EN European Parliament

European Parliament 2014-2019

Plenary sitting

A8-0401/2018

27.11.2018

***I REPORT

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

Committee on Industry, Research and Energy

Rapporteur: Dan Nica

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EN United in diversity EN

PR_COD_1amCom

Symbols for procedures

* Consultation procedure *** Consent procedure ***I Ordinary legislative procedure (first reading) ***II Ordinary legislative procedure (second reading) ***III Ordinary legislative procedure (third reading)

(The type of procedure depends on the legal basis proposed by the draft act.)

Amendments to a draft act

Amendments by Parliament set out in two columns

Deletions are indicated in bold italics in the left-hand column. Replacements are indicated in bold italics in both columns. New text is indicated in bold italics in the right-hand column.

The first and second lines of the header of each amendment identify the relevant part of the draft act under consideration. If an amendment pertains to an existing act that the draft act is seeking to amend, the amendment heading includes a third line identifying the existing act and a fourth line identifying the provision in that act that Parliament wishes to amend.

Amendments by Parliament in the form of a consolidated text

New text is highlighted in bold italics. Deletions are indicated using either the ▌symbol or strikeout. Replacements are indicated by highlighting the new text in bold italics and by deleting or striking out the text that has been replaced. By way of exception, purely technical changes made by the drafting departments in preparing the final text are not highlighted.

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CONTENTS

Page

DRAFT EUROPEAN PARLIAMENT LEGISLATIVE RESOLUTION ...... 5

OPINION OF THE COMMITTEE ON DEVELOPMENT ...... 140

OPINION OF THE COMMITTEE ON BUDGETS ...... 175

OPINION OF THE COMMITTEE ON BUDGETARY CONTROL ...... 189

OPINION OF THE COMMITTEE ON THE ENVIRONMENT, PUBLIC HEALTH AND FOOD SAFETY ...... 205

OPINION OF THE COMMITTEE ON TRANSPORT AND TOURISM ...... 249

OPINION OF THE COMMITTEE ON REGIONAL DEVELOPMENT ...... 272

OPINION OF THE COMMITTEE ON AGRICULTURE AND RURAL DEVELOPMENT ...... 340

OPINION OF THE COMMITTEE ON CULTURE AND EDUCATION ...... 354

PROCEDURE – COMMITTEE RESPONSIBLE ...... 386

FINAL VOTE BY ROLL CALL IN COMMITTEE RESPONSIBLE ...... 387

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DRAFT EUROPEAN PARLIAMENT LEGISLATIVE RESOLUTION on the proposal for a regulation of the European Parliament and of the Council establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination (COM(2018)0435 – C8-0252/2018 – 2018/0224(COD))

(Ordinary legislative procedure: first reading)

The European Parliament,

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

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

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

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

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

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

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

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

Amendment 1

Proposal for a regulation Recital 1

Text proposed by the Commission Amendment

(1) It is the Union's objective to (1) It is the Union's objective to strengthen its scientific and technological strengthen its scientific excellence and bases and encourage its competitiveness, technological bases in which researchers, including in its industry, while promoting scientific knowledge and technology all research and innovation activities to circulate freely and encourage its

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

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

Amendment 5

Proposal for a regulation Recital 4

Text proposed by the Commission Amendment

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

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Competitiveness'. of the Programme.

Amendment 6

Proposal for a regulation Recital 5

Text proposed by the Commission Amendment

(5) Open science, including open (5) Open science has the potential to access to scientific publications and increase the quality, impact and benefits of research data, has the potential to increase science and to accelerate the advancement the quality, impact and benefits of science of knowledge by making it more reliable, and to accelerate the advancement of more efficient and accurate, better knowledge by making it more reliable, understandable by society and responsive more efficient and accurate, better to societal challenges. Provisions should be understandable by society and responsive laid down to ensure that beneficiaries to societal challenges. Provisions should be provide open access to peer-reviewed laid down to ensure that beneficiaries scientific publications, research data and provide open access to peer-reviewed other research outputs in an open and non- scientific publications, research data and discriminatory manner, free of charge and other research outputs in an open and non- as early as possible in the dissemination discriminatory manner, free of charge and process, and to enable their widest possible as early as possible in the dissemination use and re-use. As far as research data is process, and to enable their widest possible concerned, the principle should be “as use and re-use. More emphasis should in open as possible, as closed as necessary”, particular be given to the responsible thereby recognising the need for different management of research data, which access regimes because of the Union’s should comply with the FAIR principles of socio-economic interest, intellectual ‘Findability’, ‘Accessibility’, property rights, personal data protection ‘Interoperability’ and ‘Reusability’, and confidentiality, security concerns and notably through the mainstreaming of Data other legitimate interests. More emphasis Management Plans. Where appropriate, should be given to the responsible beneficiaries should make use of the management of research data, which possibilities offered by the European Open should comply with the FAIR principles of Science Cloud and adhere to further open ‘Findability’, ‘Accessibility’, science principles and practices. ‘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

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

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Text proposed by the Commission Amendment

(7) Activities supported under the (7) Activities supported under the Programme should contribute towards the Programme should contribute towards the achievement of the Union's objectives and achievement of the Union's and the priorities, the monitoring and assessment Programme’s objectives, priorities and of progress against those objectives and commitments, the monitoring and priorities and for the development of assessment of progress against those revised or new priorities. 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 (8) The Programme should maintain a balanced approach between bottom-up balanced approach between bottom-up (investigator or innovator driven) and top- (investigator or innovator driven) and top- down (determined by strategically defined down (determined by strategically defined priorities) funding, according to the nature priorities) funding, according to the nature of the research and innovation of the research and innovation communities that are engaged, the types communities that are engaged across the and purpose of the activities carried out Union, the success rates per area of and the impacts that are sought. The mix of intervention, the types and purpose of the these factors should determine the choice activities carried out, the subsidiarity of approach for the respective parts of the principle and the impacts that are sought. Programme, all of which contribute to all The mix of these factors should determine of the Programme’s general and specific the choice of approach for the respective objectives. parts of the Programme, all of which contribute to all of the Programme’s

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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)

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

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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 (10) The pillar 'Global Challenges and Industrial Competitiveness' should be European Industrial Competitiveness' established through clusters of research and should be established through clusters of innovation activities, in order to maximise research and innovation activities, in order integration across the respective work areas to maximise integration across the while securing high and sustainable levels respective work areas while securing high of impact in relation to the resources that and sustainable levels of impact for the are expended. It will encourage cross- Union in relation to the resources that are disciplinary, cross-sectoral, cross-policy expended. It will encourage cross- and cross-border collaboration in pursuit of disciplinary, cross-sectoral, cross-policy the UN SDGs and the competitiveness of and cross-border collaboration in pursuit of the Union's industries therein. 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 (11) Full and timely engagement of Programme, at all levels from the industry in the Programme, at all levels individual entrepreneur and small and from the individual entrepreneur and small

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medium-sized enterprises to large scale and medium-sized enterprises to large scale enterprises, should constitute one of the enterprises, should continue specifically main channels through which the towards the creation of sustainable jobs Programme's objectives are to be realised, and growth in Europe strengthening specifically towards the creation of private-public cooperation and enhancing sustainable jobs and growth. Industry R&I investment from the private sector. should contribute to the perspectives and priorities established through the strategic planning process which should support the development of work programmes. Such engagement by industry should see its participation in the actions supported at levels at least commensurate with those under the previous framework programme Horizon 2020 established by Regulation (EU) No 1291/2013 of the European Parliament and the Council13 ('Horizon 2020'). ______13

Amendment 19

Proposal for a regulation Recital 11 a (new)

Text proposed by the Commission Amendment

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

Amendment 20

Proposal for a regulation Recital 12

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Text proposed by the Commission Amendment

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

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

Amendment 23

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Proposal for a regulation Recital 14

Text proposed by the Commission Amendment

(14) The Commission's Communication (14) The Commission's Communication on the interim evaluation of Horizon 2020 on the interim evaluation of Horizon 2020 (COM(2018) 2 final) has provided a set of (COM(2018) 2 final) and the European recommendations for this Programme, Parliament’s report on the assessment of including its Rules for participation and the implementation of Horizon 2020 in dissemination, building on the lessons view of its interim evaluation and the learnt from the previous Programme as Framework Programme 9 proposal well as input from EU institutions and (2016/2147(INI)) have provided a set of stakeholders. Those recommendations recommendations for this Programme, include to invest more ambitiously in order including its Rules for participation and to reach critical mass and maximise dissemination, building on the lessons impact; to support breakthrough learnt from the previous Programme as innovation; to prioritise Union research and well as input from EU institutions and innovation (R&I) investments in areas of stakeholders. Those recommendations high added value, notably through mission- include to invest more ambitiously in order orientation, citizen involvement and wide to reach critical mass and maximise communication; to rationalise the Union impact; to support breakthrough funding landscape, including by innovation; to prioritise Union research and streamlining the range of partnership innovation (R&I) investments in areas of initiatives and co-funding schemes; the high added value, notably through mission- development of more and concrete orientation, full, well-informed and timely synergies between different Union funding citizen involvement and wide instruments, notably with the aim of communication; to rationalise the Union helping to mobilise under-exploited R&I funding landscape in order to fully use the potential across the Union; to strengthen R&I potential of all Member States, international cooperation and reinforce including by streamlining the range of openness to third countries' participation; partnership initiatives and co-funding and to continue simplification based on schemes; the development of more and implementation experiences from Horizon concrete synergies between different Union 2020. 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.

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Amendment 24

Proposal for a regulation Recital 15

Text proposed by the Commission Amendment

(15) The Programme should seek (15) Cohesion policy should continue synergies with other Union programmes, to contribute to research and innovation. from their design and strategic planning, to Therefore, special attention needs to be project selection, management, paid to the coordination and communication, dissemination and complementarity between the two Union exploitation of results, to monitoring, policies. The Programme should seek auditing and governance. With a view to alignment of rules and synergies with avoiding overlaps and duplication and other Union programmes as referred to in increasing the leverage of Union funding, Annex IV to this Regulation, from their transfers from other Union programmes to design and strategic planning, to project Horizon Europe activities can take place. selection, management, communication, In such cases they will follow Horizon dissemination and exploitation of results, Europe rules. 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

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

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uphold its interests in strategic areas.14 can uphold its interests. ______14 See e.g. the Commission's proposal for a 14 See e.g. the Commission's proposal for a regulation establishing a framework for regulation establishing a framework for screening Foreign Direct Investment into screening Foreign Direct Investment into the EU (COM (2017)487). the EU (COM (2017)487).

Amendment 27

Proposal for a regulation Recital 17 a (new)

Text proposed by the Commission Amendment

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

Amendment 28

Proposal for a regulation Recital 18

Text proposed by the Commission Amendment

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

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Amendment 29

Proposal for a regulation Recital 19

Text proposed by the Commission Amendment

(19) The pillar 'Open Innovation' should (19) The pillar 'Innovative Europe' establish a series of measures for integrated should establish a series of measures for support to the needs of entrepreneurs and integrated support to the needs of entrepreneurship aiming at realising and entrepreneurs and research-driven accelerating breakthrough innovation for entrepreneurship aiming at realising and rapid market growth. It should attract accelerating breakthrough innovation for innovative companies with potential for rapid market growth as well as promoting scaling up at international and at Union the Union’s technological autonomy in level and offer fast, flexible grants and co- strategic areas. It should attract innovative investments, including with private companies, including SMEs and start-ups, investors. These objectives should be with potential for scaling up at pursued through the creation of a European international and at Union level and offer Innovation Council (EIC). This Pillar fast, flexible grants and co-investments, should also support the European Institute including with private investors. These of Innovation and Technology (EIT) and objectives should be pursued through the European innovation ecosystems at large, creation of a European Innovation Council notably through co-funding partnerships (EIC). This Pillar should also support the with national and regional innovation European Institute of Innovation and support actors. 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 (20) In order to address the need to Programme will be also addressed support investment in higher-risk and through financial instruments and non-linear activities such as research and budgetary guarantee under the policy innovation, it is essential that Horizon windows of the InvestEU Fund. Financial Europe, in particular the EIC, as well as support should be used to address market the EIT with its KICs, work in synergy failures or sub-optimal investment with the financial products to be deployed situations, in a proportionate manner and under InvestEU. In that regard, the

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actions should not duplicate or crowd out experience gained from the financial private financing or distort competition in instruments deployed under Horizon 2020 the Internal market. Actions should have such as InnovFin and the loan guarantee a clear European added value. 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 – deleted Pathfinder and Accelerator – should aim at identifying, developing and deploying breakthrough market creating innovations and supporting their rapid scale-up to EU and international levels. Through coherent and streamlined support to breakthrough innovation the EIC should fill the current vacuum in public support and private investment for breakthrough innovation. The instruments of the EIC call for dedicated legal and management features in order to reflect its objectives, in particular market deployment activities.

Amendment 32

Proposal for a regulation Recital 22

Text proposed by the Commission Amendment

(22) Through EIC blended finance, the (22) Through EIC blended finance, the Accelerator should bridge the “valley of EIC Accelerator should bridge the “valley death” between research, pre-mass of death” between research, pre-mass commercialisation and the scaling-up of commercialisation and the scaling-up of companies. In particular, the Accelerator companies. In particular, the Accelerator should provide support to operations should provide support to operations

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presenting such technological or market presenting such technological or market risks that they are not considered as risks that they are not considered as bankable and cannot leverage significant bankable and cannot leverage significant investments from the market, hence investments from the market, hence complementing the InvestEU programme complementing the InvestEU programme established by Regulation …15 .. established by Regulation …15 .. ______15 15 ...

Amendment 33

Proposal for a regulation Recital 23

Text proposed by the Commission Amendment

(23) The EIT, primarily through its (23) The EIT, primarily through its Knowledge and Innovation Communities Knowledge and Innovation Communities (KICs), should aim at strengthening (KICs) and the EIT Regional Innovation innovation ecosystems that tackle global Scheme should aim at strengthening challenges, by fostering the integration of innovation ecosystems for the business, research, higher education and development of an overall Union capacity entrepreneurship. The EIT should foster for innovation that tackle global innovation in its activities and should challenges, by fostering the integration of support the integration of higher education business, research, higher education and within the innovation ecosystem, in entrepreneurship. In line with its founding particular by: stimulating entrepreneurial act, the EIT Regulation1a and the education, fostering strong non- Strategic Innovation Agenda of the EIT1b, disciplinary collaborations between the EIT should foster innovation in its industry and academia; and identifying activities and should support the prospective skills for future innovators to integration of higher education within the address global challenges, which includes innovation ecosystem, in particular by: advanced digital and innovation skills. stimulating entrepreneurial education, Support schemes provided by the EIT fostering strong non-disciplinary should benefit to EIC beneficiaries, while collaborations between industry and start-ups emerging from EIT KICs should academia; and identifying prospective have access to EIC actions. While the skills for future innovators to address EIT’s focus on innovation ecosystems global challenges, which includes should make it naturally fit within the pillar advanced digital and innovation skills. 'Open Innovation', the planning of its Support schemes provided by the EIT KICs should be aligned through the should benefit to EIC beneficiaries, while strategic planning process with the pillar start-ups emerging from EIT KICs should 'Global Challenges and Industrial have fast-track access to EIC actions. Competitiveness'. 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

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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. ______1a Regulation (EU) 294/2008 of the European Parliament and of the Council of 11 March 2008 (OJ L97/1, 9.4.2008), as amended by Regulation (EU) 1292/2013 of the European Parliament and of the Council of 11 December 2013 (OJ L347/174, 20.12.2013. 1b Regulation (EU) of the European Parliament and of the Council.

Amendment 34

Proposal for a regulation Recital 24

Text proposed by the Commission Amendment

(24) Ensuring and preserving a level (24) Ensuring and preserving a level playing field for companies that compete in playing field for companies that compete in a given market should be a key a given market should be a key requirement for breakthrough or disruptive requirement for breakthrough or disruptive innovation to flourish thereby enabling in innovation to flourish thereby enabling in particular small and medium-size particular small and medium-size innovators to reap the benefits of their innovators to reap the benefits of their investment and to capture a share of the investment and to capture a share of the market. 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

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Proposal for a regulation Recital 25

Text proposed by the Commission Amendment

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

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scientific knowledge publicly accessible, concerns, needs and expectations, and facilitating participation by citizens promoting science education, making and civil society organisations in its scientific knowledge publicly accessible, activities. It should do so across the and facilitating participation of citizens and Programme and through dedicated civil society organisations in its activities. activities in the part 'Strengthening the The measures taken to improve the European Research Area'. The involvement of citizens and civil society engagement of citizens and civil society in should be monitored. research and innovation should be coupled with public outreach activities to generate and sustain public support for the Programme. The programme should also seek to remove barriers and boost synergies between science, technology, culture and the arts to obtain a new quality of sustainable innovation.

Amendment 37

Proposal for a regulation Recital 26 a (new)

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

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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 (27) Pursuant to Article 349 of the TFEU, the Union's outermost regions are TFEU, the Union's outermost regions are entitled to specific measures (taking into entitled to specific measures (taking into account their structural, social and account their structural, social and economic situation) regarding access to economic situation) regarding access to horizontal Union programmes. The horizontal Union programmes. The Programme should therefore take into Programme should therefore take into account the specific characteristics of those account the specific characteristics of those regions in line with the Commission's regions in line with the Commission's Communication on 'A stronger and Communication on 'A stronger and renewed strategic partnership with the EU's renewed strategic partnership with the EU's outermost regions' (COM (2017) 623 final) outermost regions' (COM (2017) 623 final) as endorsed by the Council on 12 April as endorsed by the Council on 12 April 2018. 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

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dimension should be adequately women and men including equal pay integrated in research and innovation principles as referred to in Article 141(3) content and followed through at all stages of the TFEU and in Directive 2006/54/EC of the research cycle. 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 (29) In light of the specificities of the defence industry sector, the detailed defence industry sector, the detailed provisions for Union funding to defence provisions for Union funding to defence research projects should be fixed in the research projects should be fixed in the Regulation … establishing the European Regulation … establishing the European Defence Fund16 which defines the rules of Defence Fund16 which defines the rules of participation for defence research. participation for defence research. Research and innovation activities carried Although synergies between Horizon out under the European Defence Fund Europe and the European Defence Fund should have an exclusive focus on defence could be encouraged while avoiding applications. duplication, actions under Horizon Europe should have an exclusive focus on civilian applications. ______16 16 ...

Amendment 42

Proposal for a regulation Recital 31 a (new)

Text proposed by the Commission Amendment

(31 a) Administrative simplification, in particular the reduction of the administrative burden and delays for beneficiaries should be continuously sought in the establishment, implementation, evaluation, reporting and

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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 (33) Pursuant to [reference to be updated as appropriate according to a new decision as appropriate according to a new decision on OCTs: Article 94 of Council Decision on OCTs: Article 94 of Council Decision 2013/755/EU23 ], persons and entities 2013/755/EU23 ], persons and entities established in overseas countries and established in overseas countries and territories (OCTs) are eligible for funding territories (OCTs) are eligible for funding subject to the rules and objectives of the subject to the rules and objectives of the Programme and possible arrangements Programme and possible arrangements applicable to the Member State to which applicable to the Member State to which the relevant overseas country or territory is the relevant overseas country or territory is linked. linked. The Programme should take due account of the specific features of those territories in order to ensure their effective participation and to support cooperation and synergies, particularly in the outermost regions as well as with third countries in their neighbourhood. ______23 Council Decision 2013/755/EU of 25 23 Council Decision 2013/755/EU of 25 November 2013 on the association of the November 2013 on the association of the overseas countries and territories with the overseas countries and territories with the

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European Union (Overseas Association European Union (Overseas Association Decision) (OJ L 344, 19.12.2013, p. 1). Decision) (OJ L 344, 19.12.2013, p. 1).

Amendment 45

Proposal for a regulation Recital 34

Text proposed by the Commission Amendment

(34) Pursuant to paragraph 22 and 23 of (34) Pursuant to paragraph 22 and 23 of the Inter-institutional agreement for Better the Inter-institutional agreement for Better Law-Making of 13 April 2016, there is a Law-Making of 13 April 2016, there is a need to evaluate this Programme on the need to evaluate this Programme on the basis of information collected through basis of information collected through specific monitoring requirements, while specific monitoring requirements, while avoiding overregulation and administrative avoiding overregulation and administrative burdens, in particular on Member States. burdens, in particular on Member States These requirements, where appropriate, and beneficiaries under the Programme. can include measurable indicators, as a These requirements, where appropriate, basis for evaluating the effects of the can include measurable indicators, as a Programme on the ground. 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 (38) Common rules and requirements Programme should ensure a coherent across the Programme should ensure framework which facilitates participation simplified and common implementing in programmes financially supported by the tools including for monitoring and budget of the Programme, including reporting and a coherent framework which participation in programmes managed by facilitates participation in programmes funding bodies such as the EIT, joint financially supported by the budget of the undertakings or any other structures under Programme, including participation in Article 187 TFEU, and participation in programmes managed by funding bodies programmes undertaken by Member States such as the EIT, joint undertakings or any pursuant to Article 185 TFEU. Flexibility other structures under Article 187 TFEU, to adopt specific rules should be ensured and participation in programmes when justified. undertaken by Member States pursuant to Article 185 TFEU. Adopting specific rules should be possible but exceptions must be

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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 (39) Actions which fall within the scope of the Programme should respect of the Programme should respect fundamental rights and observe the fundamental rights and observe the principles acknowledged in particular by principles acknowledged in particular by the Charter of Fundamental Rights of the the Charter of Fundamental Rights of the European Union. Such actions should be in European Union. Such actions should be in conformity with any legal obligation conformity with any legal obligation including international law and with any including international law and with any relevant Commission decisions such as the relevant Commission decisions such as the Commission notice of 28 June 201324 , as Commission notice of 28 June 201324 , as well as with ethical principles, which well as with ethical principles, which include avoiding any breach of research include avoiding any breach of research integrity. Article 13 TFEU should also be integrity. The opinions of the European taken into account in research activities, Group on Ethics in Science and New and the use of animals in research and Technologies, the European Union testing should be reduced, with a view Agency for Fundamental Rights and the ultimately to replacing their use. European Data Protection Supervisor should be taken into account. Article 13 TFEU should also be taken into account in research activities, and the use of animals in research and testing should be reduced, with a view ultimately to replacing their use. ______24 OJ C 205, 19.7.2013, p. 9. 24 OJ C 205, 19.7.2013, p. 9.

Amendment 48

Proposal for a regulation Recital 40

Text proposed by the Commission Amendment

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participation of legal entities established in participation of legal entities established in third countries and of international third countries and of international organisations should be promoted. The organisations should be promoted in the implementation of the Programme should Union’s scientific, societal, economic and be in conformity with the measures technological interests. The adopted in accordance with Articles 75 and implementation of the Programme should 215 TFEU and should be in compliance be in conformity with the measures with international law. For actions related adopted in accordance with Articles 75 and to Union strategic assets, interests, 215 TFEU and should be in compliance autonomy or security, the participation to with international law. For actions related specific actions of the Programme may be to Union strategic assets, interests, limited to entities established in Member autonomy or security, the participation to States only, or to entities established in specific actions of the Programme may be specified associated or other third countries limited to entities established in Member in addition to Member States. 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 (41) Acknowledging climate change as tackling climate change in line with the one of the biggest global and societal Union's commitments to implement the challenges and reflecting the importance Paris Agreement and the United Nations of tackling climate change in line with the Sustainable Development Goals, this Union's commitments to implement the Programme will contribute to mainstream Paris Agreement and the United Nations climate actions and to the achievement of Sustainable Development Goals, this an overall target of 25 % of the EU budget Programme will contribute with at least expenditures supporting climate 35% of its expenditures supporting objectives. 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

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

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Amendment 52

Proposal for a regulation Recital 45

Text proposed by the Commission Amendment

(45) It is appropriate to establish the (45) It is necessary to establish the terms and conditions for providing Union terms and conditions for providing Union funding to participants in actions under the funding to participants in actions under the Programme. Grants should be Programme. Grants will be the main type implemented taking into account all forms of financing within the Programme. of contribution set out in the Financial Other types of financing should be chosen Regulation, including lump sums, flat on the basis of their ability to achieve the rates or unit costs, with the view to further specific objectives of the actions and to simplification. 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 deleted Regulation are referred to as maximums in order to comply with the co-financing principle.

