | | --- | --- | | 16 b. | Synergies with any Important Projects of Common European Interest (IPCEI) may be envisaged. | |

Amendment 163

Proposal for a regulation

Annex V — paragraph 1

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| Impact pathways, and related key impact pathway indicators, shall structure the monitoring of the Framework Programme’s (FP) performance towards its objectives. The impact pathways are time-sensitive : they distinguish  between the short, medium and  long term. Impact pathway indicators serve as proxies to report on the progress made towards each type of Research and Innovation (R&I) impact at the FP-level . Individual Programme parts will contribute to these indicators to a different degree and through different mechanisms. Additional indicators may be used to monitor individual programme parts, where relevant. | Impact pathways, and related key impact pathway indicators, shall structure the monitoring of the Framework Programme’s (FP) performance towards its objectives  as referred to in Article 3 . The impact pathways are time-sensitive  and reflect four complementary impact categories reflecting the non-linear nature of R&I investments: scientific, societal, economic and European Research Area. For each of these impact categories, proxy indicators will be used to track progress distinguishing  between the short, medium and  longer terms, with a relevant breakdown, and distinguishing between Member States and associated countries . Individual Programme parts will contribute to these indicators to a different degree and through different mechanisms. Additional indicators may be used to monitor individual programme parts, where relevant. |

Amendment 164

Proposal for a regulation

Annex V — paragraph 2

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| The micro-data behind the key impact pathway indicators will be collected for all parts of the Programme and all delivery mechanisms in a centrally managed and harmonised way and at the appropriate level of granularity with minimal reporting burden on the beneficiaries. | The micro-data behind the key impact pathway indicators will be collected for all parts of the Programme and all delivery mechanisms in a centrally managed and harmonised way and at the appropriate level of granularity, with minimal reporting burden on the beneficiaries.  Empirical evidence and indicators must be accompanied as much as possible by a qualitative analysis. |

Amendment 165

Proposal for a regulation

Annex V — paragraph 4

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| The Programme is expected to have societal impact by addressing EU policy priorities through R&I, delivering benefits and impact through R&I missions and strengthening the uptake of innovation in society. Progress towards this impact will be monitored through proxy indicators set along the following four key impact pathways. | The Programme is expected to have societal impact by addressing the  global challenges as identified in Pillar II including UN SDGs as well as  EU policy priorities  and commitments  through R&I, delivering benefits and impact through R&I missions and strengthening the uptake of innovation in society  ultimately contributing to people’s well-being . Progress towards this impact will be monitored through proxy indicators set along the following four key impact pathways. |

Amendment 166

Proposal for a regulation

Annex V — table 2

Text proposed by the Commission

|  |  |  |  |
| --- | --- | --- | --- |
| Towards societal impact | Short-term | Medium-term | Longer-term |
| Addressing EU policy priorities through R&I | Outputs -  Number and share of outputs aimed at addressing specific EU policy priorities | Solutions -  Number and share of innovations and scientific results addressing specific EU policy priorities | Benefits -  Aggregated estimated effects from use of FP-funded results, on tackling specific EU policy priorities,  including  contribution to the policy and law-making cycle |
| Delivering benefits and impact through R&I missions | R&I mission outputs -  Outputs in specific R&I missions | R&I mission results -  Results in specific R&I missions | R&I mission targets met -  Targets achieved in specific R&I missions |
| Strengthening the uptake of  innovation  in society | Co-creation -  Number and share of FP projects where EU citizens and end-users contribute to the co-creation of R&I content | Engagement -  Number and share of FP beneficiary entities with citizen and end-users engagement mechanisms after FP project | Societal R&I uptake  Uptake and outreach of FP  co-created  scientific results and innovative solutions |

Amendment

|  |  |  |  |
| --- | --- | --- | --- |
| Towards societal impact | Short-term | Medium-term | Longer-term |
| Addressing  Horizon Europe objectives and  EU policy priorities through R&I | Outputs -  Number and share of outputs aimed at addressing specific  Horizon Europe objectives and  EU policy priorities | Solutions -  Number and share of innovations and scientific results addressing specific  Horizon Europe objectives and  EU policy priorities | Benefits -  Aggregated estimated effects from use of FP-funded results, on tackling specific  Horizon Europe objectives and  EU policy priorities, contribution to the policy and law-making cycle |
| Delivering benefits and impact through R&I missions  and Partnerships | R&I mission outputs -  Outputs in specific R&I missions  and Partnerships | R&I mission results -  Results in specific R&I missions  and Partnerships | R&I mission targets met -  Targets achieved in specific R&I missions  and Partnerships |
| Fulfilling the Union’s climate commitment | Projects and outputs -  Number and share of projects and outputs that are climate-relevant (by missions, partnerships and budget lines of the Programme) | Innovations from climate-relevant FP project -  Number of innovations from FP projects that are climate-relevant, including from awarded IPRs | Societal and economic impact of climate-relevant projects -  Aggregated estimated effects from use of FP-funded results, on delivering EU’s long term climate and energy commitments under the Paris Agreement  Economic, societal and environmental costs and benefits of climate-relevant projects   |  |  | | --- | --- | | — | Uptake of innovative climate mitigation and adaptation solutions deriving from FP projects |  |  |  | | --- | --- | | — | Aggregated estimated effects from the use of these solutions on jobs and company creation, economic growth, clean energy, health and well-being (including air, soil and water quality) | |
| Strengthening the uptake of  R&I  in society, in MS | Co-creation -  Number and share of FP projects where EU citizens and end-users contribute to the co-creation of R&I content | Engagement -  Number and share of FP beneficiary entities with citizen and end-users engagement mechanisms after FP project | Societal R&I uptake  Access,  uptake and outreach of FP scientific results and innovative solutions |