Amendment 54

Proposal for a regulation Recital 47

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Text proposed by the Commission Amendment

(47) In accordance with the Financial (47) In accordance with the Financial Regulation, the Programme should provide Regulation, the Programme should provide the basis for a wider acceptance of the the basis for a wider acceptance of the usual cost accounting practices of the usual cost accounting practices of the beneficiaries as regards personnel costs and beneficiaries as regards personnel costs and unit costs for internally invoiced goods and unit costs for internally invoiced goods and services. 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 (48) The current system of reimbursement of actual personnel costs reimbursement of actual personnel costs should be further simplified building on the should be further simplified building on the project-based remuneration approach project-based remuneration approach developed under Horizon 2020 and further developed under Horizon 2020 and further aligned to the Financial Regulation. 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 (50) Rules governing the exploitation and dissemination of results should be laid and dissemination of results should be laid down to ensure that beneficiaries protect, down to ensure that beneficiaries protect, exploit, disseminate and provide access to exploit, disseminate and provide access to those results as appropriate. More those results as appropriate, taking into

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emphasis should be given to exploiting the consideration the legitimate interests of results, in particular in the Union. the beneficiaries and any other Beneficiaries should update their plans constraints, such as data protection rules, regarding the exploitation and privacy and security rules as well as dissemination of their results during and intellectual property rights, after the end of the action. 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 (51) The key elements of the proposal evaluation and selection system of the evaluation and selection system of the predecessor programme Horizon 2020 with predecessor programme Horizon 2020 with its particular focus on excellence should be its particular focus on excellence, ‘impact’ maintained. Proposals should continue to and ‘quality and efficiency of be selected based on the evaluation made implementation’ criteria should be by independent experts. Where relevant, maintained. Proposals should continue to the necessity to ensure the overall be selected based on the evaluation made coherence of the portfolio of projects by independent experts stemming from as should be taken into account. 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 (52) Systematic cross-reliance on audits

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and assessments – including with other and assessments with other Union Union programmes – should be envisaged, programmes should be implemented in in order to reduce administrative burden accordance with Article 127 of the for beneficiaries of Union funds. Cross Financial Regulation for all parts of the reliance should be explicitly provided for Programme, in order to reduce by considering also other elements of administrative burden for beneficiaries of assurance such as systems and processes Union funds. Cross reliance should be audits. 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 (53) Specific challenges in the areas of research of innovation should be addressed research and innovation should be by prizes, including through common or addressed by prizes, including through joint prizes where appropriate, organised common or joint prizes where appropriate, by the Commission or funding body with organised by the Commission or funding other Union bodies, third countries, body with other Union bodies, third international organisations or non-profit countries, international organisations or legal entities. 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 (54) Financing types and the methods of methods of implementation under this implementation under this Regulation shall Regulation shall be chosen on the basis of be chosen on the basis of their ability to their ability to achieve the specific achieve the specific objectives of the objectives of the actions and to deliver actions and to deliver results, taking into results, taking into account, in particular, account, in particular, the costs of controls,

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the costs of controls, the administrative the administrative burden, and the expected burden, and the expected risk of non- risk of non-compliance. This should compliance. For grants, this shall include include consideration of the use of lump consideration of the use of lump sums, flat sums, flat rates and scales of unit costs. 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 1. This Regulation establishes Horizon Europe - the Framework Horizon Europe - the Framework Programme for Research and Innovation Programme for Research and Innovation (‘the Programme’) and the rules for (‘the Programme’) and the rules for participation and dissemination in indirect participation and dissemination in indirect actions under the Programme. actions under the Programme and determines the framework governing Union support to research and innovation activities. 2. It lays down the objectives of the 2. It lays down the objectives of the Programme, the budget for the period 2021 Programme, the budget for the period 2021 – 2027, the forms of Union funding and the – 2027, the forms of Union funding and the rules for providing such funding. rules for providing such funding. 3. The Programme shall be 3. The Programme shall be implemented through: implemented through: (a) the specific programme established (a) the specific programme established by Decision …/…/EU25 , which includes a by Decision …/…/EU25 , which includes financial contribution to the EIT; the rationale and intervention areas of the EIT; (b) the specific programme on defence (b) the specific programme on defence research established by Regulation research established by Regulation …/…/EU. …/…/EU. 4. The terms 'Horizon Europe', 'the 4. The terms 'Horizon Europe', 'the Programme' and 'specific programme' used Programme' and 'specific programme' used in this Regulation address matters relevant in this Regulation do not address matters only to the specific programme described relevant to the specific programme in paragraph 3(a), unless otherwise described in paragraph 3(b) unless explicitly stated. otherwise explicitly stated. 4.a The EIT shall implement the

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Programme in accordance with the Strategic R&I plan and the Strategic Innovation Agenda of the EIT for the period 2021-2027, with the reserve that any new KIC created shall, if possible, entail additional and adequate budgetary resources and shall not undermine the objectives and the commitments of the existing KICs. ______25 25

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 For the purposes of this Regulation, the following definitions apply: following definitions apply: (1) 'research infrastructures' mean (1) 'research infrastructures' mean facilities that provide resources and facilities that provide resources and services for the research communities to services for the research communities to conduct research and foster innovation in conduct research and foster innovation in their fields. This definition includes the their fields. This definition includes the associated human resources, and it covers associated human resources, and it covers major equipment or sets of instruments; major equipment or sets of instruments in knowledge-related facilities such as particular those supported by other Union collections, archives or scientific data funds as referred to in Annex IV; infrastructures; computing systems, knowledge-related facilities such as communication networks, and any other collections, archives or scientific data infrastructure, of a unique nature and open infrastructures; computing systems, to external users, essential to achieve communication networks, and any other excellence in research and innovation. infrastructure, of a unique nature and open Where relevant, they may be used beyond to external users, essential to achieve research, for example for education or excellence in research and innovation. public services and they may be 'single Where relevant, they may be used beyond sited', 'virtual' or 'distributed'; research, for example for education or public services and they may be 'single sited', 'virtual' or 'distributed'; (2) 'smart specialisation strategy' has (2) 'smart specialisation strategy' has the same meaning as smart specialisation the same meaning as smart specialisation

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strategy as defined in Regulation (EU) No strategy as defined in Regulation (EU) No 1303/2013 of the European Parliament and 1303/2013 of the European Parliament and of the Council26 and fulfilling the enabling of the Council26 and fulfilling the enabling conditions set out in Regulation (EU) XX conditions set out in Regulation (EU) XX [Common Provisions Regulation]; [Common Provisions Regulation]; (3) 'European Partnership' means an (3) 'European Partnership' means an initiative where the Union, together with initiative where the Union, together with private and/or public partners (such as private and/or public partners (such as industry, research organisations, bodies industry, universities, research with a public service mission at local, organisations including research regional, national or international level or infrastructures, bodies with a public civil society organisations including service mission at local, regional, national foundations), commit to jointly support the or international level or civil society development and implementation of a organisations including non-governmental programme of research and innovation organisations and foundations), where activities, including those related to appropriate commit to jointly support the market, regulatory or policy uptake; 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 (4) 'open access' means the practice of providing online access to research outputs providing online access to research outputs resulting from actions funded under the resulting from actions funded under the Programme, in particular scientific Programme, in particular scientific publications and research data, free of publications and research data, free of charge to the end-user; 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 (5) 'mission' means a portfolio of actions intended to achieve a measurable excellence-driven R&I actions which goal within a set timeframe, and impact for could be cross-cluster or cross-cutting science and technology and/or society and intended to achieve a measurable goal citizens that could not be achieved through within a set timeframe, and have an impact individual actions; 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' (6) 'pre-commercial procurement'

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means the procurement of research and means the procurement of research and development services involving risk- development services involving risk- benefit sharing under market conditions, benefit sharing under market conditions, and competitive development in phases, and competitive development in phases, where there is a clear separation of the where there is a clear separation of the research and development services research and development services procured from the deployment of procured from the deployment of commercial volumes of end-products; commercial volumes of end-products; (7) 'public procurement of innovative (7) 'public procurement of innovative solutions' means procurement where solutions' means procurement where contracting authorities act as a launch contracting authorities act as a launch customer for innovative goods or services customer for innovative goods or services which are not yet available on a large-scale which are not yet available on a large-scale commercial basis, and may include commercial basis, and may include conformity testing. conformity testing. (8) “access rights” means rights to use (8) “access rights” means rights to use results or background; results or background under terms and conditions laid down in accordance with this Regulation; (9) “background” means any data, (9) “background” means any data, know-how or information whatever its know-how or information whatever its form or nature, tangible or intangible, form or nature, tangible or intangible, including any rights such as intellectual including any rights such as intellectual property rights, that is: (i) held by property rights, that is: (i) held by beneficiaries prior to their accession to the beneficiaries prior to their accession to the action; (ii) identified by the beneficiaries in action; and (ii) identified by the writing in any manner as needed for beneficiaries in a written agreement as implementing the action or for exploiting needed for implementing the action or for its results; exploiting its results; (10) “dissemination” means the public (10) “dissemination” means the public disclosure of the results by appropriate disclosure of the results by appropriate means (other than resulting from protecting means (other than resulting from protecting or exploiting the results), including by or exploiting the results), including by scientific publications in any medium; scientific publications in any medium; (11) “exploitation” means the use of (11) “exploitation” means the use of results in further research and innovation results in further research and innovation activities other than those covered by the activities other than those covered by the action concerned, or in developing, action concerned, or inter alia, commercial creating, manufacturing and marketing a exploitation such as developing, creating, product or process, or in creating and manufacturing and marketing a product or providing a service, or in standardisation process, or in creating and providing a activities; service, or in standardisation activities; (12) “fair and reasonable conditions” (12) “ fair and reasonable conditions” means appropriate conditions, including means appropriate conditions, including possible financial terms or royalty-free possible financial terms or royalty-free conditions, taking into account the specific conditions, taking into account the specific

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circumstances of the request for access, for circumstances of the request for access, for example the actual or potential value of the example the actual or potential value of the results or background to which access is results or background to which access is requested and/or the scope, duration or requested and/or the scope, duration or other characteristics of the exploitation other characteristics of the exploitation envisaged; envisaged; (13) “funding body” means a body or (13) “funding body” means a body or organisation, other than the Commission, organisation, other than the Commission, as referred to in point (c) of Article 62(1) as referred to in point (c) of Article 62(1) of the Financial Regulation, to which the of the Financial Regulation, to which the Commission has entrusted budget Commission has entrusted budget implementation tasks under the implementation tasks under the Programme; Programme; (14) “international European research (14) “international European research organisation” means an international organisation” means an international organisation, the majority of whose organisation, the majority of whose members are Member States or associated members are Member States or associated countries, and whose principal objective is countries, and whose principal objective is to promote scientific and technological to promote scientific and technological cooperation in Europe; cooperation in Europe; (15) 'legal entity' means any natural or (15) 'legal entity' means any natural or legal person created and recognised as such legal person created and recognised as such under national law, Union law or under national law, Union law or international law, which has legal international law, which has legal personality and which may, acting in its personality and which may, acting in its own name, exercise rights and be subject to own name, exercise rights and be subject to obligations, or an entity without a legal obligations, or an entity without a legal personality in accordance with Article personality in accordance with Article 197(2)(c) of the Financial Regulation; 197(2)(c) of the Financial Regulation; (15 a) ”widening countries” means those countries identified through the composite indicator of Research Excellence (R&D intensity, excellence in S&T, Knowledge- intensity of economy, High Tech& Medium Tech product contribution to trade balance) and with a corrective threshold of 70% of the Union average26a. (16) “non-profit legal entity” means a (16) “non-profit legal entity” means a legal entity which by its legal form is non- legal entity which by its legal form is non- profit-making or which has a legal or profit-making or which has a legal or statutory obligation not to distribute profits statutory obligation not to distribute profits to its shareholders or individual members; to its shareholders or individual members; (17) “mid-cap” means a company that is (17) “mid-cap” means a company that is not a micro-, small- and medium-sized not a micro-, small- and medium-sized enterprise (‘SME’) as defined in enterprise (‘SME’) as defined in Commission Recommendation Commission Recommendation

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2003/361/EC27 , and that has a number of 2003/361/EC27 , and that has a number of employees of up to 3000 where the staff employees of up to 3000 where the staff headcount is calculated in accordance with headcount is calculated in accordance with Articles 3, 4, 5 and 6 of Title I of the Articles 3, 4, 5 and 6 of Title I of the Annex of that Recommendation; Annex of that Recommendation; (18) “results” means any tangible or (18) “results” means any tangible or intangible effect of the action, such as data, intangible output of the action, such as know-how or information, whatever its data, know-how or information, whatever form or nature, whether or not it can be its form or nature, whether or not it can be protected, as well as any rights attached to protected, as well as any rights attached to it, including intellectual property rights; it, including intellectual property rights; (19) “seal of excellence” means a (19) “seal of excellence” means a certified label which shows that a proposal certified label which shows that a proposal submitted to a call for proposals exceeded submitted to a call for proposals exceeded all of the thresholds set out in the work all of the thresholds set out in the work programme, but could not be funded due to programme, but could not be funded due to lack of budget available to that call in the lack of budget available to that call in the work programme; 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 (20) “work programme” means the document adopted by the Commission for document adopted by the Commission for the implementation of the specific the implementation of the specific programme28 in accordance with its Article programme28 in accordance with its Article 12 or the equivalent document in content 12 or the equivalent document in content and structure adopted by a funding body. and structure adopted by a funding body. (21) "reimbursable advance" means the (21) "reimbursable advance" means the part of a Horizon Europe or EIC blended part of Horizon Europe Programme finance corresponding to a loan under Title blended finance corresponding to a loan X of the Financial Regulation, but that is under Title X of the Financial Regulation, directly awarded by the Union on a non- but that is directly awarded by the Union

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profit basis to cover the costs of activities on a non-profit basis to cover the costs of corresponding to an innovation action, and activities corresponding to an innovation to be reimbursed by the beneficiary to the action, and to be reimbursed by the Union under the conditions provided for in beneficiary to the Union under the the contract; conditions provided for in the contract; (22) “contract” means the agreement (22) “ contract” means the agreement concluded between the Commission or a concluded between the Commission or a funding body with a legal entity funding body with a legal entity implementing an innovation and market implementing an innovation and market deployment action and supported by a deployment action and supported by Horizon Europe or EIC blended finance. Horizon Europe Programme blended finance. (23) “classified information” means EU (23) “classified information” means EU classified information ad defined in Article classified information ad defined in Article 3 of Commission Decision (EU, Euratom) 3 of Commission Decision (EU, Euratom) 2015/444 as well as classified information 2015/444 as well as classified information of Member States, classified information of of Member States, classified information of third countries with which the Union has a third countries with which the Union has a security agreement and classified security agreement and classified information of international organisation information of international organisation with which the Union has a security with which the Union has a security agreement; agreement; (24) 'Blending operation' means actions (24) 'Blending operation' means actions supported by the EU budget, including supported by the EU budget, including within blending facilities pursuant to within blending facilities pursuant to Article 2(6) of the Financial Regulation, Article 2(6) of the Financial Regulation, combining non-repayable forms of support combining non-repayable forms of support and/or financial instruments from the EU and/or financial instruments from the EU budget with repayable forms of support budget with repayable forms of support from development or other public finance from development or other public finance institutions, as well as from commercial institutions, as well as from commercial finance institutions and investors; finance institutions and investors; (25) “Horizon Europe or EIC blended (25) “Horizon Europe Programme finance” means a single financial support blended finance” means a single financial to an innovation and market deployment support to an innovation and market action, consisting in a specific combination deployment action, consisting in a specific of a grant or a reimbursable advance with combination of a grant or a reimbursable an investment in equity; 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

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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

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research and innovation activities; (25 i) ‘public procurement’ means the implementation of parts of the Programme related to strategic interests and autonomy of the Union and the carrying out, for the Commission’s own purposes, of public procurement procedures for studies, products, services and capabilities; (25 j) ‘affiliated entity’ means any legal entity that is under the direct or indirect control of a participant, or under the same direct or indirect control as the participant, or that is directly or indirectly controlling a participant; ______26 Regulation (EU) No 1303/2013 of the 26 Regulation (EU) No 1303/2013 of the European Parliament and of the Council of European Parliament and of the Council of 17 December 2013 laying down common 17 December 2013 laying down common provisions on the European Regional provisions on the European Regional Development Fund, the European Social Development Fund, the European Social Fund, the Cohesion Fund, the European Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development Agricultural Fund for Rural Development and the European Maritime and Fisheries and the European Maritime and Fisheries Fund and laying down general provisions Fund and laying down general provisions on the European Regional Development on the European Regional Development Fund, the European Social Fund, the Fund, the European Social Fund, the Cohesion Fund and the European Maritime Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council and Fisheries Fund and repealing Council Regulation (EC) No 1083/2006. Regulation (EC) No 1083/2006. 26a The Commission may review and if necessary update the list of widening countries in its work programmes. 27 27

28 OJ …. 28 OJ ….

Amendment 63

Proposal for a regulation Article 3

Text proposed by the Commission Amendment

Article 3 Article 3 Programme objectives Programme objectives

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1. The Programme’s general objective 1. The Programme’s general objective is to deliver scientific, economic and is to deliver scientific, technological, societal impact from the Union’s economic and societal impact from the investments in research and innovation so Union’s investments in research and as to strengthen the scientific and innovation so as to strengthen the scientific technological bases of the Union and foster and technological bases of the Union as a its competitiveness, including in its whole, to strengthen the European industry, deliver on the Union strategic Research Area and foster its priorities, and contribute to tackling global competitiveness. Research and industry challenges, including the Sustainable shall deliver on the Union strategic Development Goals. priorities and policies, contribute to adressing global challenges, including the Sustainable Development Goals and the Paris Agreement as well as contribute to achieving an overall investment of 3% of the GDP invested in research and development, in line with the committment made by the Union Heads of State and Governments. 2. The Programme has the following 2. The Programme has the following specific objectives: specific objectives: (-a) new to develop, promote and spread scientific and technological excellence; (a) to support the creation and (a) to support the creation and diffusion of high-quality new knowledge, diffusion of high-quality knowledge, skills, skills, technologies and solutions to global technologies and solutions, based on both challenges; 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 (b) to strengthen the Union added and innovation in developing, supporting value of RDI funding, the impact of and implementing Union policies, and research and innovation in developing, support the uptake of innovative solutions supporting and implementing Union in industry and society to address global policies, and support the access to and challenges; uptake of innovative solutions in society and European industry; (c) to foster all forms of innovation, (c) to foster all forms of innovation and including breakthrough innovation, and strengthen market deployment and strengthen market deployment of exploitation of RDI results especially

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innovative solutions; within the Union; (d) to optimise the Programme's (d) to optimise the Programme's delivery for increased impact within a delivery for strengthening and increasing strengthened European Research Area. 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 1. The Programme is structured in the following parts contributing to the general following parts contributing to the general and specific objectives set out in in Article and specific objectives set out in Article 3: 3: (1) Pillar I 'Open Science', pursuing (1) Pillar I ' Excellent and Open the specific objective set out in Article Science' with the following components: 3(2)(a) and also supporting specific objectives set out in Article 3(2)(b) and (c), with the following components: (a) the European Research Council (a) the European Research Council (ERC); (ERC); (b) Marie Skłodowska-Curie Actions (b) Marie Skłodowska-Curie Actions (MSCA); (MSCA); (c) research infrastructures. (c) research infrastructures. (2) Pillar II 'Global Challenges and (2) Pillar II 'Global Challenges and Industrial Competitiveness', pursuing the European Industrial Competitiveness' with specific objective set out in Article 3(2)(b) the following components: and also supporting the specific objectives set out in Article 3(2)(a) and (c), with the following components: (a) cluster 'Health'; (a) cluster 'Health'; (b) cluster 'Inclusive and Secure (b) cluster 'Inclusive and Creative Society'; Society'; (b a) cluster ‘Secure Societies’; (c) cluster 'Digital and Industry'; (c) cluster 'Digital, Industry and Space'; (d) cluster 'Climate, Energy and (d) cluster 'Climate, Energy and

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Mobility'; Mobility'; (e) cluster 'Food and Natural (e) cluster 'Food, Natural Resources Resources'; and Agriculture'; (f) non-nuclear direct actions of the (f) non-nuclear direct actions of the Joint Research Centre (JRC). Joint Research Centre (JRC). (3) Pillar III 'Open Innovation', (3) Pillar III 'Innovative Europe' with pursuing the specific objective set out in the following components: Article 3(2)(c) and also supporting the specific objectives set out in Article 3(2)(a) and (b), with the following components: (a) the European Innovation Council (a) the European Innovation Council (EIC); (EIC); (b) European innovation ecosystems; (b) European innovation ecosystems; (c) the European Institute of (c) the European Institute of Innovation and Technology (EIT). Innovation and Technology (EIT). (4) Part 'Strengthening the European (4) Part 'Strengthening the European Research Area', pursuing the specific Research Area' with the following objective set out in Article 3(2)(d) and also components: supporting the specific objectives set out in Article 3(2)(a), (b) and (c), with the following components: (a) sharing excellence; (a) Spreading excellence and widening participation across the Union; (b) reforming and enhancing the (b) reforming and enhancing the European R&I System. European R&I System. 2. The broad lines of activities are set 2. The broad lines of activities are set out in Annex I. 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 1. Activities to be carried out under the specific programme referred to in the specific programme referred to in Article 1(3)(b) and which are laid down in Article 1(3)(b) and which are laid down in

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Regulation …. establishing the European Regulation …. establishing the European Defence Fund, shall be research with an Defence Fund, shall exclusivly focus on exclusive focus on defence applications, defence research and applications, with with the objective to foster the the objective to foster consolidation, competitiveness, efficiency and innovation competitiveness, efficiency and innovation of defence industry. of the Union's defence industry and avoid duplications between the two programmes. 2 This Regulation does not apply to 2 This Regulation does not apply to the specific programme referred to in the specific programme referred to in Article 1(3)(b), with the exception of this Article 1(3)(b), with the exception of this Article, Article 1(1) and (3) and Article Article, Article 1(1) and (3) and Article 9(1). 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 1. The Programme shall be implemented in direct management in implemented in direct management in accordance with the Financial Regulation accordance with the Financial Regulation or in indirect management with funding or in indirect management with funding bodies referred to in Article 62(1)(c) of the bodies referred to in Article 62(1)(c) of the Financial Regulation. Financial Regulation. 2. The Programme may provide 2. The Programme may provide funding to indirect actions in any of the funding to indirect actions in any of the forms laid down in the Financial forms laid down in the Financial Regulation, in particular grants (including Regulation, in particular grants (including operating grants), prizes and procurements operating grants) which shall be the main It may also provide financing in the form form of support under the Programme, of financial instruments within blending prizes and procurements It may also operations. provide financing in the form of financial instruments within blending operations. 3. The rules for participation and 3. The rules for participation and dissemination laid down in this Regulation dissemination laid down in this Regulation shall apply to indirect actions. shall apply to indirect actions. 4. The main types of action to be used 4. The main types of action to be used under the Programme are set out and under the Programme are set out and defined in Annex II. All forms of funding defined in Article 2 and in Annex II. The

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shall be used in a flexible manner across all forms of funding, referred to in paragraph objectives of the Programme with their use 2, shall be used in a flexible manner across being determined on the basis of the needs all objectives of the Programme with their and the characteristics of the particular use being determined on the basis of the objectives. needs and the characteristics of the particular objectives. 5. The Programme shall also support 5. The Programme shall also support direct actions undertaken by the JRC. direct actions undertaken by the JRC. Where these actions contribute to Where these actions contribute to initiatives established under Article 185 or initiatives established under Article 185 or Article 187 TFEU, this contribution shall Article 187 TFEU, this contribution shall not be considered as part of the financial not be considered as part of the financial contribution allocated to those initiatives. contribution allocated to those initiatives. 6. The implementation of the specific 6. The implementation of the specific programme29 shall be based on a programme29 shall be based on Strategic transparent and strategic multiannual R&I Plans and in accordance with all the planning of research and innovation objectives of the Programme as set out in activities, in particular for the pillar 'Global Article 3 and following a process of Challenges and Industrial transparent, inclusive and strategic Competitiveness', following consultations multiannual planning of research and with stakeholders about priorities and the innovation activities, in particular for the suitable types of action and forms of pillar 'Global Challenges and European implementation to use. This shall ensure Industrial Competitiveness'. alignment with other relevant Union programmes. 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

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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 7. Horizon Europe activities shall be primarily delivered through calls for delivered through calls for proposals, some proposals, some of which organised as of which organised as parts of missions and parts of missions and European European Partnerships, except for the Partnerships. activities referred to in Article 39 on Prizes. 8. Research and innovation activities carried out under Horizon Europe shall have a focus on civil applications. 9. The Programme shall ensure the effective promotion of gender equality and the gender dimension in research and innovation content. Particular attention shall be paid to ensuring gender balance, subject to the situation in the field of research and innovation concerned, in evaluation panels and in bodies such as expert groups. ______29 … 29 …

Amendment 67

Proposal for a regulation Article 6 a (new)

Text proposed by the Commission Amendment

Article 6 a Principles of EU funding and cross- cutting issues 1. Research and innovation activities carried out under Horizon Europe shall have an exclusive focus on civil applications. Budgetary transfers between the Programme and the European

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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.

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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 1. Missions shall be programmed within the pillar 'Global Challenges and within the pillar ‘Global Challenges and Industrial Competitiveness', but may also European Industrial Competitiveness’, but benefit from actions carried out within may also benefit from actions carried out other parts of the Programme. 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 2. The content of the missions, in accordance with Article 5 of the objectives, targets, timelines and their Specific Programme. Evaluation shall be implementation shall be further specified carried out in accordance with Article 26. in the Strategic R&I Plans as identified, as defined in Article 2 and specified in Article 6 of the Framework programme

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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 (a) have a clear EU-added value and contribute to reaching Union priorities; 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 (b) be bold, inspirational, and have hence have wide societal or economic wide societal, scientific, technological, relevance; diplomatic, environmental or economic relevance; (c) indicate a clear direction and be (c) indicate a clear direction and be targeted, measurable and time-bound; targeted, measurable and time-bound; (d) be centered on ambitious but (d) be selected in a transparent realistic research and innovation activities; 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

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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, (e) spark activity across disciplines sectors and actors; (including social sciences and humanities), sectors and actors; (f) be open to multiple, bottom-up (f) be open to multiple, bottom-up solutions. 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.

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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 1. Parts of Horizon Europe may be implemented through European implemented through European Partnerships. The involvement of the Partnerships. The involvement of the Union in European Partnerships may take Union in European Partnerships may take any of the following forms: any of the following forms: (a) participation in partnerships set up (a) participation in partnerships set up on the basis of memoranda of on the basis of memoranda of understanding and/or contractual understanding and/or contractual arrangements between the Commission and arrangements between the Commission and the partners referred to in Article 2(3), the partners referred to in Article 2(3), specifying the objectives of the specifying the objectives of the partnership, related commitments for partnership, related commitments for financial and/or in-kind contributions of financial and/or in-kind contributions of the partners, key performance and impact the partners, key performance and impact indicators, and outputs to be delivered. indicators, and outputs to be delivered. They include the identification of They include the identification of complementary research and innovation complementary research and innovation activities that are implemented by the activities that are implemented by the partners and by the Programme (Co- partners and by the Programme (Co- programmed European Partnerships); programmed European Partnerships); (b) participation in and financial (b) participation in and financial contribution to a programme of research contribution to a programme of research and innovation activities, based on the and innovation activities, based on the commitment of the partners for financial commitment of the partners for financial and in-kind contributions and integration of and in-kind contributions and integration of their relevant activities using a Programme their relevant activities using a Programme co-fund action (Co-funded European co-fund action (Co-funded European Partnerships); Partnerships); (c) participation in and financial (c) participation in and financial contribution to research and innovation and/or in-kind contributions to research programmes undertaken by several and innovation programmes undertaken by

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Member States in accordance with Article several Member States in accordance with 185 TFEU, or by bodies established Article 185 TFEU, or by bodies established pursuant to Article 187 TFEU, such as pursuant to Article 187 TFEU, such as Joint Undertakings, or by the EIT Joint Undertakings, or by the EIT Knowledge and Innovation Communities Knowledge and Innovation Communities in compliance with the [EIT Regulation] in compliance with the [EIT Regulation] (Institutionalised European Partnerships), (Institutionalised European Partnerships), to be implemented only where other forms to be implemented only where other forms of European Partnerships would not of European Partnerships would not achieve the objectives or would not achieve the objectives or would not generate the necessary expected impacts, generate the necessary expected impacts, and if justified by a long-term perspective and if justified by a long-term perspective and high degree of integration including and high degree of integration including central management of all financial central management of all financial contributions. contributions. 2. European Partnerships shall: 2. European Partnerships shall: (a) Be established in cases where they (a) be established only in cases where will more effectively achieve objectives of they will more effectively achieve Horizon Europe than the Union alone; objectives of Horizon Europe when compared to other parts of the Framework programme; (b) Adhere to the principles of Union (b) adhere to the principles of Union added value, transparency, openness, added value, transparency, openness, impact, leverage effect, long-term financial impact, strong leverage effect, long-term commitment of all the involved parties, financial and/or in-kind commitment of all flexibility, coherence and complementarity the involved parties, flexibility, coherence, with Union, local, regional national and and complementarity with Union, local, international initiatives; regional national and international initiatives; (c) Be time limited and include (c) be time limited and include conditions for phasing-out the Programme conditions for phasing-out the Programme funding. 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, Provisions and criteria for their selection, implementation, monitoring, evaluation implementation, monitoring, evaluation and phasing-out are set out in Annex III. and phasing-out are set out in Annex III.

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Amendment 71

Proposal for a regulation Article 9

Text proposed by the Commission Amendment

Article 9 Article 9 Budget Budget 1. The financial envelope for the 1. The financial envelope for the implementation of the Framework implementation of the Framework Programme for the period 2021 – 2027 Programme for the period 2021 – 2027 shall be EUR 94 100 000 000 in current shall be EUR 120 000 000 000 in 2018 prices for the specific programme referred prices for the specific programme referred to in Article 1(3)(a) and, in addition, the to in Article 1(3)(a) and, in addition, the amount for the specific programme amount for the specific programme referred to in Article 1(3)(b), as laid down referred to in Article 1(3)(b), as laid down in Regulation…. establishing the European in Regulation…. establishing the European Defence Fund. Defence Fund. 2. The indicative distribution of the 2. The indicative distribution of the amount referred to in paragraph 1, first half amount referred to in paragraph 1, first half sentence, shall be: sentence, shall be: (a) EUR 25 800 000 000 for Pillar I (a) 27.42 % for Pillar I ' Excellent and 'Open Science' for the period 2021-2027, Open Science' Open Science' for the of which period 2021-2027, of which (1) EUR 16 600 000 000 for the (1) 17.64% for the European Research European Research Council; Council; (2) EUR 6 800 000 000 for Marie (2) 7.23% for Marie Skłodowska-Curie Skłodowska-Curie Actions; Actions; (3) EUR 2 400 000 000 for research (3) 2.55% for research infrastructures; infrastructures; (b) EUR 52 700 000 000 for Pillar II (b) 55.48% for Pillar II 'Global 'Global Challenges and Industrial Challenges and European Industrial Competitiveness' for the period 2021-2027, Competitiveness' for the period 2021-2027, of which of which (1) EUR 7 700 000 000 for cluster (1) 8.16% for cluster 'Health'; 'Health'; (2) EUR 2 800 000 000 for cluster (2) 2.50% for cluster 'Inclusive and 'Inclusive and Secure Society'; Creative Society'; (2 a) 2.00% for cluster ‘Secure Societies’; (3) EUR 15 000 000 000 for cluster (3) 15.94% for cluster 'Digital, Industry

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'Digital and Industry'; and Space'; (4) EUR 15 000 000 000 for cluster (4) 15.84% for cluster 'Climate, Energy 'Climate, Energy and Mobility'; and Mobility'; (5) EUR 10 000 000 000 for cluster (5) 9.00% for cluster 'Food, Natural 'Food and Natural Resources'; Resources and Agriculture'; (6) EUR 2 200 000 000 for the non- (6) 2.04% for non-nuclear direct nuclear direct actions of the Joint Research actions of the Joint Research Centre (JRC). Centre (JRC); (c) EUR 13 500 000 000 for Pillar III (c) 12.71% for Pillar III 'Innovative 'Open Innovation' for the period 2021- Europe' for the period 2021-2027, of 2027, of which which: (1) EUR 10 500 000 000 for the (1) 8.71% for the European Innovation European Innovation Council, including up Council (EIC) including up to 0.53% for to EUR 500 000 000 for European European innovation ecosystems; Innovation Ecosystems; (2) EUR 3 000 000 000 for the (2) 4% for the European Institute of European Institute of Innovation and Innovation and Technology (EIT). Technology (EIT); (d) EUR 2 100 000 000 for Part (d) 4.39% for the Part 'Strengthening 'Strengthening the European Research the European Research Area' with the Area' for the period 2021-2027, of which following components: (1) EUR 1 700 000 000 for 'sharing (1) 4.00% for Spreading excellence excellence'; and widening participation across the Union; (2) EUR 400 000 000 for 'reforming (2) 0.39% for reforming and enhancing and enhancing the European R&I System'. the European R&I System. 3. In order to respond to unforeseen 3. In order to respond to unforeseen situations or to new developments and situations or to new developments and needs, the Commission may, within the needs, the Commission may, within the annual budgetary procedure, deviate from annual budgetary procedure, deviate from the amounts referred to in paragraph 2 up the amounts referred to in paragraph 2 up to a maximum of 10%. No such deviation to a maximum of 10%, including the shall be allowed in respect of the amounts allocation of the contributions from referred to in points (b) (6) of paragraph 2 associated countries. of this Article and the total amount set out for Part 'Strengthening the European Research Area' of paragraph 2 of this Article. 3 a. As part of the general Union objective of mainstreaming climate actions and of spending 30% of the Union budget in support of climate objectives, actions under the Programme shall contribute at least 35% of the expenditure

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under the Programme to climate objectives where appropriate. 3 b. At least EUR 2,5 billion shall be dedicated to grants for incremental innovation in SMEs according to the instrument referred to in Article 43a of this Regulation and in Annex I to the Decision. 3 c. 45% of the budget of cluster ‘Inclusive and Creative Society’ shall support research on cultural and creative sectors, including the Union’s cultural heritage, that shall include EUR 300 million to be earmarked for the creation of a European Cultural Heritage Cloud, as set out in Annex I to the Specific Programme following an impact assessment to be presented to the European Parliament. 3 d. At least EUR 1 billion shall aim to be dedicated to Quantum Research under the ‘Digital, Industry and Space’ cluster under Pillar II. 4. The amount referred to in 4. The amount referred to in paragraph 1, first half sentence, may also paragraph 1, first half sentence may also cover expenses for preparation, cover expenses for preparation, monitoring, control, audit, evaluation and monitoring, control, audit, evaluation and other activities and expenditures necessary other activities and expenditures necessary for managing and implementing the for managing and implementing the Programme, including all administrative Programme, including all administrative expenditure, as well as evaluating the expenditure, as well as evaluating the achievement of its objectives. It may achievement of its objectives. Those moreover cover expenses relating to the expenses shall not exceed 5% of the total studies, meetings of experts, information amount under the Programme. It may and communication actions, in so far as moreover cover expenses relating to the they are related to the objectives of the studies, meetings of experts, information Programme, as well as expenses linked to and communication actions, in so far as information technology networks focusing they are related to the objectives of the on information processing and exchange, Programme, as well as expenses linked to including corporate information technology information technology networks focusing tools and other technical and administrative on information processing and exchange, assistance needed in connection with the including corporate information technology management of the Programme. tools and other technical and administrative assistance needed in connection with the management of the Programme. 5. If necessary, appropriations may be 5. If necessary, appropriations may be entered in the budget beyond 2027 to cover entered in the budget beyond 2027 to cover

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the expenses provided for in paragraph 4, the expenses provided for in paragraph 4, to enable the management of actions not to enable the management of actions not completed by 31 December 2027. completed by 31 December 2027. 6. Budgetary commitments for actions 6. Budgetary commitments for actions extending over more than one financial extending over more than one financial year may be broken down over several year may be broken down over several years into annual instalments. years into annual instalments. 7. Without prejudice to the Financial 7. Without prejudice to the Financial Regulation, expenditure for actions Regulation, expenditure for actions resulting from projects included in the first resulting from projects included in the first work programme may be eligible as from 1 work programme may be eligible as from 1 January 2021. 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 1. Open access to scientific publications resulting from research funded publications resulting from research funded under the Programme shall be ensured in under the Programme shall be ensured in accordance with Article 35(3). Open access accordance with Article 35(3). Open access

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to research data shall be ensured in line to research data shall be ensured in line with the principle 'as open as possible, as with the principle 'as open as possible, as closed as necessary'. Open access to other closed as necessary'. research outputs shall be encouraged. 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 2. Responsible management of research data shall be ensured in line with research data shall be ensured in line with the principles ‘Findability’, ‘Accessibility’, the principles of data ‘Findability’, ‘Interoperability’ and ‘Reusability’ ‘Accessibility’, ‘Interoperability’ and (FAIR). ‘Reusability’ (FAIR). 3. Open science practices beyond 3. Open science practices beyond open access to research outputs and open access to research data and scientific responsible management of research data publications and responsible management shall be promoted. 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

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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 2. The Seal of Excellence shall be certification, or which comply with the awarded for all parts of the Programme. following cumulative, comparative, Actions awarded a Seal of Excellence conditions: certification, or which comply with the following cumulative, comparative, conditions: (a) they have been assessed in a call for (a) they have been assessed in a call for proposals under the Programme; proposals under the Programme; (b) they comply with the minimum (b) they comply with the minimum quality requirements of that call for quality requirements of that call for proposals; proposals; (c) they may not be financed under that (c) they may not be financed under that call for proposals due to budgetary call for proposals due to budgetary constraints, constraints, may receive support from the European may receive support from national or Regional Development Fund, the Cohesion regional funds, including from the Fund, the European Social Fund+ or the European Regional Development Fund, the European Agricultural Fund for Rural Cohesion Fund, the European Social Development, in accordance with Fund+ or the European Agricultural Fund paragraph 5 of Article [67] of Regulation for Rural Development, in accordance with (EU) XX [Common Provisions Regulation] paragraph 5 of Article [67] of Regulation and Article [8] or Regulation (EU) XX (EU) XX [Common Provisions Regulation] [Financing, management and monitoring of and Article [8] or Regulation (EU) XX the Common Agricultural Policy], [Financing, management and monitoring of provided that such actions are consistent the Common Agricultural Policy], without with the objectives of the programme requiring any further application and concerned. The rules of the Fund providing evaluation and provided that such actions support shall apply. 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

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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 Third countries associated to the Programme Programme 1. The Programme shall be open to 1. The Programme shall be open to association of the following third countries: association of the following third countries: (a) European Free Trade Association (a) European Free Trade Association (EFTA) members which are members of (EFTA) members which are members of the European Economic Area (EEA), in the European Economic Area (EEA), in accordance with the conditions laid down accordance with the conditions laid down in the EEA agreement; in the EEA agreement; (b) acceding countries, candidate (b) acceding countries, candidate countries and potential candidates, in countries and potential candidates, in accordance with the general principles and accordance with the general principles and general terms and conditions for the general terms and conditions for the

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participation of those countries in Union participation of those countries in Union programmes established in the respective programmes established in the respective framework agreements and Association framework agreements and Association Council decisions, or similar agreements, Council decisions, or similar agreements, and in accordance with the specific and in accordance with the specific conditions laid down in agreements conditions laid down in agreements between the Union and those countries; between the Union and those countries; (c) countries covered by the European (c) countries covered by the European Neighbourhood Policy, in accordance with Neighbourhood Policy, in accordance with the general principles and general terms the general principles and general terms and conditions for the participation of and conditions for the participation of those countries in Union programmes those countries in Union programmes established in the respective framework established in the respective framework agreements and Association Council agreements and Association Council decisions, or similar agreements, and in decisions, or similar agreements, and in accordance with the specific conditions accordance with the specific conditions laid down in agreements between the laid down in agreements between the Union and those countries; Union and those countries; (d) third countries and territories that (d) third countries and territories that fulfil all of the following criteria: fulfil all of the following criteria: i. a good capacity in science, i. a good capacity in science, technology and innovation; technology and innovation; ii. commitment to a rules-based open ii. commitment to a rules-based open market economy, including fair and market economy, including fair and equitable dealing with intellectual property equitable dealing with intellectual property rights, backed by democratic institutions; rights, respect of human rights, backed by democratic institutions; iii. active promotion of policies to iii. active promotion of policies to improve the economic and social well- improve the economic and social well- being of citizens. being of citizens. Association to the Programme of each of Full or partial association to the the third countries under point(d) shall be Programme of each of the third countries in accordance with the conditions laid under point (d) shall be based on an down in a specific agreement covering the assessment of the benefits for the Union. participation of the third country to any It shall in particular be in accordance with Union programme, provided that the the conditions laid down in a specific agreement: agreement covering the participation of the third country to any Union programme, provided that the agreement: – ensures a fair balance as regards the – ensures a fair balance as regards the contributions and benefits of the third contributions and benefits of the third country participating in the Union country participating in the Union programmes; programmes; – confers the right to coordinate an action under the Programme provided

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that it benefits the Union and that the protection of Union’s financial interest is ensured; – lays down the conditions of – lays down the conditions of participation in the programmes, including participation in the Programme including the calculation of financial contributions to the calculation of financial contributions to individual programmes and their individual (sub-)programmes and their administrative costs. These contributions administrative costs. These contributions shall constitute assigned revenues in shall constitute assigned revenues in accordance with Article 21(5) of the accordance with Article 21(5) of the Financial Regulation; Financial Regulation; – guarantees the rights of the Union – guarantees the rights of the Union to ensure sound financial management and to ensure sound financial management and to protect its financial interests. to protect the Union’s financial interests. 2. The scope of association of each 2. The scope of association of each third country to the Programme shall take third country to the Programme shall take into account the objective of driving into account the objective of driving economic growth in the Union through economic growth in the Union through innovation. Accordingly, with the innovation and shall avoid the brain drain exception of EEA members, acceding from the Union. Accordingly, with the countries, candidate countries and potential exception of EEA members, acceding candidates, parts of the Programme may be countries, candidate countries and potential excluded from an association agreement candidates, mono-beneficiary parts of the for a specific country. Programme may be excluded from an association agreement for a specific country, in particular those dedicated to private entities. 3. The association agreement shall, 3. The association agreement shall, where appropriate, provide for the where appropriate, provide for and pursue participation of legal entities established in reciprocal participation of legal entities the Union in equivalent programmes of established in the Union in equivalent associated countries in accordance with the programmes of associated countries in conditions laid down therein. accordance with the conditions laid down therein. 4. The conditions determining the 4. The association agreement level of financial contribution shall ensure conditions determining the level of an automatic correction of any significant financial contribution shall ensure an imbalance compared to the amount that automatic correction, every two years of entities established in the associated any imbalance compared to the amount country receive through participation in the that entities established in the associated Programme, taking into account the costs country receive through participation in the in the management, execution and Programme, taking into account the costs operation of the Programme. in the management, execution and operation of the Programme. 4 a. The contributions of all associated countries shall be included in the relevant

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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 1. Actions carried out under the Programme shall comply with ethical Programme shall comply with ethical principles and relevant national, Union and principles and relevant national, Union and international legislation, including the international legislation, including the Charter of Fundamental Rights of the Charter of Fundamental Rights of the European Union and the European European Union and the European Convention on Human Rights and its Convention on Human Rights and its Supplementary Protocols. 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 2. Entities participating in the action

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shall provide: shall provide: (a) an ethics self-assessment (a) an ethics self-assessment identifying and detailing all the foreseeable identifying and detailing all the foreseeable ethics issues related to the objective, ethics issues related to the objective, implementation and likely impact of the implementation and likely impact of the activities to be funded, including a activities to be funded, including a confirmation of compliance with paragraph confirmation of compliance with paragraph 1, and a description of how it will be 1, and a description of how it will be ensured; ensured; (b) a confirmation that the activities (b) a confirmation that the activities will comply with the European Code of will comply with the European Code of Conduct for Research Integrity published Conduct for Research Integrity published by All European Academies and that no by All European Academies and that no activities excluded from funding will be activities excluded from funding will be conducted; conducted; (c) for activities carried out outside the (c) for activities carried out outside the Union, a confirmation that the same Union, a confirmation that the same activities would have been allowed in a activities would have been allowed in a Member State; and Member State; and (d) for activities making use of human (d) for activities making use of human embryonic stem cells, as appropriate, embryonic stem cells, as appropriate, details of licensing and control measures details of licensing and control measures that shall be taken by the competent that shall be taken by the competent authorities of the Member States concerned authorities of the Member States concerned as well as details of the ethics approvals as well as details of the ethics approvals that shall be obtained before the activities that shall be obtained before the activities concerned start. concerned start. 3. Proposals shall be systematically 3. Proposals shall be systematically screened to identify those actions raising screened to identify those actions raising complex or serious ethics issues and complex or serious ethics issues and submit them to an ethics assessment. The submit them to an ethics assessment. The ethics assessment shall be carried out by ethics assessment shall be carried out by the Commission unless it is delegated to the Commission unless it is delegated to the funding body. For actions involving the the funding body. For actions involving the use of human embryonic stem cells or use of human embryonic stem cells or human embryos, an ethics assessment shall human embryos, an ethics assessment shall be mandatory. Ethics screenings and be mandatory. Ethics screenings and assessments shall be carried out with the assessments shall be carried out with the support of ethics experts. The Commission support of ethics experts. The Commission and the funding bodies shall ensure the and the funding bodies shall ensure the transparency of the ethics procedures as transparency of the ethics procedures. much as possible. 4. Entities participating in the action 4. Entities participating in the action shall obtain all approvals or other shall obtain all approvals or other mandatory documents from the relevant mandatory documents from the relevant national, local ethics committees or other national, local ethics committees or other

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bodies such as data protection authorities bodies such as data protection authorities before the start of the relevant activities. before the start of the relevant activities. Those documents shall be kept on file and Those documents shall be kept on file and provided to the Commission or funding provided to the Commission or funding body upon request. body upon request. 5. If appropriate, ethics checks shall 5. If appropriate, ethics checks shall be carried out by the Commission or be carried out by the Commission or funding body. For serious or complex funding body. For serious or complex ethics issues, the checks shall be carried ethics issues, the checks shall be carried out by the Commission unless it is out by the Commission unless it is delegated to the funding body. delegated to the funding body. Ethics checks shall be carried out with the Ethics checks shall be carried out with the support of ethics experts. support of ethics experts. 6. Actions which are not ethically 6. Actions which are not ethically acceptable may be rejected or terminated at acceptable shall be rejected or terminated any time. 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 1. Actions carried out under the Programme shall comply with the Programme shall comply with the applicable security rules and in particular applicable security rules and in particular rules on protection of classified rules on protection of classified information against unauthorised information against unauthorised disclosure, including compliance with any disclosure, including compliance with any relevant national and Union law. In case of relevant national and Union law. In case of research carried out outside the Union research carried out outside the Union using and/or generating classified using and/or generating classified information, it is necessary that, in addition information, it is necessary that, in addition to the compliance with those requirements, to the compliance with those requirements, a security agreement shall have to be a security agreement shall have to be concluded between the Union and the third concluded between the Union and the third country in which the research is conducted. country in which the research is conducted. 2. Where appropriate, proposals shall 2. Where appropriate, proposals shall include a security self-assessment include a security self-assessment identifying any security issues and identifying any security issues and detailing how these issues will be detailing how these issues will be

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addressed in order to meet the relevant addressed in order to meet the relevant national and Union law. national and Union law. 3. Where appropriate, the 3. Where appropriate, the Commission or funding body shall carry Commission or funding body shall carry out a security scrutiny for proposals raising out a security scrutiny for proposals raising security issues. security issues. 4. Where appropriate, the actions shall 4. Where appropriate, the actions shall comply with Decision (EU, Euratom) comply with Decision (EU, Euratom) 2015/444, and its implementing rules. 2015/444, and its implementing rules. 5. Entities participating in the action 5. Entities participating in the action shall ensure the protection against shall ensure the protection against unauthorised disclosure of classified unauthorised disclosure of classified information used and/or generated by the information used and/or generated by the action. They shall provide proof of action. They shall provide proof of personal and/or facility security clearance personal and/or facility security clearance from the relevant national security from the relevant national security authorities, prior to the start of the authorities, prior to the start of the activities concerned. activities concerned on request by the Commission or a funding body. 6. If external experts have to deal with 6. If external experts have to deal with classified information, the appropriate classified information, the appropriate security clearance shall be required before security clearance shall be required before those experts are appointed. those experts are appointed. 7. Where appropriate, the 7. Where appropriate, the Commission or funding body may carry Commission or funding body may carry out security checks. out security checks. 8. Actions which do not comply with 8. Actions which do not comply with security rules may be rejected or security rules may be rejected or terminated at any time. 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 1. Any legal entity, regardless of its place of establishment, or international place of establishment, including legal organisation may participate in actions entities from non-associated third under the Programme, provided that the countries or international organisation may conditions laid down in this Regulation participate in actions under the