Amendment 167

Proposal for a regulation

Annex V — paragraph 5

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
| The Programme is expected to have economic/innovation impact by influencing the creation and growth of companies, creating direct and indirect jobs, and by leveraging investments for research and innovation. Progress towards this impact will be monitored through proxy indicators set along the following three key impact pathways. | The Programme is expected to have economic/innovation impact  especially within the Union  by influencing the creation and growth of companies,  especially SMEs,  creating direct and indirect jobs  especially within the Union , and by leveraging investments for research and innovation. Progress towards this impact will be monitored through proxy indicators set along the following three key impact pathways. |

Amendment 168

Proposal for a regulation

Annex V — table 3

Text proposed by the Commission

|  |  |  |  |
| --- | --- | --- | --- |
| Towards economic / innovation impact | Short-term | Medium-term | Longer-term |
| Generating innovation-based growth | Innovative outputs -  Number of innovative products, processes or methods from FP (by type of innovation) & Intellectual Property Rights (IPR) applications | Innovations -  Number of innovations from FP projects (by type of innovation) including from awarded IPRs | Economic growth -  Creation, growth & market shares of companies having developed FP innovations |
| Creating more and better jobs | Supported employment -  Number  of FTE jobs created, and jobs maintained in beneficiary entities for the FP project (by type of job) | Sustained employment -  Increase  of FTE jobs in beneficiary entities following FP project (by type of job) | Total employment  Number of direct & indirect jobs created or maintained due to diffusion of FP results (by type of job) |
| Leveraging investments in R&I | Co-investment -  Amount of public & private investment mobilised with the initial FP investment | Scaling-up -  Amount of public & private investment mobilised to exploit or scale-up FP results | Contribution to ‘3 % target’ -  EU progress towards 3 % GDP target due to FP |

Amendment

|  |  |  |  |
| --- | --- | --- | --- |
| Towards economic / innovation impact | Short-term | Medium-term | Longer-term |
| Generating innovation-based growth  in the Union | Innovative outputs -  Number of innovative products, processes or methods from FP (by type of innovation) & Intellectual Property Rights (IPR) applications  in all participating countries | Innovations -  Number of innovations from FP projects (by type of innovation  and by country ) including from awarded IPRs  SMEs  SMEs introducing product or process innovations thanks to FP funding as % of FP-funded SMEs  Norms and standards  Number of norms and standards resulting from FP projects developed within the EU | Economic growth -  Creation, growth & market shares of companies having developed FP innovations  within and outside the Union |
| Adressing the Union gap between R&D activities and the market | Exploitation of RDI results  Share of FP results leading to commercial exploitation within or outside the Union, depending on the sector concerned  Analysis of exploitation within or outside the Union  Reasons of (former) FP participants to exploit R&D outside of the Union | | |
| Creating more and better jobs | Supported employment -  For each participating country, number  of FTE jobs created, and jobs maintained in beneficiary entities for the FP project (by type of job) | Sustained employment -  For each participating country ,  increase  of FTE jobs in beneficiary entities following FP project (by type of job) | Total employment  - Number of direct & indirect jobs created or maintained  or transferred in the Union  due to diffusion of FP results (by type of job)   |  |  | | --- | --- | | — | Number of direct and indirect jobs created in knowledge-intensive sectors per participating country | |
| Leveraging investments in R&I | Co-investment -  Amount of public & private investment mobilised with the initial FP investment | Scaling-up -  Amount of public & private investment mobilised to exploit or scale-up FP results | Contribution to ‘3 % target’ -  EU progress towards 3 % GDP target due to FP |

Amendment 169

Proposal for a regulation

Annex V — subheading 4 a (new)

|  |  |
| --- | --- |
| Text proposed by the Commission | Amendment |
|  | Impact pathway indicators for the European Research Area |

Amendment 170

Proposal for a regulation

Annex V — table 3 a (new)

Text proposed by the Commission

Amendment

|  |  |  |  |
| --- | --- | --- | --- |
| Towards impact for the ERA | Short-term | Medium-term | Longer-term |
| Attracting and retaining talents in the Union | FP-funded mobility  Incoming and outgoing mobilities or researchers and innovators, within and outside the Union, per country | FP funded internationalisation   |  |  | | --- | --- | | — | evolution and share foreign researchers and innovators based in all ERA countries |  |  |  | | --- | --- | | — | Evolution of connectivity and networking activities of research institutions, including public-private connections | | Attractive R&I systems   |  |  | | --- | --- | | — | Foreign investments in innovative activities in the Union  - Number of patents in participating countries |  |  |  | | --- | --- | | — | Licences revenues from abroad | |
| Spreading excellence and widening participation | Participation in FP   |  |  | | --- | --- | | — | Share of coordinators and participants from widening countries per part of the Programme and per instruments, |  |  |  | | --- | --- | | — | Share of evaluators and governance boards’ members including from widening countries and low-performing R&I regions | | Creation and modernisation of pockets of excellence  Excellent R&I ecosystems, including low-performing R&I regions becoming hubs and drivers of change within their own country | |
| R&I divide | Geographical concentration   |  |  | | --- | --- | | — | Success rates |  |  |  | | --- | --- | | — | Utilisation of Union-funded research infrastructures in all ERA countries | | Strategic planning of EU funding programmes  Synergies and interactions between FP and Smart Specialisation Strategies | Enhancing national R&I systems   |  |  | | --- | --- | | — | Increase of high-quality and independent competitive research funding and career evaluation systems |  |  |  | | --- | --- | | — | Increase in private and in national public spending for R&I | |

---

---

[Top](#document1)