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have been met together with any conditions Programme, provided that the conditions laid down in the work programme or call. 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 2. Entities shall be part of a consortium that shall include at least three consortium that shall include at least three independent legal entities each established independent legal entities each established in a different Member State or associated in a different Member State including country and with at least one of them outermost regions or in an associated established in a Member State, unless: 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) 3. European Research Council (ERC) frontier research actions, European frontier research actions, European Innovation Council (EIC) actions, training Innovation Council (EIC) actions, training and mobility actions or programme co-fund and mobility actions or programme co-fund actions may be implemented by one or actions may be implemented by one or more legal entities, one of which must be more legal entities, one of which must be established in a Member State or established in a Member State or where associated country. applicable associated country as referred to in Article 12(1). 4. Coordination and support actions 4. Coordination and support actions may be implemented by one or more legal may be implemented by one or more legal entities, which may be established in a entities, which may be established in a Member State, associated country or in Member State or associated country or in another third country. another third country. 5. For actions related to Union 5. For actions related to Union strategic assets, interests, autonomy or strategic assets, interests, autonomy or security, the work programme may provide security, the work programme may provide that the participation can be limited to that the participation can be limited to those legal entities established in Member those legal entities established in Member States only, or to those legal entities States only, or to those legal entities established in specified associated or other established in specified associated or other third countries in addition to Member third countries in addition to Member States. States. 6. The work programme may provide 6. The work programme may provide for eligibility criteria in addition to those for eligibility criteria in addition to those set out in paragraphs 2, 3, 4, and 5 set out in paragraphs 2, 3, 4, and 5 according to specific policy requirements according to specific policy requirements or to the nature and objectives of the or to the nature and objectives of the action, including the number of legal action, including the number of legal

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entities, the type of legal entity and the entities, the type of legal entity and the place of establishment. place of establishment. 7. For actions benefiting from 7. For actions benefiting from amounts under Article 9(8), the amounts under Article 11, the participation participation shall be limited to a single shall be limited to a single legal entity legal entity established in the jurisdiction established in the jurisdiction of the of the delegating Managing Authority, delegating Managing Authority, except if except if otherwise agreed with the otherwise agreed with the Managing Managing Authority and provided for in Authority and provided for in the work the work programme. programme. 8. Where indicated in the work 8. Where indicated in the work programme, the Joint Research Centre may programme, the Joint Research Centre may participate in actions. 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 10. For European Research Council (ERC) frontier research actions and (ERC) frontier research actions and training and mobility actions, international training and mobility actions, international organisations with headquarters in a organisations with headquarters in a Member State or associated country shall Member State or associated country shall be deemed to be established in this be deemed to be established in this Member State or associated country. 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 1. Entities are eligible for funding if they are established in a Member State or they are established in a Member State or associated country. associated country as referred to in Article 12 (1). For actions benefiting from amounts under For actions benefiting from amounts under Article 9(8), only entities established in the Article 11(3), only entities established in jurisdiction of the delegating Managing the jurisdiction of the delegating Managing Authority shall be eligible for funding out Authority shall be eligible for funding out

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of these amounts. 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- 2. Entities established in other non- associated third country should in principle associated third countries should bear the bear the cost of their participation. cost of their participation. R&D However, for low to middle income agreements between those non-associated countries and exceptionally for other non- third countries and the Union can be made associated third countries they could be wherever deemed useful, and co-funding eligible for funding in an action if: 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 3. Affiliated entities are eligible for funding in an action if they are established funding in an action if they are established in a Member State, Associated country, or in a Member State or Associated country. in a third country identified in the work programme adopted by the Commission. 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

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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 1. For all actions the content of the Pathfinder transition activities, the content calls for proposals shall be included in the of the calls for proposals shall be included work programme. 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 3. If necessary to achieve their objectives, calls may be restricted to objectives, calls may be restricted to

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develop additional activities or to add develop additional activities or to add additional partners to existing actions. additional partners to existing actions. 4. A call for proposals is not required 4. A call for proposals is not required for coordination and support actions or for coordination and support actions or programme co-fund actions which: programme co-fund actions which: (a) are to be carried out by the Joint (a) are to be carried out by the Joint Research Centre or legal entities identified Research Centre or legal entities identified in the work programme and in the work programme and (b) do not fall within the scope of a call (b) do not fall within the scope of a call for proposals. for proposals. 5. The work programme shall specify 5. The work programme shall specify calls for which "Seals of Excellence" will calls for which "Seals of Excellence" will be awarded. With prior authorisation from be awarded. With prior authorisation from the applicant, information concerning the the applicant, information concerning the application and the evaluation may be application and the evaluation may be shared with interested financing shared with interested financing authorities, subject to the conclusion of authorities, subject to the conclusion of confidentiality agreements. 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 The Commission or funding body may issue a joint call for proposals with: issue a joint call for proposals with: (a) third countries, including their (a) third countries, including their scientific and technological organisations scientific and technological organisations or agencies; 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 In the case of a joint call, applying shall be established for selection and consortia shall fulfil the requirements evaluation of proposals. The procedures under Article 18 of this Regulation and shall involve a balanced group of experts joint procedures shall be established for selection and evaluation of proposals. The

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appointed by each party. 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 Pre-commercial procurement and procurement of innovative solutions procurement of innovative solutions 1. Actions may involve or have as 1. Actions may involve or have as their primary aim pre-commercial their primary aim pre-commercial procurement or public procurement of procurement or public procurement of innovative solutions that shall be carried innovative solutions that shall be carried out by beneficiaries which are contracting out by beneficiaries which are contracting authorities or contracting entities as authorities or contracting entities as defined in Directives 2014/24/EU31 , defined in Directives 2014/24/EU31 , 2014/25/EU32 and 2009/81/EC33 . 2014/25/EU32 and 2009/81/EC33 . 2. The procurement procedures: 2. The procurement procedures: (a) shall comply with the principles of (a) shall comply with the principles of transparency, non- discrimination, equal transparency, non- discrimination, equal treatment, sound financial management, treatment, sound financial management, proportionality and competition rules; proportionality and competition rules; (b) for pre-commercial procurement, (b) for pre-commercial procurement, a may provide for specific conditions such as simplified and/or accelerated procedure the place of performance of the procured may be used, and may provide for specific activities being limited to the territory of conditions such as the place of the Member States and of associated performance of the procured activities countries; being limited to the territory of the Member States and of Associated countries; (c) may authorise the award of multiple (c) may authorise the award of multiple contracts within the same procedure contracts within the same procedure (multiple sourcing); and (multiple sourcing); and (d) shall provide for the award of the (d) shall provide for the award of the contracts to the tender(s) offering best contracts to the tender(s) offering best value for money while ensuring absence of value for money while ensuring absence of conflict of interest. conflict of interest. 3. The contractor generating results in 3. The contractor generating results in pre-commercial procurement shall own at pre-commercial procurement shall own at least the attached intellectual property least the attached intellectual property

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rights. The contracting authorities shall rights. The contracting authorities shall enjoy at least royalty-free access rights to enjoy royalty-free access rights to the the results for their own use and the right results for their own use. If a contractor to grant, or require the participating fails to commercially exploit the results contractors to grant, non-exclusive within a given period after the pre- licences to third parties to exploit the commercial procurement as identified in results for the contracting authority under the contract, the contracting authorities fair and reasonable conditions without shall consult with the contractor and any right to sub-license. If a contractor investigate the reasons for such lack of fails to commercially exploit the results exploitation. After such consultation, the within a given period after the pre- contracting authority can require it to commercial procurement as identified in transfer any ownership of the results to the the contract, the contracting authorities can contracting authorities. require it to transfer any ownership of the results to the contracting authorities. 3 a. Specific provisions regarding ownership, access rights and licensing may be laid down in the contracts for public procurement of innovative solutions. ______31 Directive 2014/24/EU of the European 31 Directive 2014/24/EU of the European Parliament and of the Council of 26 Parliament and of the Council of 26 February 2014 on public procurement and February 2014 on public procurement and repealing Directive 2004/18/EC. (OJ L 94, repealing Directive 2004/18/EC. (OJ L 94, 28.03.2014, p. 65). 28.03.2014, p. 65). 32 Directive 2014/25/EU of the European 32 Directive 2014/25/EU of the European Parliament and of the Council of 26 Parliament and of the Council of 26 February 2014 on procurement by entities February 2014 on procurement by entities operating in the water, energy, transport operating in the water, energy, transport and postal services sectors and repealing and postal services sectors and repealing Directive 2004/17/EC (OJ L 94, Directive 2004/17/EC (OJ L 94, 28.03.2014, p. 243). 28.03.2014, p. 243). 33 Directive 2009/81/EC of the European 33 Directive 2009/81/EC of the European Parliament and of the Council of 13 July Parliament and of the Council of 13 July 2009 on the coordination of procedures for 2009 on the coordination of procedures for the award of certain works contracts, the award of certain works contracts, supply contracts and service contracts by supply contracts and service contracts by contracting authorities or entities in the contracting authorities or entities in the fields of defence and security, and fields of defence and security, and amending Directives 2004/17/EC and amending Directives 2004/17/EC and 2004/18/EC (OJ L 216, 20.08.2009, p.76). 2004/18/EC (OJ L 216, 20.08.2009, p.76).

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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 1. A proposal shall be evaluated on the basis of the following award criteria: the basis of the following award criteria:

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(a) excellence; (a) excellence; (b) impact; (b) impact; (c) quality and efficiency of the (c) quality and efficiency of the implementation. implementation. 2. Only the criterion referred to in 2. Only the criterion referred to in point (a) of paragraph 1 shall apply to point (a) of paragraph 1 shall apply to proposals for ERC frontier research proposals for ERC frontier research actions. 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 3. The work programme shall lay down further details of the application of down further details of the application of the award criteria laid down in paragraph the award criteria laid down in paragraph 1 1, and may specify weightings and including any weighting, thresholds and thresholds. 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 1. Proposals shall be evaluated by the evaluation committee which may be : evaluation committee which shall be : – fully or partially composed of – composed of external independent external independent experts, experts.

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– composed of representatives of In the case of the EIC and missions, the Union Institutions or bodies as referred to evaluation committee may also include in Article 150 of the Financial Regulation. representatives of Union Institutions or bodies as referred to in Article 150 of the Financial Regulation. The evaluation committee may be assisted The evaluation committee may be assisted by independent experts. by independent experts. 2. Where necessary, the evaluation 2. Where necessary, the evaluation committee shall rank the proposals having committee shall rank the proposals having passed the applicable thresholds, according passed the applicable thresholds, according to: to: – the evaluation scores, – the evaluation scores, – their contribution to the – their contribution to the achievement of specific policy objectives, achievement of specific policy objectives, including the constitution of a consistent including the constitution of a consistent portfolio of projects. portfolio of projects. The evaluation committee may also The evaluation committee may only propose any substantial adjustments to the exceptionally and in duly justified cases proposals in as far as needed for the propose adjustments to the proposals in as consistency of the portfolio. 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 1. An applicant may request an evaluation review if it considers that the evaluation review if it considers that the applicable evaluation procedure has not applicable evaluation procedure has not been correctly applied to its proposal. been correctly applied to its proposal. 2. An evaluation review applies only 2. An evaluation review applies only to the procedural aspects of the evaluation, to the procedural aspects of the evaluation, not to the evaluation of the merits of the not to the evaluation of the merits of the

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proposal. 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 3. An evaluation review shall not delay the selection process for proposals delay the selection process for proposals that are not the subject of review. that are not the subject of review. 3 a. The Commission shall ensure the existence of a procedure for participants to make direct enquiries and complaints about their involvement in Horizon Europe. Information on how to register enquiries or complaints shall be made available on-line.

Amendment 88

Proposal for a regulation Article 28

Text proposed by the Commission Amendment

Article 28 Article 28 Time to grant Time to grant 1. By derogation from the first 1. By derogation from the first subparagraph of Article 194(2) of the subparagraph of Article 194(2) of the Financial Regulation, the following periods Financial Regulation, the following periods shall apply: shall apply: (a) for informing all applicants of the (a) for informing all applicants of the outcome of the evaluation of their outcome of the evaluation of their application, a maximum period of five application, a maximum period of five months from the final date for submission months from the final date for submission of complete proposals; of complete proposals; (b) for signing grant agreements with (b) for signing grant agreements with applicants, a maximum period of eight applicants, a maximum period of eight months from the final date for submission months from the final date for submission

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of complete proposals. 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 2. The work programme for the EIC may establish shorter periods. may establish shorter periods. 3. In addition to the exceptions laid 3. In addition to the exceptions laid down in the second subparagraph of down in the second subparagraph of Article 194(2) of the Financial Regulation, Article 194(2) of the Financial Regulation, the periods referred to in paragraph 1 may the periods referred to in paragraph 1 may be exceeded for actions of the ERC, for be exceeded for actions of the ERC, for missions and when actions are submitted to missions and when actions are submitted to an ethics or security assessment. 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 1. If a beneficiary fails to comply with its obligations regarding the technical its obligations regarding the technical implementation of the action, the other implementation of the action, the other beneficiaries shall comply with those beneficiaries shall comply with those obligations without any additional Union obligations without any additional Union funding, unless they are expressly relieved funding, unless they are expressly relieved of that obligation. The financial of that obligation. The financial responsibility of each beneficiary shall be responsibility of each beneficiary shall be limited to its own debt subject to the limited to its own debt subject to the provisions relating to the Mutual Insurance provisions relating to the Mutual Insurance Mechanism. Mechanism. 2. The grant agreement may establish 2. The grant agreement may establish milestones and related pre-financing milestones and related pre-financing installments. If milestones are not met, the installments. If milestones are not met, the action may be suspended, amended or action may be suspended, amended, in terminated. case no corrective action is found, or terminated, upon evaluation by

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independent experts. 3. The action may also be terminated 3. The action may also be terminated where expected results have lost their where expected results and/or milestones relevance for the Union due to scientific, have lost their relevance for both the Union technological or economic reasons, and the beneficiaries due to scientific, including in the case of EIC and missions, technological or economic reasons, their relevance as part of a portfolio of including in the case of EIC and missions, actions. 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 1. A single funding rate per action shall apply for all activities it funds. The shall apply for all activities it funds. The maximum rate shall be fixed in the work maximum rate per action shall be fixed in programme. the work programme. 2. The Programme may reimburse up 2. The Programme may reimburse up to 100 % of total eligible costs of an action, to 100 % of total eligible costs of an action, except for: except for: (a) innovation actions: up to 70 % of (a) innovation actions: up to 70 % of the total eligible costs, except for non- the total eligible costs, except for non- profit legal entities where the Programme profit legal entities, where the Programme may reimburse up to 100 % of the total may reimburse up to 100 % of the total eligible costs; eligible costs; (b) programme co-fund actions: at least (b) programme co-fund actions: at 30 % of the total eligible costs, and in least 30 % of the total eligible costs, and in identified and duly justified cases up to 70 identified and duly justified cases up to 70 %. %. 3. The funding rates determined in 3. The funding rates determined in this Article shall also apply for actions this Article shall also apply for actions where flat rate, unit or lump sum financing where flat rate, unit or lump sum financing is fixed for the whole or part of the action. is fixed for the whole or part of the action.

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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 1. Indirect eligible costs shall be determined by applying a flat rate of 25 % determined by applying a flat rate of 25 % of the total direct eligible costs, excluding of the total direct eligible costs, excluding direct eligible costs for subcontracting, direct eligible costs for subcontracting, financial support to third parties and any financial support to third parties and any unit costs or lump sums which include unit costs or lump sums which include indirect costs. indirect costs. Where appropriate, indirect costs included Where appropriate, indirect costs included in unit costs or lump sums shall be in unit costs or lump sums shall be calculated using the flat rate set out in calculated using the flat rate set out in paragraph 1, except for unit costs for paragraph 1, except for unit costs for internally invoiced goods and services internally invoiced goods and services which shall be calculated on the basis of which shall be calculated on the basis of actual costs, in accordance with the actual costs allowing for allocation keys, beneficiaries' usual costs accounting in accordance with the beneficiaries' usual practices. costs accounting practices. 2. However, if provided for in the 2. However, if provided for in the work programme, indirect costs may be work programme, indirect costs may be declared in the form of a lump sum or unit declared in the form of a lump sum or unit costs. 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 1. In addition to the criteria set out in Article 197 of the Financial Regulation, for Article 197 of the Financial Regulation, for beneficiaries with project-based the beneficiaries with project-based remuneration, costs of personnel are remuneration, costs of personnel are eligible up to the remuneration that the eligible up to the remuneration that the person is paid for work in similar projects person is paid for work in similar projects

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funded by national schemes. 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 Project-based remuneration means remuneration that is linked to the remuneration that is linked to the participation of a person in projects, is part participation of a person in projects, is part of the beneficiary’s usual remuneration of the beneficiary’s usual remuneration practices and is paid in a consistent practices and is paid in a consistent manner. manner. 2. By derogation from Article 190(1) 2. By derogation from Article 190(1) of the Financial Regulation, costs of of the Financial Regulation, costs of resources made available by third parties resources made available by third parties by means of in-kind contributions shall be by means of in-kind contributions shall be eligible, up to the direct eligible costs of eligible, up to the direct eligible costs of the third party. the third party. 3. By derogation from Article 192 of 3. By derogation from Article 192 of the Financial Regulation, income generated the Financial Regulation, income generated by the exploitation of the results shall not by the exploitation of the results shall not be considered as receipts of the action. 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) 4. By derogation from Article 203(4) of the Financial Regulation, a certificate on of the Financial Regulation, a certificate on the financial statements shall be mandatory the financial statements shall be mandatory at payment of the balance, if the amount at payment of the balance, if the amount claimed as actual costs and unit costs claimed as actual costs and unit costs calculated in accordance with usual cost calculated in accordance with usual cost accounting practices is equal to or greater accounting practices is equal to or greater than EUR 325 000. than EUR 325 000. Certificates on financial statements may be issued by a competent and independent

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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 1. A Mutual Insurance Mechanism (the 'Mechanism') is hereby established (the 'Mechanism') is hereby established which shall replace and succeed the fund which shall replace and succeed the fund set up in accordance with Article 38 of set up in accordance with Article 38 of Regulation (EC) No 1290/2013. The Regulation (EC) No 1290/2013. The Mechanism shall cover the risk associated Mechanism shall cover the risk associated with non-recovery of sums due by the with non-recovery of sums due by the beneficiaries: beneficiaries: (a) to the Commission under Decision (a) to the Commission under Decision No 1982/2006/EC, No 1982/2006/EC, (b) to the Commission and Union (b) to the Commission and Union bodies under "Horizon 2020", bodies under "Horizon 2020", (c) to the Commission and funding (c) to the Commission and funding bodies under the Programme. bodies under the Programme. The coverage of the risk regarding funding The coverage of the risk regarding funding

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bodies referred to in point (c) of the first bodies referred to in point (c) of the first subparagraph may be implemented through subparagraph may be implemented through an indirect coverage system set out in the an indirect coverage system set out in the applicable agreement and taking into applicable agreement and taking into account the nature of the funding body. account the nature of the funding body. 2. The Mechanism shall be managed 2. The Mechanism shall be managed by the Union, represented by the by the Union, represented by the Commission acting as executive agent. The Commission acting as executive agent. The Commission shall set up specific rules for Commission shall set up specific rules for the operation of the Fund. the operation of the Fund. 3. Beneficiaries shall make a 3. Beneficiaries shall make a contribution of 5 % of the Union funding contribution of 5 % of the Union funding for the action. On the basis of periodic for the action. On the basis of transparent evaluations, this contribution may be raised evaluations carried out annually, this by the Commission up to 8% or may be contribution may be raised by the reduced under 5%. The beneficiaries' Commission up to 8% or may be reduced contribution to the Mechanism may be under 5%. The beneficiaries' contribution offset from the initial pre-financing and be to the Mechanism may be offset from the paid to the Fund on behalf of the initial pre-financing and be paid to the beneficiaries. Fund on behalf of the beneficiaries. 4. The contribution of the 4. The contribution of the beneficiaries shall be returned at the beneficiaries shall be returned at the payment of the balance. payment of the balance. 5. Any financial return generated by 5. Any financial return generated by the Mechanism shall be added to the the Mechanism shall be added to the Mechanism. If the return is insufficient, the Mechanism. If the return is insufficient, the Mechanism shall not intervene and the Mechanism shall not intervene and the Commission or funding body shall recover Commission or funding body shall recover directly from beneficiaries or third parties directly from beneficiaries or third parties any amount owed. any amount owed. 6. The amounts recovered shall 6. The amounts recovered shall constitute revenue assigned to the constitute revenue assigned to the Mechanism within the meaning of Article Mechanism within the meaning of Article 21(4) of the Financial Regulation. Once all 21(4) of the Financial Regulation. Once all grants whose risk is covered directly or grants whose risk is covered directly or indirectly by the Mechanism are indirectly by the Mechanism are completed, any sums outstanding shall be completed, any sums outstanding shall be recovered by the Commission and entered recovered by the Commission and entered into the budget of the Union, subject to into the budget of the Union. decisions of the legislative authority. 7. The Mechanism may be opened to 7. The Mechanism may be extended beneficiaries of any other directly managed to beneficiaries of any other directly Union programme. The Commission shall managed Union programme. The adopt modalities for participation of Commission shall adopt modalities for beneficiaries of other programmes. participation of beneficiaries of other programmes.

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Amendment 94

Proposal for a regulation Article 34

Text proposed by the Commission Amendment

Article 34 Article 34 Ownership and protection Ownership and protection 1. Beneficiaries shall own the results 1. Beneficiaries shall own the results they generate. They shall ensure that any they generate. They shall ensure that any rights of their employees or any other rights of their employees or any other parties in relation to the results can be parties in relation to the results can be exercised in a manner compatible with the exercised in a manner compatible with the beneficiaries’ obligations in accordance beneficiaries’ obligations in accordance with the terms and conditions laid down in with the terms and conditions laid down in the grant agreement. the grant agreement. Two or more beneficiaries shall own Two or more beneficiaries shall own results jointly if: results jointly if: (a) they have jointly generated them; (a) they have jointly generated them; and and (b) it is not possible to: (b) it is not possible to: (i) establish the respective contribution (i) establish the respective contribution of each beneficiary, of each beneficiary, or or (ii) separate them when applying for, (ii) separate them when applying for, obtaining or maintaining their protection. obtaining or maintaining their protection. The joint owners shall agree in writing on The joint owners shall agree in writing on the allocation and terms of exercise of their the allocation and terms of exercise of their joint ownership. Unless otherwise agreed, joint ownership. Unless otherwise agreed each joint owner may grant non-exclusive in the Consortium Agreement and/or in licences to third parties to exploit the the joint ownership agreement, each joint jointly-owned results (without any right to owner may grant non-exclusive licences to sub-license), if the other joint owners are third parties to exploit the jointly-owned given advance notice and fair and results (without any right to sub-license), if reasonable compensation. The joint owners the other joint owners are given advance may agree in writing to apply another notice and fair and reasonable regime than joint ownership. compensation. The joint owners may agree in writing to apply another regime than joint ownership. 2. Beneficiaries having received 2. Beneficiaries having received Union funding shall adequately protect Union funding shall adequately protect their results if protection is possible and their results if protection is possible and

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justified, taking into account all relevant justified, taking into account all relevant considerations, including the prospects for considerations, including the prospects for commercial exploitation. When deciding commercial exploitation and other on protection, beneficiaries shall also legitimate interests such as data consider the legitimate interests of the protection rules, privacy, intellectual other beneficiaries in the action. 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 1. Beneficiaries having received Union funding shall use their best efforts to Union funding shall make their best efforts exploit their results, in particular in the to exploit their results, especially in the Union. Exploitation may be done directly Union. Exploitation may be done directly by the beneficiaries or indirectly in by the beneficiaries or indirectly in particular through the transfer and particular through the transfer and licensing of results in accordance with licensing of results in accordance with Article 36. Article 36. The work programme may provide for The work programme may provide for additional exploitation obligations. additional exploitation obligations. If despite a beneficiary's best efforts to If despite a beneficiary's best efforts to exploit its results directly or indirectly no exploit its results directly or indirectly no exploitation takes place within a given exploitation takes place within a given period as identified in the grant agreement, period as identified in the grant agreement the beneficiary shall use an appropriate and as outlined in its Dissemination and online platform as identified in the grant Exploitation Plan, the exploitation agreement to find interested parties to activities may be transferred to another exploit those results. If justified on the party upon agreement with the basis of a request of the beneficiary, this beneficiaries. If justified on the basis of a obligation may be waived. request of the beneficiary, this obligation may be waived. 2. Subject to any restrictions due to 2. Beneficiaries shall disseminate the protection of intellectual property, their results as soon as possible, in an security rules or legitimate interests, open format, subject to any restrictions due

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beneficiaries shall disseminate their to the protection of intellectual property, results as soon as possible. security rules or legitimate interests. The work programme may provide for The work programme may provide for additional dissemination obligations. additional dissemination obligations while safeguarding the Union’s economic and scientific interests. 3. Beneficiaries shall ensure that open 3. Beneficiaries shall ensure that open access to scientific publications applies access to scientific publications applies under the terms and conditions laid down under the terms and conditions laid down in the grant agreement. In particular, the in the grant agreement. In particular, the beneficiaries shall ensure that they or the beneficiaries shall ensure that they or the authors retain sufficient intellectual authors retain sufficient intellectual property rights to comply with their open property rights to comply with FAIR open access requirements. access requirements. Open access to research data shall be the With regard to the dissemination of general rule under the terms and research data, the grant agreement shall, conditions laid down in the grant in the context of FAIR open access to and agreement, but exceptions shall apply if the preservation of research data, lay down justified, taking into consideration the terms and conditions under which fair legitimate interests of the beneficiaries and access to such results shall be provided, any other constraints, such as data ensuring opt-outs following the principle protection rules, security rules or ‘as open as possible, as closed as intellectual property rights. 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 The work programme may provide for additional obligations to adhere to open additional incentives to adhere to open science practices. science practices. 4. Beneficiaries shall manage all 4. Beneficiaries shall manage all research data in accordance with the terms research data generated in a Horizon and conditions laid down in the grant Europe action in accordance with the agreement and shall establish a Data terms and conditions laid down in the grant Management Plan. agreement and shall establish a Data Management Plan. The work programme may provide for The work programme may further additional obligations to use the European encourage the use the European Open Open Science Cloud for storing and giving Science Cloud for storing and giving access to research data. access to research data. 5. Beneficiaries that intend to 5. Beneficiaries that intend to disseminate their results shall give advance disseminate their results shall give advance

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notice to the other beneficiaries in the notice to the other beneficiaries in the action. Any other beneficiary may object if action. Any other beneficiary may object if it can show that the intended dissemination it can show that the intended dissemination would significantly harm its legitimate would significantly harm its legitimate interests in relation to its results or interests in relation to its results or background. In such cases, the background. In such cases, the dissemination may not take place unless dissemination may not take place unless appropriate steps are taken to safeguard appropriate steps are taken to safeguard these legitimate interests. these legitimate interests. 6. Unless the work programme 6. Unless the work programme provides otherwise, proposals shall include provides otherwise, proposals shall include a plan for the exploitation and a plan for the exploitation and dissemination of the results. If the expected dissemination of the results. If the expected exploitation entails developing, creating, exploitation entails developing, creating, manufacturing and marketing a product or manufacturing and marketing a product or process, or in creating and providing a process, or in creating and providing a service, the plan shall include a strategy for service, the plan shall include a strategy for such exploitation. If the plan provides for such exploitation. If the plan provides for exploitation primarily in non-associated exploitation primarily in non-associated third countries, the legal entities shall third countries, the legal entities shall explain how that exploitation is still in the justify how that exploitation is still in the Union interest. Union interest. The beneficiaries shall further develop the The beneficiaries may further develop the plan during and after the end of the action. plan during the action, including through public engagement and science education. 7. For the purposes of monitoring and 7. For the purposes of monitoring and dissemination by the Commission or dissemination by the Commission or funding body, the beneficiaries shall funding body, the beneficiaries shall provide any requested information provide any neccessary requested regarding the exploitation and information regarding the exploitation and dissemination of their results. Subject to dissemination of their results in acordance the legitimate interests of the beneficiaries, with the the grant agreement. Subject to such information shall be made publicly the legitimate interests of the beneficiaries, available. 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

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

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beneficiary shall give advance notice. The beneficiary shall give advance notice. The right to object may be waived in writing right to object may be waived in writing regarding transfers or grants to specifically regarding transfers or grants to specifically identified legal entities if measures identified legal entities if measures safeguarding Union interests are in place. 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 1. The following access rights principles shall apply: principles shall apply: (a) a request to exercise access rights (a) a request to exercise access rights or any waiving of access rights shall be or any waiving of access rights shall be made in writing; made in writing; (b) unless otherwise agreed with the (b) unless otherwise agreed with the grantor, access rights do not include the grantor, access rights do not include the right to sub-license; right to sub-license; (c) the beneficiaries shall inform each (c) the beneficiaries shall inform each other before their accession to the grant other before their accession to the grant agreement of any restrictions to granting agreement of any restrictions to granting access to their background; access to their background; (d) if a beneficiary is no longer (d) if a beneficiary is no longer involved in an action, it shall not affect its involved in an action, it shall not affect its obligations to grant access; obligations to grant access; (e) if a beneficiary defaults on its (e) if a beneficiary defaults on its obligations, the beneficiaries may agree obligations, the beneficiaries may agree that it no longer has access rights. 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 (a) their results on a royalty-free basis to any other beneficiary in the action that to any other beneficiary in the action that needs it to implement its own tasks; needs it to implement its own tasks; (b) their background to any other (b) their background to any other beneficiary in the action that needs it to beneficiary in the action that needs it to implement its own tasks, subject to any implement its own tasks, subject to any restrictions referred to in paragraph 1(c); restrictions referred to in paragraph 1(c); that access shall be granted on a royalty- that access shall be granted on a royalty- free basis, unless otherwise agreed by the free basis, unless otherwise agreed by the

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beneficiaries before their accession to the beneficiaries before their accession to the grant agreement; grant agreement; (c) their results and, subject to any (c) their results and, subject to any restrictions referred to in paragraph 1(c), to restrictions referred to in paragraph 1(c), to their background to any other beneficiary their background to any other beneficiary in the action that needs it to exploit its own in the action that needs it to exploit its own results; that access shall be granted under results; that access shall be granted under fair and reasonable conditions to be agreed fair and reasonable conditions to be agreed upon. upon. (3) Unless otherwise agreed by the 3. Unless otherwise agreed by the beneficiaries, they shall also grant access to beneficiaries, they shall also grant access to their results and, subject to any restrictions their results and, subject to any restrictions referred to in paragraph 1(c), to their referred to in paragraph 1(c), to their background to a legal entity that: background to a legal entity that: (a) is established in a Member State or (a) is established in a Member State or associated country; associated country; (b) is under the direct or indirect (b) is under the direct or indirect control of another beneficiary, or is under control of another beneficiary, or is under the same direct or indirect control as that the same direct or indirect control as that beneficiary, or is directly or indirectly beneficiary, or is directly or indirectly controlling that beneficiary; and controlling that beneficiary; and (c) needs the access to exploit the (c) needs the access to exploit the results of that beneficiary. results of that beneficiary. Access shall be granted under fair and Access shall be granted under fair and reasonable conditions to be agreed upon. reasonable conditions to be agreed upon. 4. A request for access for 4. A request for access for exploitation purposes may be made up to exploitation purposes may be made up to one year after the end of the action, unless one year after the end of the action, unless the beneficiaries agree on a different time- the beneficiaries agree on a different time- limit. limit. 5. Beneficiaries having received 5. Beneficiaries having received Union funding shall grant access to their Union funding shall grant access to their results on a royalty-free basis to the Union results on a royalty-free basis to the Union institutions, bodies, offices or agencies for institutions, bodies, offices or agencies for developing, implementing and monitoring developing, implementing and monitoring Union policies or programmes. Access Union policies or programmes. Access shall be limited to non-commercial and shall be limited to non-commercial and non-competitive use. 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 In actions under the cluster ‘Secure secure Society’, area of intervention Society’, area of intervention ‘Protection

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‘Protection and Security’, beneficiaries and Security’, beneficiaries having having received Union funding shall also received Union funding shall also grant grant access to their results on a royalty- access to their results on a royalty-free free basis to Member States' national basis to Member States' national authorities, for developing, implementing authorities, for developing, implementing and monitoring their policies or and monitoring their policies or programmes in that area. Access shall be programmes in that area. Access shall be limited to non-commercial and non- limited to non-commercial and non- competitive use and shall be granted upon competitive use and shall be granted upon bilateral agreement defining specific bilateral agreement defining specific conditions aimed at ensuring that those conditions aimed at ensuring that those rights will be used only for the intended rights will be used only for the intended purpose and that appropriate purpose and that appropriate confidentiality obligations will be in place. confidentiality obligations will be in place. The requesting Member State, Union The requesting Member State, Union institution, body, office or agency shall institution, body, office or agency shall notify all Member States of such requests. notify all Member States of such requests. 6. The work programme may provide 6. The work programme may provide, for additional access rights. 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 Specific provisions on exploitation and dissemination dissemination Specific rules on ownership, exploitation Specific rules on exploitation and and dissemination, transfer and licensing as dissemination, transfer and licensing as well as access rights may apply for ERC well as access rights may apply for ERC actions, training and mobility actions, pre- actions, EIT actions, training and mobility commercial procurement actions, public actions, pre-commercial procurement procurement of innovative solutions actions, public procurement of innovative actions, programme co-fund actions and solutions actions, programme co-fund coordination and support actions. actions and coordination and support actions. These specific rules shall not change the These specific rules shall not change the obligations on open access. obligations and principles of open access as referred to in Article 10.

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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 1. Prizes under the Programme shall be awarded and managed in accordance be awarded and managed in accordance with Title IX of the Financial Regulation, with Title IX of the Financial Regulation, unless otherwise specified in this Chapter. unless otherwise specified in this Chapter. 2. Any legal entity, regardless of its 2. Any legal entity, regardless of its place of establishment, may participate in a place of establishment, may participate in a contest, unless otherwise provided in the contest, unless otherwise provided in the work programme or rules of contests. work programme or rules of contests. 3. The Commission or funding body 3. The Commission or funding body may organise prizes with: may, where appropriate, organise prizes with: (a) other Union bodies; (a) other Union bodies; (b) third countries, including their (b) third countries, including their scientific and technological organisations scientific and technological organisations or agencies; 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 4. The work programme or rules of contest may include obligations regarding contest shall include obligations regarding communication, exploitation and communication, ownership, access rights, dissemination. 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 1. The grant and reimbursable advance components of Horizon Europe or advance components of Horizon Europe or

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

Amendment 101

Proposal for a regulation Article 42 a (new)

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Text proposed by the Commission Amendment

Article 42 a The Pathfinder 1. The Pathfinder shall provide grants to high-risk cutting-edge projects aiming to develop the strategic autonomy of the Union into potentially radical innovative technologies of the future and new market opportunities. The Pathfinder shall initially provide support for the earliest stages of scientific and technological research and development, including proof of concept and prototypes for technology validation. The Pathfinder shall be mainly implemented through an open call for bottom-up proposals with regular cut-off dates per year and shall also provide for competitive challenges to develop key strategic objectives1a calling for deep-tech and radical thinking. Regrouping of selected projects into thematic or objective driven portfolios will allow establishing critical mass of efforts, technological strategic autonomy at EU level and structuring new multidisciplinary research communities. 2. The Pathfinder's Transition activities shall be implemented to help innovators develop the pathway to commercial development in the Union, such as demonstration activities and feasibility studies to assess potential business cases, and support the creation of spin offs and start-ups. (a) the launch and the content of the calls for proposals shall be determined with regard to objectives and budget established by the work programme in relation with the concerned portfolio of actions; (b) grants for a fixed amount not exceeding EUR 50 000 may be awarded without a call for proposals, only to those

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activities already funded under the Pathfinder to carry out urgent coordination and support actions for reinforcing the portfolio’s community of beneficiaries or assessing possible spin- offs or potential market creating- innovation. 3. The award criteria as defined in Article 25 shall apply to the EIC Pathfinder. ______1a These could include topics such as Artificial Intelligence, Quantum technologies, Biocontrol or Second generation digital twins, or any other topics identified in the context of the Horizon Europe Strategic programming (including with Member States’ networked programmes).

Amendment 102

Proposal for a regulation Article 43

Text proposed by the Commission Amendment

Article 43 Article 43 EIC’s Accelerator The Accelerator 1. The beneficiary of the EIC 1. The beneficiary of the EIC Accelerator shall be a legal entity Accelerator shall be a legal entity qualifying as a start-up, an SME or as a qualifying as a start-up, scale-up, an SME mid-cap, established in a Member State or or as a mid-cap, established in a Member associated country. The proposal may be State or associated country. The proposal submitted by the beneficiary, or by one or may be submitted by the beneficiary, or by more natural persons or legal entities one or more natural persons or legal intending to establish or support that entities intending to establish or support beneficiary. that beneficiary. 2. A single award decision shall cover 2. A single award decision shall cover and provide funding for all forms of Union and provide funding for all forms of Union contribution provided under EIC blended contribution provided under EIC blended finance. finance. 3. Proposals shall be evaluated on 3. Proposals shall be evaluated on their individual merit by independent their individual merit by independent experts and selected in the context of an experts and selected in the context of an

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annual open call with cut-off dates, based annual open call with cut-off dates, based on Articles 24 to 26, subject to paragraph on Articles 24 to 26, subject to paragraph 4. 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 – the level risk of the action and the need for Union support. need for Union support. 5. With the agreement of applicants 5. With the agreement of applicants concerned, the Commission or funding concerned, the Commission or funding bodies implementing Horizon Europe may bodies implementing Horizon Europe directly submit for evaluation under the (including EIT and KICs) may directly last evaluation criterion a proposal for an submit for evaluation under the last innovation and market deployment action evaluation criterion a proposal for an which already fulfils the first two criteria, innovation and market deployment action subject to the following cumulative especially in the Union which already conditions: fulfils the first two criteria, subject to the following cumulative conditions: – the proposal shall stem from any – the proposal shall stem from any other action funded by Horizon 2020 or other action funded by Horizon 2020 or this Programme, or from a national this Programme, or from a national programme similar to the EIC's programme and acknowledged by the Pathfinder and acknowledged as such by Commission as meeting EIC the Commission; requirements; – be based on a previous project – be based on a previous project review assessing the excellence and the review assessing the excellence and the impact of the proposal and subject to impact of the proposal and subject to conditions and processes further detailed in conditions and processes further detailed in the work programme. the work programme. 6. A Seal of Excellence may be 6. A Seal of Excellence may be awarded subject to the following awarded subject to the following cumulative conditions: cumulative conditions: – the beneficiary is a start-up or an – the beneficiary is a start-up or an SME, SME, – the proposal was eligible and has – the proposal was eligible and has passed applicable thresholds for the first passed applicable thresholds for the first two award criteria referred to in paragraph two award criteria referred to in paragraph 4, 4, – for those activities that would be – for those activities that would be eligible under an innovation action. eligible under an innovation action. 7. For a proposal having passed the 7. For a proposal having passed the evaluation, independent experts shall evaluation, independent experts shall propose a corresponding EIC blended propose a corresponding EIC blended finance, based on the risk incurred and the finance, based on the risk incurred and the

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resources and time necessary to bring and resources and time necessary to bring and deploy the innovation to the market. deploy the innovation to the market. The Commission may reject a proposal The Commission may reject a proposal retained by independent experts for retained by independent experts for justified reasons, including compliance justified reasons, including non- with the objectives of Union policies. compliance with the objectives of Union policies. 8. The grant or the reimbursable 8. The grant or the reimbursable advance component of the blended finance advance component of the blended finance shall not exceed 70% of the costs of the shall not exceed 70% of the costs of the selected innovation action. selected innovation action. 9. Implementation modalities of the 9. Implementation modalities of the equity and repayable support components equity and repayable support components of the EIC blended finance shall be of the EIC blended finance shall be detailed in Decision [Specific programme]. detailed in Decision [Specific programme]. 10. The contract for the selected action 10. The contract for the selected action shall establish specific milestones and the shall establish specific measurable corresponding pre-financing and payments milestones and the corresponding pre- by instalments of the EIC blended finance. financing and payments by instalments of the EIC blended finance. Activities corresponding to an innovation Activities corresponding to an innovation action may be launched and first pre- action may be launched and first pre- financing of the grant or the reimbursable financing of the grant or the reimbursable advance paid, prior to the implementation advance paid, prior to the implementation of other components of the awarded EIC of other components of the awarded EIC blended finance. The implementation of blended finance. The implementation of those components shall be subject to the those components shall be subject to the achievement of specific milestones achievement of specific milestones established in the contract. established in the contract. 11. In accordance with the contract, the 11. In accordance with the contract, the action shall be suspended, amended or action shall be suspended, amended or terminated if milestones are not met. It terminated if measurable milestones are may also be terminated where the expected not met. It may also be terminated where market deployment cannot be met. the expected market deployment especially in the Union cannot be met. The Commission may decide to increase The Commission may decide to increase the EIC blended finance subject to a the EIC blended finance subject to a project review by external independent project review by external independent experts. experts.

Amendment 103

Proposal for a regulation Article 43 a (new)

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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) 1. By derogation from Article 237(3) of the Financial Regulation, external of the Financial Regulation, independent experts may be selected without a call for external experts may exceptionally be expressions of interest, if justified and the selected without a call for expressions of selection is carried out in a transparent interest, only if a call for expressions of manner. 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

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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) 2. In accordance with Article 237(2) and 237(3) of the Financial Regulation, and 237(3) of the Financial Regulation, external experts shall be remunerated based independent external experts shall be on standard conditions. If justified, an remunerated based on standard conditions. appropriate level of remuneration beyond the standard conditions based on relevant market standards, especially for specific high level experts, may be granted. 3. In addition to paragraphs 2 and 3 of 3. In addition to paragraphs 2 and 3 of Article 38 of the Financial Regulation, the Article 38 of the Financial Regulation, the names of external experts evaluating grant names of independent external experts applications, who are appointed in a evaluating grant applications, who are personal capacity shall be published, appointed in a personal capacity shall be together with their area of expertise, at published, together with their area of least once a year on the internet site of the expertise, at least once a year on the Commission or the funding body. Such internet site of the Commission or the information shall be collected, processed funding body. Such information shall be and published in accordance with the EU collected, processed and published in data protection rules. 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

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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 (i) the indicators towards the the Programme towards the achievement achievement of the objectives established of the objectives established in Article 3 in Article 3 and set in Annex V along are set in Annex V along impact pathways. 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

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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 2. The Commission is empowered to adopt delegated acts in accordance with adopt delegated acts in accordance with Article 50 concerning amendments to Article 50 concerning amendments to Annex V to supplement or amend the Annex V to supplement or amend the impact pathway indicators, where impact pathway indicators, where considered necessary, and set baselines and considered necessary, and set baselines and targets. targets. 3. The performance reporting system 3. The performance reporting system shall ensure that data for monitoring shall ensure that data for monitoring programme implementation and results are programme implementation and results are collected efficiently, effectively and in a collected efficiently, effectively and in a timely manner. To that end, proportionate timely manner without increasing the reporting requirements shall be imposed administrative burden for beneficiaries. on recipients of Union funds and (where In particular, data for projects funded relevant) Member States. 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

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Proposal for a regulation Article 46

Text proposed by the Commission Amendment

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

Amendment 107

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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 1. Programme evaluations shall be carried out in a timely manner to feed into carried out in a timely manner and made the decision-making process on the public in order to feed into the decision- programme, its successor and other making process on the programme, its initiatives relevant to research and successor and other initiatives relevant to innovation. 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 2. The interim evaluation of the Programme shall be carried out once there Programme shall be carried out once there is sufficient information available about the is sufficient information available about the implementation of the Programme, but no implementation of the Programme, but no later than four years after the start of the later than three years after the start of the programme implementation. It shall programme implementation. It shall include an assessment of the long-term include a portfolio analysis and an impact of previous Framework assessment of the long-term impact of Programmes and shall form the basis to previous Framework Programmes and shall adjust programme implementation, as form the basis to adjust programme appropriate. 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 3. At the end of the implementation of the Programme, but no later than four the Programme, but no later than three years after the end of the period specified years after the end of the period specified in Article 1, a final evaluation of the in Article 1, a final evaluation of the Programme shall be completed by the Programme shall be completed by the

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Commission. It shall include an assessment Commission. It shall include an assessment of the long-term impact of previous of the long-term impact of previous Framework Programmes. Framework Programmes. 4. The Commission shall 4. The Commission shall publish and communicate the conclusions of the disseminate the results and conclusions of evaluations accompanied by its the evaluations accompanied by its observations, to the European Parliament, observations and shall present them to the the Council, the European Economic and European Parliament, the Council, the Social Committee and the Committee of European Economic and Social Committee the Regions. 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 1. The control system for the Programme shall ensure an appropriate Programme shall ensure an appropriate balance between trust and control, taking balance between trust and control, taking into account administrative and other costs into account administrative and other costs of controls at all levels, especially for of controls at all levels, especially for beneficiaries. beneficiaries. Audit rules shall be clear, consistent and coherent throughout the Programme. 2. The audit strategy for the 2. The audit strategy for the Programme shall be based on the financial Programme shall be based on the financial audit of a representative sample of audit of a representative sample of expenditure across the Programme as a expenditure across the Programme as a whole. The representative sample shall be whole. The representative sample shall be complemented by a selection based on an complemented by a selection based on an assessment of the risks related to assessment of the risks related to expenditure. Actions that receive joint expenditure. Actions that receive joint funding from different Union programmes funding from different Union programmes shall be audited only once, covering all shall be audited only once, covering all involved programmes and their respective involved programmes and their respective applicable rules. applicable rules. 3. In addition, the Commission or 3. In addition, the Commission or funding body may rely on combined funding body may rely on combined systems reviews at beneficiary level. These systems reviews at beneficiary level. These combined reviews shall be optional for combined reviews shall be optional for certain types of beneficiaries and shall certain types of beneficiaries and shall

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consist in a systems and process audit, consist in a systems and process audit, complemented by an audit of transactions, complemented by an audit of transactions, carried out by a competent independent carried out by a competent independent auditor qualified to carry out statutory auditor qualified to carry out statutory audits of accounting documents in audits of accounting documents in accordance with Directive 2006/43/EC34 . accordance with Directive 2006/43/EC34. They may be used by the Commission or They may be used by the Commission or funding body to determine overall funding body to determine overall assurance on the sound financial assurance on the sound financial management of expenditure and for management of expenditure and for reconsideration of the level of ex-post reconsideration of eligibility of costs audits and certificates on financial claimed and of the level of ex-post audits statements. and certificates on financial statements. 4. In accordance with Article 127 of 4. In accordance with Article 127 of the Financial Regulation, the Commission the Financial Regulation, the Commission or funding body may rely on audits on the or funding body shall rely on audits on the use of Union contributions carried out by use of Union contributions carried out by other persons or entities, including by other other certified persons or entities, than those mandated by the Union including by other than those mandated by Institutions or bodies. the Union Institutions or bodies. 5. Audits may be carried out up to two 5. Audits may be carried out up to two years after the payment of the balance. years after the end date of the project. 5 a. The Commission shall publish audit guidelines elaborated in cooperation with the European Court of Auditors. Auditors shall ensure the transparency of the audit they have conducted, as well as a reliable and uniform interpretation of audit rules throughout the duration of the Programme, in order to ensure legal certainty. ______34 Directive 2006/43/EC of the European 34 Directive 2006/43/EC of the European Parliament and of the Council of 17 May Parliament and of the Council of 17 May 2006 on statutory audits of annual accounts 2006 on statutory audits of annual accounts and consolidated accounts, amending and consolidated accounts, amending Council Directive 78/660/EEC and Council Directive 78/660/EEC and 83/349/EEC and repealing Council 83/349/EEC and repealing Council Directive 84/253/EEC (OJ L 157, 9.6.2006, Directive 84/253/EEC (OJ L 157, 9.6.2006, p. 87) p. 87)

Amendment 109

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

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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: (a) European Research Council: Providing attractive and flexible funding to Providing attractive and flexible funding to enable talented and creative individual enable talented and creative individual researchers and their teams to pursue the researchers, with an emphasis on young most promising avenues at the frontier of researchers, and their teams to pursue the science, on the basis of Union-wide most promising avenues at the frontier of competition. 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: (b) Marie Skłodowska-Curie Actions: Equipping researchers with new Equipping researchers with new knowledge and skills through mobility and knowledge and skills through mobility and exposure across borders, sectors and exposure across borders, sectors and disciplines, as well as structuring and disciplines, as well as structuring and improving institutional and national improving institutional and national recruitment, training and career recruitment, training and career development systems; in so doing, the development systems; in so doing, the Marie Skłodowska-Curie Actions help to Marie Skłodowska-Curie Actions help to lay the foundations of Europe's excellent lay the foundations of Europe's excellent research landscape, contributing to research landscape across the whole boosting jobs, growth, and investment, and Europe, contributing to boosting jobs, solving current and future societal growth, and investment, and solving challenges. current and future societal challenges.

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

Amendment 113

Proposal for a regulation Annex I – point 2 – introductory part

Text proposed by the Commission Amendment

(2) Pillar II 'Global Challenges and (2) Pillar II 'Global Challenges and industrial competitiveness' 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 To maximise impact flexibility and synergies, research and innovation synergies, research and innovation activities will be organised in five clusters, activities will be organised in six clusters, which individually and together will interconnected through pan-European incentivise interdisciplinary, cross-sectoral, research infrastructures, which cross-policy, cross-border and international individually and together will incentivise cooperation. 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.

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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 (a) Cluster 'Health': Improving and protecting the health of citizens at all ages, protecting the health of citizens at all ages, by developing innovative solutions to by developing innovative solutions to prevent, diagnose, monitor, treat and cure prevent, diagnose, monitor, treat and cure diseases; mitigating health risks, protecting diseases and developing health populations and promoting good health; technologies; mitigating health risks, making public health systems more cost- protecting populations and promoting good effective, equitable and sustainable; and health; making public health systems more supporting and enabling patients' cost-effective, equitable and sustainable; participation and self-management. 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 (b) Cluster 'Inclusive and creative society': Strengthening European society': Strengthening European democratic values, including rule of law democratic values, including rule of law and fundamental rights, safeguarding our and fundamental rights, safeguarding our cultural heritage, and promoting socio- cultural heritage, exploring the potential of economic transformations that contribute cultural and creative sectors, and to inclusion and growth, while responding promoting socio-economic transformations to the challenges arising from persistent that contribute to inclusion and growth, security threats, including cybercrime, as including migration management and well as natural and man-made disasters. 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; Areas of intervention: Democracy; Culture Cultural heritage; Social and economic and creativity; Social, cultural and transformations; Disaster-resilient economic transformations; social sciences

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societies; Protection and Security; and humanities. Cybersecurity

Amendment 118

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

Text proposed by the Commission Amendment

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 peacebuilding; Promoting coordination, cooperation and synergies.

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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 (d) Cluster 'Climate, Energy and Mobility': Fighting climate change by Mobility': Fighting climate change by better understanding its causes, evolution, better understanding its causes, evolution, risks, impacts and opportunities, and by risks, impacts and opportunities, and by making the energy and transport sectors making the energy and transport sectors more climate and environment-friendly, more climate and environment-friendly, more efficient and competitive, smarter, more efficient and competitive, smarter, safer and more resilient. 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 Areas of intervention: Climate science and solutions; Energy supply; Energy systems solutions; Energy supply; Energy systems and grids; Buildings and industrial and grids; Buildings in energy transition; facilities in energy transition; Communities Industrial facilities in the energy transition; and cities; Industrial competitiveness in Coal regions in transition; Communities transport; Clean transport and mobility; and cities; Industrial competitiveness in Smart mobility; Energy storage. 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 (e) Cluster 'Food, Natural Resources resources': Protecting, restoring, and Agriculture': Protecting, restoring, sustainably managing and using natural sustainably managing and using natural and biological resources from land and sea and biological resources from land, inland to address food and nutrition security and waters and sea to address food and the transition to a low carbon, resource nutrition security and the transition to a

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efficient circular economy. 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 Areas of intervention: Environmental observation; Biodiversity and natural observation; Biodiversity and natural capital; Agriculture, forestry and rural capital; Agriculture, forestry and rural areas; Sea and oceans; Food systems; Bio- areas; Seas, oceans, inland waters and the based innovation systems; Circular systems 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 Areas of intervention: Health; Inclusive and security; digital and industry; climate, and creative society; Secure society; energy and mobility; food and natural digital, industry and space; climate, energy resources; support to the functioning of the and mobility; food and natural resources; internal market and the economic support to the functioning of the internal governance of the Union; support to market and the economic governance of Member States with implementation of the Union; support to Member States with legislation and development of smart implementation of legislation and specialisation strategies; analytical tools development of smart specialisation and methods for policy making; knowledge strategies; analytical tools and methods for management; knowledge and technology policy making; knowledge management; transfer; support to science for policy knowledge and technology transfer; platforms. support to science for policy platforms.

Amendment 125

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

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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 Through the following activities, this pillar will, in line with Article 4, foster all forms will, in line with Article 4, foster all forms of innovation, including breakthrough of innovation, including breakthrough innovation, and strengthen market technological and social innovation, and deployment of innovative solutions. It will strengthen market deployment of also contribute to the Programme's other innovative solutions, in particular by start- specific objectives as described in Article ups and SMEs working together with 3. 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 Through the following activities, this part will, in line with Article 4, optimise the will, in line with Article 4, optimise the Programme's delivery for increased impact Programme's delivery for increased impact within a strengthened European Research and attractiveness within a strengthened Area. It will also support the Programme's European Research Area. It will also other specific objectives as described in support the Programme's other specific Article 3. While underpinning the entire objectives as described in Article 3. While Programme, this part will support activities underpinning the entire Programme, this that contribute to a more knowledge-based part will support activities that contribute and innovative and gender-equal Europe, at to attract talent in the Union and tackle the front edge of global competition, brain drain. It will also contribute to a thereby optimising national strengths and more knowledge-based and innovative and potential across Europe in a well- gender-equal Europe, at the front edge of performing European Research Area global competition, thereby optimising (ERA), where knowledge and a highly national strengths and potential across the skilled workforce circulate freely, where whole of Europe in a well-performing

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the outcomes of R&I are understood and European Research Area (ERA), where trusted by informed citizens and benefit knowledge and a highly skilled workforce society as a whole, and where EU policy, circulate freely in a balanced manner, notably R&I policy, is based on high where the outcomes of R&I are understood quality scientific evidence. 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; Areas of intervention: Spreading Reforming and enhancing the European excellence and widening participation R&I system. 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: – Research and innovation action: action primarily consisting of activities action primarily consisting of activities aiming to establish new knowledge and/or aiming to establish new knowledge and/or to explore the feasibility of a new or to explore the feasibility of a new or improved technology, product, process, improved technology, product, process, service or solution. This may include basic service or solution. This may include basic and applied research, technology and applied research, technology development and integration, testing and development and integration, testing and validation on a small-scale prototype in a validation on a small-scale prototype in a laboratory or simulated environment; laboratory or simulated environment. The Fast Track to Research and Innovation logic will be applied for a selected number of collaborative research and innovation actions;

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Amendment 130

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

Text proposed by the Commission Amendment

– Programme co-fund action: action – Programme co-fund action: action to provide co-funding to a programme of to provide co-funding to a programme of activities established and/or implemented activities established and/or implemented by entities managing and/or funding by entities managing and/or funding research and innovation programmes, other research and innovation programmes, other than Union funding bodies. Such a than Union funding bodies. Such a programme of activities may support programme of activities may support networking and coordination, research, interconnection, networking and innovation, pilot actions, and innovation coordination, research, innovation, pilot and market deployment actions, training actions, and innovation and market and mobility actions, awareness raising and deployment actions, training and mobility communication, dissemination and actions, awareness raising and exploitation, or a combination thereof, communication, dissemination and directly implemented by those entities or exploitation, or a combination thereof, by third parties to whom they may provide directly implemented by those entities or any relevant financial support such as by third parties to whom they may provide grants, prizes, procurement, as well as any relevant financial support such as Horizon Europe blended finance; 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 (a) Evidence that the European Partnership is more effective in achieving Partnership is more effective in achieving the related objectives of the Programme, in the related objectives of the Programme, in particular in delivering clear impacts for particular in delivering clear impacts for the EU and its citizens, notably in view of throughout the Union and for its citizens, delivering on global challenges and notably in view of delivering on global research and innovation objectives, challenges and research and innovation securing EU competitiveness and objectives, securing EU competitiveness, contributing to the strengthening of the sustainability and contributing to the European Research and Innovation Area strengthening of the European Research and international commitments; and Innovation Area and international commitments;

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Amendment 132

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

Text proposed by the Commission Amendment

(b) Coherence and synergies of the (b) Coherence and synergies of the European Partnership within the EU European Partnerships within the EU research and innovation landscape; 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 (c) Transparency and openness of the European Partnership as regards the European Partnerships as regards the identification of priorities and objectives, identification of priorities and objectives, and the involvement of partners and as well as their governance, and the stakeholders from different sectors, involvement of partners, and stakeholders including international ones when relevant; 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 – identification of measurable expected outcomes, deliverables and expected outcomes, deliverables and impacts within specific timeframes, impacts within specific timeframes, including key economic value for Europe; including key economic value for the EU;

Amendment 135

Proposal for a regulation Annex III – paragraph 1 – point 1 – point d – indent 2

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Text proposed by the Commission Amendment

– demonstration of expected – demonstration of strong expected qualitative and quantitative leverage qualitative and quantitative leverage effects; 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 – approaches to ensure flexibility of implementation and to adjust to changing implementation and to adjust to changing policy or market needs, or scientific policy, societal and/or market needs, or advances; 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 In the case of institutionalised European Partnerships, the financial and/or in-kind, Partnerships, the financial and/or in-kind, contributions from partners other than the contributions from partners other than the Union, will at least be equal to 50% and Union, will at least be equal to 50% in case may reach up to 75% of the aggregated of partnerships between the Union and European Partnership budgetary private partners, and may reach up to 75%, commitments. For each institutionalised in case of partnerships involving also European Partnership, a share of the Member States, of the aggregated contributions from partners other than European Partnership budgetary the Union will be in the form of financial commitments. contributions.

Amendment 138

Proposal for a regulation Annex III – paragraph 1 – point 1 – point e a (new)

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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 (c) Coordination and/or joint activities with other relevant research and innovation with other relevant research and innovation initiatives ensuring effective synergies; 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 (d) Legally binding commitments, in particular for financial contributions, from particular for in kind and/or financial each partner throughout the lifetime of the contributions, from each partner initiative; 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 (a) A monitoring system in line with the requirements set out in Article 45 to the requirements set out in Article 45 to track progress towards specific policy track progress towards programme- goals/objectives, deliverables and key specific policy goals/objectives,

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performance indicators allowing for an deliverables and key performance assessment over time of achievements, indicators allowing for an assessment over impacts and potential needs for corrective time of achievements, impacts and measures; 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 (b) In the absence of renewal, phasing-out according to the agreed appropriate measures ensuring phasing-out conditions and timeline, without prejudice according to the agreed timeline and to possible continued transnational funding conditions agreed with the legally by national or other Union programmes. 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 (b) the CAP makes the best use of research and innovation results and research and innovation results and promotes the use, implementation and promotes the use, implementation and deployment of innovative solutions, deployment of innovative solutions, including those stemming from projects including those stemming from projects funded by the Framework Programmes for funded by the Framework Programmes for research and innovation and from the research and innovation, from the European Innovation Partnership European Innovation Partnership "agricultural productivity and "agricultural productivity and sustainability"; sustainability" and relevant EIT Knowledge and Innovation Communities (KICs);

Amendment 144

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

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Text proposed by the Commission Amendment

(b) the EMFF supports the rolling out (b) the EMFF supports the rolling out of novel technologies and innovative of novel technologies and innovative products, processes and services, in products, processes and services, in particular those resulting from the particular those resulting from the Programme in the fields of marine and Programme in the fields of marine and maritime policy; the EMFF also promotes maritime policy; the EMFF also promotes ground data collection and data processing ground data collection and data processing and disseminates relevant actions and disseminates relevant actions supported under the Programme, which in supported under the Programme, which in turn contributes to the implementation of turn contributes to the implementation of the Common Fisheries Policy, the EU the Common Fisheries Policy, the EU Maritime Policy and International Ocean Maritime Policy, International Ocean Governance. 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 (a) arrangements for combined funding from ERDF and Programme are used to from ERDF and Horizon Europe are used support activities providing a bridge to support activities providing a bridge between smart specialisations strategies between regional Operational and international excellence in research Programmes, smart specialisations and innovation, including joint trans- strategies and international excellence in regional/trans-national programmes and research and innovation, including joint pan European Research Infrastructures, trans-regional/trans-national programmes with the aim of strengthening the European and pan European Research Infrastructures, Research Area; 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

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

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breakthrough innovations (many of which technological innovations; support for the will combine digital and physical scale-up of companies introducing technologies; the integration of digital breakthrough innovations (many of which across all the pillar 'Global Challenges and will combine digital and physical Industrial Competitiveness'; and the technologies; the integration of digital support to digital research infrastructures; 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 (c) DEP focuses on large-scale digital capacity and infrastructure building in capacity and infrastructure building in High Performance Computing, Artificial High Performance Computing, Artificial Intelligence, Cybersecurity and advanced Intelligence, Cybersecurity, Distributed digital skills aiming at wide uptake and Ledger Technologies, Quantum deployment across Europe of critical Technologies and advanced digital skills existing or tested innovative digital aiming at wide uptake and deployment solutions within an EU framework in areas across Europe of critical existing or tested of public interest (such as health, public innovative digital solutions within an EU administration, justice and education) or framework in areas of public interest (such market failure (such as the digitisation of as health, public administration, justice and businesses, notably small and medium education) or market failure (such as the enterprises); DEP is mainly implemented digitisation of businesses, notably small through coordinated and strategic and medium enterprises); DEP is mainly investments with Member States, notably implemented through coordinated and through joint public procurement, in digital strategic investments with Member States, capacities to be shared across Europe and notably through joint public procurement, in EU-wide actions that support in digital capacities to be shared across interoperability and standardisation as part Europe and in EU-wide actions that of developing a Digital Single Market; support interoperability and standardisation as part of developing a Digital Single Market;

Amendment 151

Proposal for a regulation Annex IV – point 6 – point f

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Text proposed by the Commission Amendment

(f) the Programme's initiatives for the (f) the Programme's initiatives for the development of skills and competencies development of skills and competencies curricula, including those delivered at the curricula, including those delivered at the co-location centres of the European co-location centres of the European Institute of Innovation and Technology's Institute of Innovation and Technology KIC-Digital, are complemented by Digital Knowledge and Innovation Communities, Europe-supported capacity-building in are complemented by Digital Europe- advanced digital skills; 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 (a) the Single Market Programme addresses the market failures which affect addresses the market failures which affect all SMEs, and will promote all SMEs, and will promote entrepreneurship and the creation and entrepreneurship and the creation and growth of companies. Full growth of companies. Full complementarity exists between the Single complementarity exists between the Single Market Programme and the actions of the Market Programme and the actions of both future European Innovation Council for the EIT and the future European innovative companies, as well as in the Innovation Council for innovative area of support services for SMEs, in companies, as well as in the area of support particular where the market does not services for SMEs, in particular where the provide viable financing; 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 (b) the Enterprise Europe Network may serve, as other existing SME support serve, as other existing SME support structures (e.g. National Contact Points, structures (e.g. National Contact Points, Innovation Agencies), to deliver support Innovation Agencies, DIH, Competence services under the European Innovation Centres, certified incubators), to deliver Council. support services under the Horizon Europe programme, including the European

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

Amendment 155

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

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Text proposed by the Commission Amendment

(a) combined resources from the (a) combined resources from the Programme and the Erasmus Programme Programme and the Erasmus Programme are used to support activities dedicated to are used to support activities dedicated to strengthening and modernising European strengthening and modernising European higher education institutions. The higher education institutions. The Programme will complement Erasmus Programme will complement Erasmus programme support for the European programme support for the European Universities initiative, in particular its Universities initiative, in particular its research dimension as part of developing research dimension as part of developing new joint and integrated long term and new joint and integrated long term and sustainable strategies on education, sustainable strategies on education, research and innovation based on trans- research and innovation based on transdisciplinary and cross-sectoral approaches disciplinary and cross-sectoral approaches to make the knowledge triangle a reality, to make the knowledge triangle a reality, providing impetus to economic growth; 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 (b) financial instruments for research and innovation and SMEs are grouped and innovation and SMEs are grouped together under the InvestEU Fund, in together under the InvestEU Fund, in particular through a dedicated R&I particular through a dedicated R&I thematic window, and through products thematic window, and through products deployed under the SME window targeting deployed under the SME window targeting innovative companies, in this way also innovative companies, in this way also helping to deliver the objectives of the helping to deliver the objectives of the Programme. Programme. Strong complementary links will be established between InvestEU and Horizon Europe.

Amendment 157

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

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Text proposed by the Commission Amendment

(a) the Innovation Fund will (a) the Innovation Fund will specifically target innovation in low- specifically target innovation in low- carbon technologies and processes, carbon technologies and processes, including environmentally safe carbon including environmentally safe carbon capture and utilisation that contributes capture and utilisation that contributes substantially to mitigate climate change, as substantially to mitigate climate change, as well as products substituting carbon well as products substituting carbon intensive ones, and to help stimulate the intensive ones, and to help stimulate the construction and operation of projects that construction and operation of projects that aim at the environmentally safe capture aim at the environmentally safe capture and geological storage of CO2 as well as and geological storage of CO2 as well as innovative renewable energy and energy innovative renewable energy and energy storage technologies; 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 (b) the Programme will fund the development and demonstration of development, demonstration and technologies that can deliver on EU implementation of technologies, including decarbonisation, energy and industrial breakthrough solutions, that can deliver transformation objectives, especially in its on a low-carbon economy and the Pillar 2; 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 (c) the Innovation Fund may, subject to fulfilment of its selection and award fulfilment of its selection and award

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criteria, support the demonstration phase of criteria, support the demonstration phase of eligible projects that may have received eligible projects. Projects receiving the support from the Framework support from the Innovation Fund may be Programmes for research and innovation . 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 16. Potential synergies with the Defence Fund will benefit civil and European Defence Fund will contribute to defence research. Unnecessary avoiding duplication. duplication will be excluded.

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)

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

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mechanisms in a centrally managed and mechanisms in a centrally managed and harmonised way and at the appropriate harmonised way and at the appropriate level of granularity with minimal reporting level of granularity, with minimal reporting burden on the beneficiaries. 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 The Programme is expected to have societal impact by addressing EU policy societal impact by addressing the global priorities through R&I, delivering benefits challenges as identified in Pillar II and impact through R&I missions and including UN SDGs as well as EU policy strengthening the uptake of innovation in priorities and commitments through R&I, society. Progress towards this impact will delivering benefits and impact through be monitored through proxy indicators set R&I missions and strengthening the uptake along the following four key impact of innovation in society ultimately pathways. 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 Short-term Medium-term Longer-term impact Benefits - Solutions - Outputs - Aggregated estimated effects Number and share of Addressing EU Number and share of from use of FP-funded results, innovations and policy priorities outputs aimed at on tackling specific EU policy scientific results through R&I addressing specific priorities, including addressing specific EU EU policy priorities contribution to the policy and policy priorities law-making cycle

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Delivering R&I mission outputs - R&I mission results - R&I mission targets met - benefits and Outputs in specific Results in specific R&I Targets achieved in specific impact through R&I missions missions R&I missions R&I missions Co-creation - Engagement - Number and share of Number and share of FP Strengthening the Societal R&I uptake FP projects where EU beneficiary entities with uptake of Uptake and outreach of FP co- citizens and end-users citizen and end-users innovation in created scientific results and contribute to the co- engagement society innovative solutions creation of R&I mechanisms after FP content project Amendment

Towards societal Short-term Medium-term Longer-term impact Solutions - Benefits - Outputs - Number and share of Aggregated estimated effects Addressing Number and share of innovations and from use of FP-funded results, Horizon Europe outputs aimed at scientific results on tackling specific Horizon objectives and EU addressing specific addressing specific Europe objectives and EU policy priorities Horizon Europe Horizon Europe policy priorities, contribution through R&I objectives and EU objectives and EU to the policy and law-making policy priorities policy priorities cycle Delivering benefits R&I mission outputs - R&I mission results - R&I mission targets met - and impact through Outputs in specific Results in specific Targets achieved in specific R&I missions and R&I missions and R&I missions and R&I missions and Partnerships Partnerships Partnerships Partnerships Societal and economic impact of climate-relevant projects - Aggregated estimated effects from use of FP-funded results, on delivering EU’s Innovations from Projects and outputs - long term climate and energy climate-relevant FP Number and share of commitments under the Paris project - projects and outputs Agreement Fulfilling the Number of that are climate- Economic, societal and Union’s climate innovations from FP relevant (by missions, environmental costs and commitment projects that are partnerships and benefits of climate-relevant climate-relevant, budget lines of the projects including from Programme) - Uptake of innovative climate awarded IPRs mitigation and adaptation solutions deriving from FP projects - Aggregated estimated effects from the use of these solutions on jobs and company

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creation, economic growth, clean energy, health and well- being (including air, soil and water quality) Co-creation - Engagement - Number and share of Number and share of Societal R&I uptake Strengthening the FP projects where EU FP beneficiary entities Access, uptake and outreach of uptake of R&I in citizens and end-users with citizen and end- FP scientific results and society, in MS contribute to the co- users engagement innovative solutions creation of R&I mechanisms after FP content project

Amendment 167

Proposal for a regulation Annex V – paragraph 5

Text proposed by the Commission Amendment

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

Generating Innovative outputs - Innovations - Economic growth - innovation- Number of innovative Number of innovations Creation, growth &

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based growth products, processes or from FP projects (by market shares of methods from FP (by type of type of innovation) companies having innovation) & Intellectual including from developed FP innovations Property Rights (IPR) awarded IPRs applications

Sustained employment Total employment Supported employment - - Number of direct & Number of FTE jobs Creating more Increase of FTE jobs indirect jobs created or created, and jobs maintained and better jobs in beneficiary entities maintained due to in beneficiary entities for the following FP project diffusion of FP results FP project (by type of job) (by type of job) (by type of job)

Scaling-up - Co-investment - Contribution to ‘3% Leveraging Amount of public & Amount of public & private target’ - investments in private investment investment mobilised with EU progress towards 3% R&I mobilised to exploit or the initial FP investment GDP target due to FP scale-up FP results Amendment

Towards economic / Short-term Medium-term Longer-term innovation impact

Innovations - Number of innovations from FP projects (by type of innovation and by country) including Innovative outputs - from awarded IPRs Economic growth - Number of innovative SMEs Creation, growth & Generating products, processes or SMEs introducing market shares of innovation- methods from FP (by type product or process companies having based growth in of innovation) & Intellectual innovations thanks to developed FP the Union Property Rights (IPR) FP funding as % of innovations within and applications in all FP-funded SMEs outside the Union participating countries Norms and standards Number of norms and standards resulting from FP projects developed within the EU

Adressing the Exploitation of RDI results Union gap Share of FP results leading to commercial exploitation within or outside the between R&D Union, depending on the sector concerned activities and Analysis of exploitation within or outside the Union

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

Total employment - Number of direct & Sustained employment indirect jobs created or Supported employment - - maintained or transfered For each participating For each in the Union due to country, number of FTE Creating more participating country, diffusion of FP results jobs created, and jobs and better jobs increase of FTE jobs (by type of job) maintained in beneficiary in beneficiary entities - Number of direct and entities for the FP project following FP project indirect jobs created in (by type of job) (by type of job) knowledge-intensive sectors per participating country

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 Short-term Medium-term Longer-term ERA

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FP funded internationalisation Attractive R&I systems - evolution and share FP-funded mobility - Foreign investments foreign researchers and Attracting Incoming and outgoing in innovative activities innovators based in all and retaining mobilities or researchers in the Union ERA countries talents in the and innovators, within - Number of patents in - Evolution of connectivity Union and outside the Union, participating countries and networking activities of per country research institutions, - Licences revenues including public-private from abroad connections

Participation in FP Share of coordinators and participants from widening countries per Creation and modernisation of pockets of Spreading part of the Programme excellence excellence and per instruments, Excellent R&I ecosystems, including low- and widening - Share of evaluators and performing R&I regions becoming hubs and drivers participation governance boards’ of change within their own country members including from widening countries and low-performing R&I regions

Enhancing national R&I systems Geographical - Increase of high- concentration Strategic planning of EU quality and - Success rates funding programmes independent R&I divide - Utilisation of Union- Synergies and interactions competitive research funded research between FP and Smart funding and career infrastructures in all ERA Specialisation Strategies evaluation systems countries - Increase in private and in national public spending for R&I

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14.11.2018

OPINION OF THE COMMITTEE ON DEVELOPMENT

for the Committee on Industry, Research and Energy

Rapporteur for opinion: Lola Sánchez Caldentey

SHORT JUSTIFICATION

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

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

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

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

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

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AMENDMENTS

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

Amendment 1

Proposal for a regulation Citation 1

Text proposed by the Commission Amendment

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

Amendment 2

Proposal for a regulation Recital 1

Text proposed by the Commission Amendment

(1) It is the Union's objective to (1) It is the Union's objective to strengthen its scientific and technological encourage social progress and the bases and encourage its competitiveness, sustainability and resilience of its society, including in its industry, while promoting by strengthening its scientific and all research and innovation activities to technological bases and encourage its deliver on the Union's strategic priorities, competitiveness, including in its industry, which ultimately aim at promoting peace, while promoting all research and the Union's values and the well-being of its innovation activities deemed appropriate peoples. to support the implementation of other Union policies and the honouring of the Union’s international commitments, in particular under the Paris Agreement, the Addis Ababa Action Agenda, the UN’s 2030 Agenda and the the Sustainable Development Goals (SDGs) targets 3b, 9.5 and 17.6-17.9, to deliver on the Union's political strategic priorities and commitments, which ultimately aim at promoting peace, tackling climate change,

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sustainable development as embodied by the SDGs, the Union's values, and the well-being of its peoples.

Justification

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

Amendment 3

Proposal for a regulation Recital 2

Text proposed by the Commission Amendment

(2) To deliver scientific, economic and (2) To deliver scientific, economic, societal impact in pursuit of this general climate and societal impact in pursuit of objective, the Union should invest in this general objective, the Union should research and innovation through Horizon invest in research and innovation through Europe - a Framework Programme for Horizon Europe - a Framework Programme Research and Innovation 2021-2027 (the for Research and Innovation 2021-2027 ‘Programme’) to support the creation and (the ‘Programme’) to support the creation diffusion of high-quality knowledge and and diffusion of high-quality knowledge technologies, to strengthen the impact of and technologies within and outside the research and innovation in developing, Union, to strengthen the impact of research supporting and implementing Union and innovation in developing, supporting policies, to support the uptake of and implementing Union policies and innovative solutions in industry and society commitments, to support the uptake of to address global challenges and promote innovative solutions in industry and society industrial competitiveness; to foster all to improve human well-being and to forms of innovation, including address global challenges, notably the breakthrough innovation, and strengthen SDGs and the Paris Agreement and market deployment of innovative solutions; promote industrial competitiveness; to and optimise the delivery of such foster all forms of innovation, including investment for increased impact within a breakthrough innovation, and strengthen strengthened European Research Area. market deployment of innovative solutions; and optimise the delivery of such investment for increased impact within a strengthened European Research Area.

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Amendment 4

Proposal for a regulation Recital 3 a (new)

Text proposed by the Commission Amendment

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

Amendment 5

Proposal for a regulation Recital 3 b (new)

Text proposed by the Commission Amendment

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

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to research data and results of value for the pursuit of the objectives of the Paris Agreement and the SDGs and promoting uptake of useful results.

Amendment 6

Proposal for a regulation Recital 5

Text proposed by the Commission Amendment

(5) Open science, including open (5) Open science, including open access to scientific publications and access to scientific publications and research data, has the potential to increase research data, has the potential to increase the quality, impact and benefits of science the quality, impact and benefits of science and to accelerate the advancement of and to accelerate the advancement of knowledge by making it more reliable, knowledge by making it more reliable, more efficient and accurate, better more efficient and accurate, better understandable by society and responsive understandable by society and responsive to societal challenges. Provisions should be to societal challenges. This is particularly laid down to ensure that beneficiaries important for actors in developing provide open access to peer-reviewed countries, where local research capacity scientific publications, research data and must be improved and whose other research outputs in an open and non- collaboration with Union partners can discriminatory manner, free of charge and help to tackle common global challenges as early as possible in the dissemination and contribute to Union research process, and to enable their widest possible excellence. Provisions should be laid down use and re-use. More emphasis should in to ensure that beneficiaries provide open particular be given to the responsible access to peer-reviewed scientific management of research data, which publications, research data and other should comply with the FAIR principles of research outputs in an open and non- ‘Findability’, ‘Accessibility’, discriminatory manner, free of charge and ‘Interoperability’ and ‘Reusability’, as early as possible in the dissemination notably through the mainstreaming of Data process, and to enable their widest possible Management Plans. Where appropriate, use and re-use. More emphasis should in beneficiaries should make use of the particular be given to the responsible possibilities offered by the European Open management of research data, which Science Cloud and adhere to further open should comply with the FAIR principles of science principles and practices. ‘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

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science principles and practices.

Amendment 7

Proposal for a regulation Recital 6

Text proposed by the Commission Amendment

(6) The conception and design of the (6) The conception and design of the Programme should respond to the need for Programme should respond to the need for establishing a critical mass of supported establishing a critical mass of supported activities, throughout the EU Union and activities, throughout the EU Union and through international cooperation, in line through international cooperation, in line with the UN Sustainable Development with the UN Sustainable Development Goals (SDGs). Programme implementation Goals (SDGs). Horizon Europe should should reinforce the pursuit of this aim. support and leverage national strategies for the fulfilment of the SDGs through common infrastructures and shared approaches. Programme implementation should reinforce the pursuit of this aim spearheading the Union’s commitment to providing leadership in addressing global challenges and to sharing its knowledge with its international partners.

Amendment 8

Proposal for a regulation Recital 7

Text proposed by the Commission Amendment

(7) Activities supported under the (7) Activities supported under the Programme should contribute towards the Programme should contribute towards the achievement of the Union's objectives and achievement of the Union's objectives and priorities the monitoring and assessment of priorities as well as international progress against those objectives and commitments, especially the SDGs, and priorities and for the development of the monitoring and assessment of progress revised or new priorities. against those objectives and priorities and for the development of revised or new priorities. European Research priorities should therefore provide specific alignment with SDGs in terms of establishing targets and measuring the

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impact of the Programme.

Amendment 9

Proposal for a regulation Recital 8 a (new)

Text proposed by the Commission Amendment

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

Amendment 10

Proposal for a regulation Recital 10

Text proposed by the Commission Amendment

(10) The pillar 'Global Challenges and (10) European research priorities Industrial Competitiveness' should be extend beyond scientific ambitions. They established through clusters of research and include support for human well-being, innovation activities, in order to maximise environmental stability and economic integration across the respective work areas sustainability. The pillar' Global while securing high and sustainable levels Challenges and Industrial Competitiveness' of impact in relation to the resources that should be established through clusters of are expended. It will encourage cross- research and innovation activities, in order disciplinary, cross-sectoral, cross-policy to maximise integration across the and cross-border collaboration in pursuit respective work areas while securing high of the UN SDGs and the competitiveness and sustainable levels of impact in relation of the Union's industries therein. to the resources that are expended. It will also facilitate the development of appropriate metrics and evaluation criteria methodologies to measure policy and programme impact on all dimensions of sustainable development, including human development.

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Amendment 11

Proposal for a regulation Recital 12 a (new)

Text proposed by the Commission Amendment

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

Amendment 12

Proposal for a regulation Recital 12 b (new)

Text proposed by the Commission Amendment

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

Amendment 13

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Proposal for a regulation Recital 13

Text proposed by the Commission Amendment

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

Amendment 14

Proposal for a regulation Recital 15

Text proposed by the Commission Amendment

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project selection, management, development in accordance with Article communication, dissemination and 208 of the Treaty on the Functioning of exploitation of results, to monitoring, the European Union (TFEU), from their auditing and governance. With a view to design and strategic planning, to project avoiding overlaps and duplication and selection, management, communication, increasing the leverage of Union funding, dissemination and exploitation of results, transfers from other Union programmes to to monitoring, auditing and governance. Horizon Europe activities can take place. With a view to avoiding overlaps and In such cases they will follow Horizon duplication and increasing the leverage of Europe rules Union funding, transfers from other Union programmes to Horizon Europe activities can take place. In such cases they will follow Horizon Europe rules.

Amendment 15

Proposal for a regulation Recital 15 a (new)

Text proposed by the Commission Amendment

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

Amendment 16

Proposal for a regulation Recital 17 a (new)

Text proposed by the Commission Amendment

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

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Amendment 17

Proposal for a regulation Recital 25

Text proposed by the Commission Amendment

(25) The Programme should promote (25) The Programme should promote and integrate cooperation with third and integrate cooperation with third countries and international organisations countries and international organisations and initiatives based on common interest, and initiatives based on common interest, mutual benefit and global commitments to mutual benefits and global commitments to implement the UN SDGs. International implement the UN SDGs and the Paris cooperation should aim to strengthen the Agreement. International cooperation Union's research and innovation should aim to strengthen the Union's excellence, attractiveness and economic excellence in research and innovation, in and industrial competitiveness, to tackle particular eco-innovation, attractiveness global challenges, as embodied in the UN and economic and industrial sustainability SDGs, and to support the Union's external and competitiveness, to tackle global policies. An approach of general opening social challenges, as embodied in the Paris for international participation and targeted Agreement and the UN SDGs, and to international cooperation actions should be support the Union's external policies with a followed, including through appropriate special focus on reduction and eligibility for funding of entities eradication of poverty. An approach of established in low to middle income general opening for international countries. At the same time, association of participation and targeted international third countries to the Programme should be cooperation actions including with low- promoted. and middle income countries, should be followed. Appropriate eligibility criteria concerning different levels of R&I capacities for funding of entities in low to middle income countries should be applied. At the same time, association of third countries to the Programme should be promoted in order to encourage the contribution of worldwide talent to the delivery of the programme.

Amendment 18

Proposal for a regulation Recital 26

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Text proposed by the Commission Amendment

(26) With the aim of deepening the (26) With the aim of deepening the relationship between science and society relationship between science and society and maximising benefits of their and maximising benefits of their interactions, the Programme should engage interactions, the Programme should work and involve citizens and civil society to address and overcome barriers to organisations in co-designing and co- societal engagement and actively engage creating responsible research and and involve citizens, academia and civil innovation agendas and contents, society organisations in co-designing and promoting science education, making co-creating responsible research and scientific knowledge publicly accessible, innovation agendas and contents, and facilitating participation by citizens promoting science education, making and civil society organisations in its scientific knowledge publicly accessible, activities. It should do so across the and facilitating participation by citizens Programme and through dedicated and civil society organisations in its activities in the part 'Strengthening the activities. It should do so across the European Research Area'. The engagement Programme, in particular through multi- of citizens and civil society in research and actor approaches, and through dedicated innovation should be coupled with public activities in the part 'Strengthening the outreach activities to generate and sustain European Research Area'. The engagement public support for the Programme. The of citizens and civil society in research and programme should also seek to remove innovation should be coupled with public barriers and boost synergies between outreach activities to generate and sustain science, technology, culture and the arts to public support for the Programme. The obtain a new quality of sustainable measures taken to improve the innovation. involvement of citizens and civil society should be reported on in Horizon 2027 annual reports. The programme should also seek to remove barriers and boost synergies between science, technology, culture and the arts to obtain a new quality of sustainable innovation.

Amendment 19

Proposal for a regulation Recital 28

Text proposed by the Commission Amendment

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Article 8 of the TFEU. The gender Article 8 of the TFEU. The gender dimension should be adequately integrated dimension should be adequately integrated in research and innovation content and in research and innovation content and followed through at all stages of the followed through at all stages of the research cycle. research cycle. The Programme should include concrete measures to counteract unintentional gender bias.

Amendment 20

Proposal for a regulation Recital 40

Text proposed by the Commission Amendment

(40) In line with the objectives of (40) In line with the objectives of international cooperation as set out in international cooperation as set out in Articles 180 and 186 TFEU, the Articles 180 and 186 TFEU, the participation of legal entities established in participation of legal entities established in third countries and of international third countries and of international organisations should be promoted. The organisations should be promoted. In implementation of the Programme should support of the participation of entities be in conformity with the measures established in third countries, training adopted in accordance with Articles 75 and and information activities shall be 215 TFEU and should be in compliance provided to the national contact points with international law. For actions related (NCPs) and to all relevant stakeholders to Union strategic assets, interests, from research organisations to private autonomy or security, the participation to sector, civil society, as well as local and specific actions of the Programme may be national authorities. The implementation limited to entities established in Member of the Programme should be in conformity States only, or to entities established in with the measures adopted in accordance specified associated or other third countries with Articles 75 and 215 TFEU and should in addition to Member States. be in compliance with international law. For actions related to Union strategic assets, interests, autonomy or security, the participation to specific actions of the Programme may be limited to entities established in Member States only, or to entities established in specified associated or other third countries in addition to Member States.

Amendment 21

Proposal for a regulation

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Recital 41 a (new)

Text proposed by the Commission Amendment

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

Justification

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

Amendment 22

Proposal for a regulation Article 2 – paragraph 1 – point 1 a (new)

Text proposed by the Commission Amendment

(1a) ‘global challenges’ mean achieving the SDGs and the objectives of the Paris Agreement, preventing, managing and eliminating security threats and conflicts, strengthening the respect for human rights, optimising international conditions for sustainable and inclusive economic and social development also in other ways and strengthening global governance, effective multilateralism and the international rule of law in order to facilitate the pursuit of these objectives; global challenges are included in the notion of societal challenges - which should in turn be defined through the

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active involvement of civil society and citizen participation mechanisms and other innovative decision making processes, without being fully covered by this notion;

Justification

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

Amendment 23

Proposal for a regulation Article 2 – paragraph 1 – point 4

Text proposed by the Commission Amendment

(4) 'open access' means the practice of (4) 'open access' means the practice of providing online access to research outputs providing online access to research outputs resulting from actions funded under the and research data resulting from actions Programme, in particular scientific funded under the Programme, in particular publications and research data, free of scientific publications and research data, charge to the end-user; free of charge to the end-user;

Amendment 24

Proposal for a regulation Article 3 – paragraph 1

Text proposed by the Commission Amendment

1. The Programme’s general objective 1. The Programme’s general objective is to deliver scientific, economic and is to deliver scientific, economic, climate societal impact from the Union’s and societal impact from the Union’s investments in research and innovation so investments in research and innovation so as to strengthen the scientific and as to strengthen the scientific and technological bases of the Union and foster technological bases of the Union and foster its competitiveness, including in its its competitiveness, including in its industry, deliver on the Union strategic industry, deliver on the Union strategic priorities, and contribute to tackling global priorities, commitments and contribute to challenges, including the Sustainable tackling global societal challenges, Development Goals. embodied by the Sustainable Development Goals and the Paris Agreement, including

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concrete measures for their achievement both inside and outside the Union.

Amendment 25

Proposal for a regulation Article 3 – paragraph 2 – point a

Text proposed by the Commission Amendment

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

Amendment 26

Proposal for a regulation Article 3 – paragraph 2 – point b

Text proposed by the Commission Amendment

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

Amendment 27

Proposal for a regulation Article 3 – paragraph 2 – point d a (new)

Text proposed by the Commission Amendment

(d a) to contribute to the fulfilment of the Union's commitment under the Paris Agreement by investing at least 50 % of

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the Programme’s financial envelope in climate-related research and innovation.

Justification

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

Amendment 28

Proposal for a regulation Article 3 – paragraph 2 – point d b (new)

Text proposed by the Commission Amendment

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

Amendment 29

Proposal for a regulation Article 7 – paragraph 3 – point a

Text proposed by the Commission Amendment

(a) have a clear EU-added value and (a) have a clear EU-added value and contribute to reaching Union priorities; contribute to reaching Union priorities and commitments, in particular in relation to climate action and the pursuit of the SDGs;

Amendment 30

Proposal for a regulation Article 7 – paragraph 3 – point a a (new)

Text proposed by the Commission Amendment

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(aa) facilitating achievement of the SDGs;

Amendment 31

Proposal for a regulation Article 9 – paragraph 2 a (new)

Text proposed by the Commission Amendment

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

Amendment 32

Proposal for a regulation Article 12 – paragraph 1 – point d – subparagraph 1 – point iii

Text proposed by the Commission Amendment iii. active promotion of policies to iii. active promotion of policies to improve the economic and social wellbeing improve the economic and social wellbeing of citizens; of citizens and the promotion of environmental sustainability;

Amendment 33

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

Text proposed by the Commission Amendment

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

Amendment 34

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Proposal for a regulation Article 18 – paragraph 5 a (new)

Text proposed by the Commission Amendment

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

Amendment 35

Proposal for a regulation Article 18 – paragraph 5 b (new)

Text proposed by the Commission Amendment

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

Amendment 36

Proposal for a regulation Article 19 – paragraph 2 – introductory part

Text proposed by the Commission Amendment

2. Entities established in a non- 2. With the exception of low and associated third country should in principle lower middle income countries, entities

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

Amendment 37

Proposal for a regulation Article 25 – paragraph 1 – point c a (new)

Text proposed by the Commission Amendment

(ca) contribution to the implementation of the SDGs.

Amendment 38

Proposal for a regulation Article 34 – paragraph 2

Text proposed by the Commission Amendment

2. Beneficiaries having received 2. Beneficiaries having received Union funding shall adequately protect Union funding shall adequately protect their results if protection is possible and their results if protection is justified, taking justified, taking into account all relevant into account all relevant considerations, considerations, including the prospects for including the prospects for commercial commercial exploitation. When deciding exploitation. When deciding on protection, on protection, beneficiaries shall also beneficiaries shall also consider both the consider the legitimate interests of the legitimate interests of the other other beneficiaries in the action; beneficiaries in the action and the active promotion of positive social spill over effects and return on the public investment in the form of accessibility to data and results.

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Amendment 39

Proposal for a regulation Article 36 – paragraph 4 a (new)

Text proposed by the Commission Amendment

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

Amendment 40

Proposal for a regulation Article 37 – paragraph 6 a (new)

Text proposed by the Commission Amendment

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

Amendment 41

Proposal for a regulation Article 45 – paragraph 1

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Text proposed by the Commission Amendment

1. Indicators to report on progress of 1. Indicators to report on progress of the Programme towards the achievement of the Programme towards the achievement of the objectives established in Article 3 are the objectives established in Article 3 are set in Annex V along impact pathways. set in Annex V along impact pathways. To the extent possible, the chosen indicators shall be streamlined with the SDG indicators.

Amendment 42

Proposal for a regulation Annex I – introductory part – paragraph 1 a (new)

Text proposed by the Commission Amendment

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

Amendment 43

Proposal for a regulation Annex I – introductory part – paragraph 1 b (new)

Text proposed by the Commission Amendment

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

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Amendment 44

Proposal for a regulation Annex I – point 1 – point b

Text proposed by the Commission Amendment

(b) Marie Skłodowska-Curie Actions: (b) Marie Skłodowska-Curie Actions: Equipping researchers with new Equipping researchers with new knowledge and skills through mobility and knowledge and skills through mobility and exposure across borders, sectors and exposure across borders, sectors and disciplines, as well as structuring and disciplines, while preventing brain-drain improving institutional and national from developing countries and actively recruitment, training and career supporting the build-up of R&I development systems; in so doing, the competence in a direct relation with local Marie Skłodowska-Curie Actions help to and regional needs and in coordination lay the foundations of Europe's excellent with the Union’s development instrument, research landscape, contributing to as well as structuring and improving boosting jobs, growth, and investment, and institutional and national recruitment, solving current and future societal training and career development systems; challenges. in so doing, the Marie Skłodowska-Curie Actions help to lay the foundations of Europe's excellent research landscape, contributing to boosting jobs, sustainable economic fabrics, and investment, and solving current and future societal challenges.

Amendment 45

Proposal for a regulation Annex I – point 2 – introductory part – paragraph 1

Text proposed by the Commission Amendment

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

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

Amendment 46

Proposal for a regulation Annex I – point 2 – paragraph 1 – subparagraph 1

Text proposed by the Commission Amendment

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

Amendment 47

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

Text proposed by the Commission Amendment

Cluster 'Health': Improving and protecting Cluster 'Health': Improving and protecting the health of citizens at all ages, by the health of citizens at all ages, by developing innovative solutions to prevent, developing innovative, suitable, safe, diagnose, monitor, treat and cure diseases; accessible and affordable solutions to mitigating health risks, protecting prevent, diagnose, monitor, treat and cure populations and promoting good health; diseases; mitigating health risks, protecting making public health systems more cost- populations and promoting good health;

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effective, equitable and sustainable; and making public health systems more cost- supporting and enabling patients' effective, equitable and sustainable; and participation and self-management. supporting and enabling patients' participation and self-management.

Amendment 48

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

Text proposed by the Commission Amendment

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

Amendment 49

Proposal for a regulation Annex I – point 2 – paragraph 4 – point c – subparagraph 2

Text proposed by the Commission Amendment

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

Amendment 50

Proposal for a regulation Annex I – point 2 – paragraph 4 – point d – subparagraph 1

Text proposed by the Commission Amendment

Cluster 'Climate, Energy and Mobility': Cluster 'Climate, Energy and Mobility': Fighting climate change by better Fighting climate change by better understanding its causes, evolution, risks, understanding its causes, evolution, risks, impacts and opportunities, and by making impacts and opportunities, and by making

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the energy and transport sectors more the energy and transport sectors more climate and environment-friendly, more climate and environment-friendly, more efficient and competitive, smarter, safer efficient and affordable, smarter, safer and and more resilient. more resilient.

Amendment 51

Proposal for a regulation Annex I – point 2 – paragraph 4 – point d – subparagraph 2

Text proposed by the Commission Amendment

Areas of intervention: Climate science and Areas of intervention: Climate science and solutions; Energy supply; Energy systems solutions; Energy supply; Energy systems and grids; Buildings and industrial and grids; Buildings and industrial facilities in energy transition; Communities facilities in energy transition; Communities and cities; Industrial competitiveness in and cities; Public affordability in transport; transport; Clean transport and mobility; Clean transport and mobility; Smart and Smart mobility; Energy storage. sustainable mobility; Energy storage.

Amendment 52

Proposal for a regulation Annex I – point 2 – paragraph 4 – point e – subparagraph 2

Text proposed by the Commission Amendment

Areas of intervention: Environmental Areas of intervention: Environmental observation; Biodiversity and natural observation; Biodiversity and natural capital; Agriculture, forestry and rural capital; Agriculture, forestry and rural areas; Sea and oceans; Food systems; Bio- areas; Sea and oceans; Food systems; Bio- based innovation systems; Circular systems based innovation systems; Circular systems; bioeconomy; precision agriculture; food and nutrition; food for health.

Amendment 53

Proposal for a regulation Annex I – point 2 – paragraph 4 – point f – subparagraph 1

Text proposed by the Commission Amendment

Non-nuclear direct actions of the Joint Non-nuclear direct actions of the Joint

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

Amendment 54

Proposal for a regulation Annex I – point 2 – paragraph 4 – point f – subparagraph 2

Text proposed by the Commission Amendment

Areas of intervention: Health; resilience Areas of intervention: Health; resilience and security; digital and industry; climate, and human security; peacebuilding and energy and mobility; food and natural conflict prevention including early resources; support to the functioning of the warning, digital and industry; climate, internal market and the economic energy and mobility; food and natural governance of the Union; support to resources; support to the functioning of the Member States with implementation of internal market and the economic legislation and development of smart governance of the Union; support to specialisation strategies; analytical tools Member States with implementation of and methods for policy making; knowledge legislation and development of smart management; knowledge and technology specialisation strategies; analytical tools transfer; support to science for policy and methods for policy making; knowledge platforms. management; knowledge and technology transfer; support to science for policy platforms

Amendment 55

Proposal for a regulation Annex I – point 3 – paragraph 1 – point a – subparagraph 1

Text proposed by the Commission Amendment

European Innovation Council: promoting European Innovation Council: promoting breakthrough innovation with scale-up societally relevant breakthrough

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potential at global level innovation with scale-up potential at global level

Amendment 56

Proposal for a regulation Annex I – point 3 – paragraph 1 – point c – subparagraph 1

Text proposed by the Commission Amendment

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

Amendment 57

Proposal for a regulation Annex II – paragraph 2 – indent 5

Text proposed by the Commission Amendment

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

Amendment 58

Proposal for a regulation Annex III – point 1 – point a – subparagraph 1

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Text proposed by the Commission Amendment

Evidence that the European Partnership is Evidence that the European Partnership is more effective in achieving the related more effective in achieving the related objectives of the Programme, in particular objectives of the Programme, in particular in delivering clear impacts for the EU and in delivering clear impacts for the EU and its citizens, notably in view of delivering its citizens, notably in view of delivering on global challenges and research and on global challenges as embodied by the innovation objectives, securing EU SDGs and research and innovation competitiveness and contributing to the objectives, securing EU competitiveness strengthening of the European Research and contributing to the strengthening of the and Innovation Area and international European Research and Innovation Area commitments; and international commitments;

Amendment 59

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

Text proposed by the Commission Amendment

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

Amendment 60

Proposal for a regulation Annex III – point 1 – point d – indent 1

Text proposed by the Commission Amendment

Amendment 61

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Proposal for a regulation Annex IV – point 4 – point a

Text proposed by the Commission Amendment

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

Amendment 62

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

Text proposed by the Commission Amendment

(b) research and innovation needs (b) research and innovation needs related to digital aspects are identified and related to digital aspects are identified and established in the Programme's strategic established in the Programme's strategic research and innovation plans; this includes research and innovation plans; this includes research and innovation for High research and innovation for Open Performance Computing, Artificial Internet, High Performance Computing, Intelligence, Cybersecurity, combining Artificial Intelligence, Cybersecurity, digital with other enabling technologies combining digital with other enabling and non-technological innovations; support technologies and non-technological for the scale-up of companies introducing innovations; support for the scale-up of breakthrough innovations (many of which companies introducing societally relevant will combine digital and physical innovations (many of which will combine technologies; the integration of digital digital and physical technologies; the across all the pillar 'Global Challenges and integration of digital across all the pillar Industrial Competitiveness'; and the 'Global Challenges and Industrial support to digital research infrastructures; Competitiveness'; and the support to digital research infrastructures;

Amendment 63

Proposal for a regulation Annex IV – point 11

Text proposed by the Commission Amendment

11. Synergies with the Neighbourhood, 11. Synergies with the Neighbourhood, Development and International Development and International Cooperation Instrument (the 'External Cooperation Instrument (the 'External

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Instrument') will ensure that the Instrument') will ensure that the Programme's research and innovation Programme's research and innovation activities with the participation of Third activities with the participation of Third Countries and targeted international Countries and targeted international cooperation actions seek alignment and cooperation actions seek alignment and coherence with parallel market uptake and coherence with parallel market uptake and capacity-building actions strands under the capacity-building actions strands under the External Instrument, based on joint External Instrument, based on joint definition of needs and areas of definition of needs through consultation intervention commonly defined during the with a wide variety of stakeholders in Programme's strategic research and partner countries and areas of intervention innovation planning process. commonly defined during the Programme's strategic research and innovation planning process and are fully aligned with the global goals of the 2030 Agenda on Sustainable Development. Such synergies will facilitate fulfilment of Article 66.2 of the WTO TRIPS1a Agreement, which notes the commitment by developed countries to provide incentives to their enterprises or institutions for the purpose of promoting and encouraging technology transfer to least-developed country members. ______1a TRIPS Agreement: The Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS) Article 66.2 Article 66.2 of the TRIPS Agreement requires developed-country Members to provide incentives to enterprises and institutions in their territories for the purpose of promoting and encouraging technology transfer to least-developed country Members in order to enable them to create a sound and viable technological base.

Amendment 64

Proposal for a regulation Annex V – paragraph 4

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Text proposed by the Commission Amendment

The Programme is expected to have The Programme is expected to have societal impact by addressing EU policy societal impact by addressing global priorities through R&I, delivering benefits challenges as defined by the SDGs as well and impact through R&I missions and as EU policy priorities through R&I, strengthening the uptake of innovation in delivering benefits and impact through society. Progress towards this impact will R&I missions and strengthening the uptake be monitored through proxy indicators set of and equitable access to innovation in along the following four key impact society, ultimately contributing to human pathways. well-being. Progress towards this impact will be monitored through proxy indicators set along the following four key impact pathways. To the extent possible, the chosen indicators shall be streamlined with the SDG indicators.

Amendment 65

Proposal for a regulation Annex V – table 2 – column 1 – row 2

Text proposed by the Commission Amendment

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

Amendment 66

Proposal for a regulation Annex V – table 2 – column 1 – row 3

Text proposed by the Commission Amendment

Delivering benefits and impact through Delivering societal benefits and impact R&I missions through R&I missions

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Amendment 67

Proposal for a regulation Annex V – table 2 – column 2 – row 2

Text proposed by the Commission Amendment

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

Amendment 68

Proposal for a regulation Annex V – table 2 – column 3 – row 2

Text proposed by the Commission Amendment

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

Amendment 69

Proposal for a regulation Annex V – table 2 – column 4 – row 2

Text proposed by the Commission Amendment

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

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PROCEDURE – COMMITTEE ASKED FOR OPINION

Title Proposal for a regulation of the European Parliament and of the Council establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination References COM(2018)0435 – C8-0252/2018 – 2018/0224(COD) Committee responsible ITRE Date announced in plenary 14.6.2018

Opinion by DEVE Date announced in plenary 14.6.2018

Rapporteur Lola Sánchez Caldentey Date appointed 4.9.2018 Discussed in committee 8.10.2018 Date adopted 12.11.2018

Result of final vote +: 14 –: 1 0: 9

Members present for the final vote Beatriz Becerra Basterrechea, Ignazio Corrao, Mireille D’Ornano, Doru-Claudian Frunzulică, Enrique Guerrero Salom, Heidi Hautala, Maria Heubuch, György Hölvényi, Linda McAvan, Norbert Neuser, Cristian Dan Preda, Lola Sánchez Caldentey, Jean-Luc Schaffhauser, Elly Schlein, Eleni Theocharous, Mirja Vehkaperä, Anna Záborská, Joachim Zeller, Željana Zovko Substitutes present for the final vote Frank Engel, Stefan Gehrold, Paul Rübig Substitutes under Rule 200(2) present Georgi Pirinski, Helmut Scholz for the final vote

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FINAL VOTE BY ROLL CALL IN COMMITTEE ASKED FOR OPINION

14 +

ALDE Beatriz Becerra Basterrechea, Mirja Vehkaperä

EFDD Ignazio Corrao, Mireille D'Ornano

GUE/NGL Lola Sánchez Caldentey, Helmut Scholz

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

VERTS/ALE Heidi Hautala, Maria Heubuch

1 -

ENF Jean-Luc Schaffhauser

9 0

ECR Eleni Theocharous

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

Key to symbols: + : in favour - : against 0 : abstention

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10.10.2018

OPINION OF THE COMMITTEE ON BUDGETS

for the Committee on Industry, Research and Energy on the proposal for a regulation of the European Parliament and of the Council establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination (COM(2018)0435 – C8-0252/2018 – 2018/0224(COD))

Rapporteur for opinion: Nils Torvalds

SHORT JUSTIFICATION

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

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

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

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

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the resources on national level is the key to achieving it, with a strong focus on complementarity and coordination of the EU level and national level actions.

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

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

AMENDMENTS

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

Amendment 1

Proposal for a regulation Recital 2

Text proposed by the Commission Amendment

(2) To deliver scientific, economic and (2) To deliver scientific, economic and societal impact in pursuit of this general societal impact in pursuit of this general objective, the Union should invest in objective, the Union should invest in research and innovation through Horizon research and innovation through Horizon Europe - a Framework Programme for Europe - a Framework Programme for Research and Innovation 2021-2027 (the Research and Innovation 2021-2027 (the ‘Programme’) to support the creation and ‘Programme’) to support excellence in diffusion of high-quality knowledge and research, fundamental research and the technologies, to strengthen the impact of creation and diffusion of high-quality research and innovation in developing, knowledge and technologies, to strengthen supporting and implementing Union the impact of research and innovation in policies, to support the uptake of developing, supporting and implementing innovative solutions in industry and society Union policies, to support the uptake of to address global challenges and promote innovative solutions in industry and society industrial competitiveness; to foster all to address global challenges such as forms of innovation, including achieving sustainable development and to breakthrough innovation, and strengthen promote industrial competitiveness; to market deployment of innovative solutions; foster all forms of innovation, including

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and optimise the delivery of such breakthrough innovation, and strengthen investment for increased impact within a market deployment of innovative solutions; strengthened European Research Area. and optimise the delivery of such investment for increased impact within a strengthened European Research Area.

Amendment 2

Proposal for a regulation Recital 2 a (new)

Text proposed by the Commission Amendment

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

Amendment 3

Proposal for a regulation Recital 19

Text proposed by the Commission Amendment

(19) The pillar 'Open Innovation' should (19) The pillar 'Open Innovation' should establish a series of measures for integrated establish a series of measures for integrated support to the needs of entrepreneurs and support to the needs of entrepreneurs and entrepreneurship aiming at realising and entrepreneurship aiming at realising and accelerating breakthrough innovation for accelerating breakthrough innovation for rapid market growth. It should attract rapid market growth as well as fostering innovative companies with potential for incremental innovation. It should attract scaling up at international and at Union innovative companies with potential for level and offer fast, flexible grants and co- scaling up at international and at Union investments, including with private level and offer fast, flexible grants and co- investors. These objectives should be investments, including with private pursued through the creation of a European investors. These objectives should be Innovation Council (EIC). This Pillar pursued through the creation of a European should also support the European Institute Innovation Council (EIC). This Pillar of Innovation and Technology (EIT) and should also support the European Institute European innovation ecosystems at large, of Innovation and Technology (EIT) and notably through co-funding partnerships European innovation ecosystems at large, with national and regional innovation notably through co-funding partnerships

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support actors. with national and regional innovation support actors.

Justification

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

Amendment 4

Proposal for a regulation Recital 20

Text proposed by the Commission Amendment

(20) The policy objectives of this (20) The policy objectives of this Programme will be also addressed through Programme will be also addressed through financial instruments and budgetary financial instruments and budgetary guarantee under the policy windows of the guarantee under the policy windows of the InvestEU Fund. Financial support should InvestEU Fund. Financial support should be used to address market failures or sub- be used to address market failures or sub- optimal investment situations, in a optimal investment situations, in a proportionate manner and actions should proportionate manner and actions should not duplicate or crowd out private not duplicate or crowd out private financing or distort competition in the financing or distort competition in the Internal market. Actions should have a Internal market. Actions should have a clear European added value. clear European added value and be based on the principle of excellence.

Amendment 5

Proposal for a regulation Recital 28

Text proposed by the Commission Amendment

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

Amendment 6

Proposal for a regulation Recital 41

Text proposed by the Commission Amendment

(41) Reflecting the importance of (41) Reflecting the importance of tackling climate change in line with the tackling climate change in line with the Union's commitments to implement the Union's commitments to implement the Paris Agreement and the United Nations Paris Agreement and the United Nations Sustainable Development Goals, this Sustainable Development Goals, this Programme will contribute to mainstream Programme will contribute to mainstream climate actions and to the achievement of climate actions and to the swift an overall target of 25 % of the EU budget achievement of an overall target of 30 % of expenditures supporting climate objectives. the EU budget expenditures supporting climate objectives.

Amendment 7

Proposal for a regulation Article 3 – paragraph 1

Text proposed by the Commission Amendment

1. The Programme’s general objective 1. The Programme’s general objective is to deliver scientific, economic and is to deliver scientific, economic and societal impact from the Union’s societal impact from the Union’s investments in research and innovation so investments in research and innovation so as to strengthen the scientific and as to strengthen the scientific and technological bases of the Union and foster technological bases of the Union and foster its competitiveness, including in its its competitiveness, including in its industry, deliver on the Union strategic industry, deliver on the Union strategic priorities, and contribute to tackling global priorities, and contribute to tackling global challenges, including the Sustainable challenges, including the Sustainable Development Goals. Development Goals, as well as contribute to the achievement of an overall target of 3 % of the Union’s GDP invested in research and development, in line with the EU2020 headline target.

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Amendment 8

Proposal for a regulation Article 9 – paragraph 1

Text proposed by the Commission Amendment

1. The financial envelope for the 1. The financial envelope for the implementation of the Framework implementation of the Framework Programme for the period 2021 – 2027 Programme for the period 2021 – 2027 shall be EUR 94 100 000 000 in current shall be EUR 120 000 000 000 in 2018 prices for the specific programme referred prices (EUR 135 248 000 000 in current to in Article 1(3)(a) and, in addition, the prices) for the specific programme referred amount for the specific programme to in Article 1(3)(a) and, in addition, the referred to in Article 1(3)(b), as laid down amount for the specific programme in Regulation…. establishing the European referred to in Article 1(3)(b), as laid down Defence Fund. in Regulation…. establishing the European Defence Fund.

Justification

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

Amendment 9

Proposal for a regulation Article 9 – paragraph 2 – point a – introductory part

Text proposed by the Commission Amendment

(a) EUR 25 800 000 000 for Pillar I (a) 27,418 % of the amount referred to 'Open Science' for the period 2021-2027, in paragraph 1, first half sentence, for of which Pillar I 'Open Science' for the period 2021- 2027, of which

Amendment 10

Proposal for a regulation Article 9 – paragraph 2 – point a – point 1

Text proposed by the Commission Amendment

(1) EUR 16 600 000 000 for the (1) 17,641 % of the amount referred to European Research Council; in paragraph 1, first half sentence, for the

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European Research Council;

Amendment 11

Proposal for a regulation Article 9 – paragraph 2 – point a – point 2

Text proposed by the Commission Amendment

(2) EUR 6 800 000 000 for Marie (2) 7,226 % of the amount referred to Skłodowska-Curie Actions; in paragraph 1, first half sentence, for Marie Skłodowska-Curie Actions;

Amendment 12

Proposal for a regulation Article 9 – paragraph 2 – point a – point 3

Text proposed by the Commission Amendment

(3) EUR 2 400 000 000 for research (3) 2,551 % of the amount referred to infrastructures; in paragraph 1, first half sentence, for research infrastructures;

Amendment 13

Proposal for a regulation Article 9 – paragraph 2 – point b – introductory part

Text proposed by the Commission Amendment

(b) EUR 52 700 000 000 for Pillar II (b) 56,004 % of the amount referred to 'Global Challenges and Industrial in paragraph 1, first half sentence, for Competitiveness' for the period 2021-2027, Pillar II 'Global Challenges and Industrial of which Competitiveness' for the period 2021-2027, of which

Amendment 14

Proposal for a regulation Article 9 – paragraph 2 – point b – point 1

Text proposed by the Commission Amendment

(1) EUR 7 700 000 000 for cluster (1) 8,183 % of the amount referred to

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'Health'; in paragraph 1, first half sentence, for cluster 'Health';

Amendment 15

Proposal for a regulation Article 9 – paragraph 2 – point b – point 2

Text proposed by the Commission Amendment

(2) EUR 2 800 000 000 for cluster (2) 2,976 % of the amount referred to 'Inclusive and Secure Society'; in paragraph 1, first half sentence, for cluster 'Inclusive and Secure Society';

Amendment 16

Proposal for a regulation Article 9 – paragraph 2 – point b – point 3

Text proposed by the Commission Amendment

(3) EUR 15 000 000 000 for cluster (3) 15,940 % of the amount referred to 'Digital and Industry'; in paragraph 1, first half sentence, for cluster 'Digital and Industry';

Amendment 17

Proposal for a regulation Article 9 – paragraph 2 – point b – point 4

Text proposed by the Commission Amendment

(4) EUR 15 000 000 000 for cluster (4) 15,940 % of the amount referred to 'Climate, Energy and Mobility'; in paragraph 1, first half sentence, for cluster 'Climate, Energy and Mobility';

Amendment 18

Proposal for a regulation Article 9 – paragraph 2 – point b – point 5

Text proposed by the Commission Amendment

(5) EUR 10 000 000 000 for cluster (5) 10,627 % of the amount referred to in paragraph 1, first half sentence, for

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'Food and Natural Resources'; cluster 'Food and Natural Resources';

Amendment 19

Proposal for a regulation Article 9 – paragraph 2 – point b – point 6

Text proposed by the Commission Amendment

(6) EUR 2 200 000 000 for the non- (6) 2,338 % of the amount referred to nuclear direct actions of the Joint Research in paragraph 1, first half sentence, for the Centre (JRC); non-nuclear direct actions of the Joint Research Centre (JRC);

Amendment 20

Proposal for a regulation Article 9 – paragraph 2 – point c – introductory part

Text proposed by the Commission Amendment

(c) EUR 13 500 000 000 for Pillar III (c) 14,346 % of the amount referred to 'Open Innovation' for the period 2021- in paragraph 1, first half sentence, for 2027, of which Pillar III 'Open Innovation' for the period 2021-2027, of which

Amendment 21

Proposal for a regulation Article 9 – paragraph 2 – point c – point 1

Text proposed by the Commission Amendment

(1) EUR 10 500 000 000 for the (1) 11,158 % of the amount referred to European Innovation Council, including up in paragraph 1, first half sentence, for the to EUR 500 000 000 for European European Innovation Council, including up Innovation Ecosystems; to 0,531 % of the amount referred to in paragraph 1, first half sentence, for European Innovation Ecosystems;

Amendment 22

Proposal for a regulation Article 9 – paragraph 2 – point c – point 2

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Text proposed by the Commission Amendment

(2) EUR 3 000 000 000 for the (2) 3,188 % of the amount referred to European Institute of Innovation and in paragraph 1, first half sentence, for the Technology (EIT); European Institute of Innovation and Technology (EIT);

Amendment 23

Proposal for a regulation Article 9 – paragraph 2 – point d – introductory part

Text proposed by the Commission Amendment

(d) EUR 2 100 000 000 for Part (d) 2,232 % of the amount referred to 'Strengthening the European Research in paragraph 1, first half sentence, for Area' for the period 2021-2027, of which Part 'Strengthening the European Research Area' for the period 2021-2027, of which

Amendment 24

Proposal for a regulation Article 9 – paragraph 2 – point d – point 1

Text proposed by the Commission Amendment

(1) EUR 1 700 000 000 for 'sharing (1) 1,807 % of the amount referred to excellence'; in paragraph 1, first half sentence, for 'sharing excellence';

Amendment 25

Proposal for a regulation Article 9 – paragraph 2 – point d – point 2

Text proposed by the Commission Amendment

(2) EUR 400 000 000 for 'reforming (2) 0,425 % of the amount referred to and enhancing the European R&I System'. in paragraph 1, first half sentence, for 'reforming and enhancing the European R&I System'.

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Amendment 26

Proposal for a regulation Article 9 – paragraph 3

Text proposed by the Commission Amendment

3. In order to respond to unforeseen 3. In order to respond to unforeseen situations or to new developments and situations or to new developments and needs, the Commission may, within the needs, the Commission may, within the annual budgetary procedure, deviate from annual budgetary procedure, propose to the amounts referred to in paragraph 2 up increase the amounts referred to in to a maximum of 10%. No such deviation paragraph 2 by up to 15% or decrease shall be allowed in respect of the amounts them by up to 5%. No decrease shall be referred to in points (b) (6) of paragraph 2 allowed in respect of the amount referred of this Article and the total amount set out to in point (a) of paragraph 2. No increase for Part 'Strengthening the European or decrease shall be allowed in respect of Research Area' of paragraph 2 of this the amounts referred to in points (b) (6) of Article. paragraph 2 and the total amount set out for Part 'Strengthening the European Research Area' of paragraph 2.

Justification

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

Amendment 27

Proposal for a regulation Article 12 – paragraph 4 a (new)

Text proposed by the Commission Amendment

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

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Amendment 28

Proposal for a regulation Article 33 – paragraph 6

Text proposed by the Commission Amendment

6. The amounts recovered shall 6. The amounts recovered shall constitute revenue assigned to the constitute revenue assigned to the Mechanism within the meaning of Article Mechanism within the meaning of Article 21(4) of the Financial Regulation. Once all 21(4) of the Financial Regulation. Once all grants whose risk is covered directly or grants whose risk is covered directly or indirectly by the Mechanism are indirectly by the Mechanism are completed, any sums outstanding shall be completed, any sums outstanding shall be recovered by the Commission and entered recovered by the Commission and entered into the budget of the Union, subject to into the budget of the Union. decisions of the legislative authority.

Amendment 29

Proposal for a regulation Article 47 – paragraph 2

Text proposed by the Commission Amendment

2. The interim evaluation of the 2. The interim evaluation of the Programme shall be carried out once there Programme shall be carried out once there is sufficient information available about the is sufficient information available about the implementation of the Programme, but no implementation of the Programme, but no later than four years after the start of the later than three years after the start of the programme implementation. It shall programme implementation. It shall include an assessment of the long-term include an assessment of the long-term impact of previous Framework impact of previous Framework Programmes and shall form the basis to Programmes and shall form the basis to adjust programme implementation, as adjust programme implementation, as appropriate. appropriate.

Justification

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

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PROCEDURE – COMMITTEE ASKED FOR OPINION

Opinion by BUDG Date announced in plenary 14.6.2018

Rapporteur Nils Torvalds Date appointed 28.6.2018 Discussed in committee 13.9.2018 Date adopted 9.10.2018

Result of final vote +: 30 –: 2 0: 0

Members present for the final vote Nedzhmi Ali, Jean Arthuis, Richard Ashworth, Reimer Böge, Lefteris Christoforou, Gérard Deprez, José Manuel Fernandes, Eider Gardiazabal Rubial, Jens Geier, Ingeborg Gräßle, Iris Hoffmann, Monika Hohlmeier, John Howarth, Zbigniew Kuźmiuk, Bernd Kölmel, Vladimír Maňka, Siegfried Mureşan, Jan Olbrycht, Younous Omarjee, Răzvan Popa, Paul Rübig, Petri Sarvamaa, Jordi Solé, Eleftherios Synadinos, Inese Vaidere, Monika Vana, Daniele Viotti, Tiemo Wölken, Manuel dos Santos, Patricija Šulin Substitutes present for the final vote Andrey Novakov Substitutes under Rule 200(2) present Auke Zijlstra for the final vote

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FINAL VOTE BY ROLL CALL IN COMMITTEE ASKED FOR OPINION

30 +

ALDE Nedzhmi Ali, Jean Arthuis, Gérard Deprez

ECR Bernd Kölmel, Zbigniew Kuźmiuk

GUE/NGL Younous Omarjee

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

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

VERTS/ALE Jordi Solé, Monika Vana

2 -

ENF Auke Zijlstra

NI Eleftherios Synadinos

0 0

Key to symbols: + : in favour - : against 0 : abstention

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19.11.2018

OPINION OF THE COMMITTEE ON BUDGETARY CONTROL

Rapporteur for opinion: Martina Dlabajová

SHORT JUSTIFICATION

To maximise the impact of future European Union (EU) research and innovation (R&I) is crucial in a rapidly globalising world. Compared to other major economies, Europe suffers from a growth deficit and this requires action by the EU and its Member States.

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

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

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

The Rapporteur welcomes the fact, that the proposed framework programme aims to have an even greater impact than the current one that has already provided unique European added value in supporting continent-wide competition and collaboration for the very best science and innovation. In the view of simplification, the Rapporteur stresses that merging two current legal acts (the Framework Programme and the Rules for Participation and

1 High level group on EU research & innovation programmes, 2017

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Dissemination) into a single legal act providing for a single set of rules for participation and dissemination, increased the use of simplified cost options and cross-reliance on audits etc.

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

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

Nevertheless, the Rapporteur is highly concerned about the latest investigation results of the European Anti-Fraud Office (OLAF) that fraudsters have increasingly attempted to defraud funds destined for research1. The research and technological development priorities are among those most affected by potential fraud.

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

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

AMENDMENTS

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

Amendment 1

Proposal for a regulation Recital 8

Text proposed by the Commission Amendment

(8) The Programme should maintain a (8) The Programme should maintain a balanced approach between bottom-up balanced and clear approach between (investigator or innovator driven) and top- bottom-up (investigator or innovator down (determined by strategically defined driven) and top-down (determined by priorities) funding, according to the nature strategically defined priorities) funding, of the research and innovation according to the nature of the research and communities that are engaged, the types innovation communities that are engaged, and purpose of the activities carried out the types and purpose of the activities and the impacts that are sought. The mix of carried out and the impacts that are sought. these factors should determine the choice The mix of these factors should determine

1 The OLAF report 2017

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of approach for the respective parts of the the choice of approach for the respective Programme, all of which contribute to all parts of the Programme, all of which of the Programme’s general and specific contribute to all of the Programme’s objectives. general and specific objectives.

Amendment 2

Proposal for a regulation Recital 14

Text proposed by the Commission Amendment

(14) The Commission’s Communication (14) The Commission’s Communication on the interim evaluation of Horizon 2020 on the interim evaluation of Horizon 2020 (COM(2018) 2 final) has provided a set of (COM(2018) 2 final) has provided a set of recommendations for this Programme, recommendations for this Programme, including its Rules for participation and including its Rules for participation and dissemination, building on the lessons dissemination, building on the lessons learnt from the previous Programme as learnt from the previous Programme as well as input from EU institutions and well as input from EU institutions and stakeholders. Those recommendations stakeholders. It is stated in the evaluation include to invest more ambitiously in order that the previous Programme was clearly to reach critical mass and maximise underfunded given the number of impact; to support breakthrough proposals put forward that were deemed innovation; to prioritise Union research and to have exceeded the stringent quality innovation (R&I) investments in areas of threshold, and it is estimated that high added value, notably through mission- applicants spent EUR 643 million orientation, citizen involvement and wide preparing the proposals. The communication; to rationalise the Union recommendations put forward include: funding landscape, including by invest more ambitiously in order to reach streamlining the range of partnership critical mass and maximise impact; support initiatives and co-funding schemes; the breakthrough innovation; prioritise Union development of more and concrete research and innovation (R&I) investments synergies between different Union funding in areas of high added value, notably instruments, notably with the aim of through mission-orientation, citizen helping to mobilise under-exploited R&I involvement and wide communication; potential across the Union; to strengthen rationalise the Union funding landscape, international cooperation and reinforce including by streamlining the range of openness to third countries’ participation; partnership initiatives and co-funding and to continue simplification based on schemes; develop more and concrete implementation experiences from Horizon synergies between different Union funding 2020. instruments, notably with the aim of helping to mobilise under-exploited R&I potential across the Union; strengthen international cooperation and reinforce openness to participation by third countries; and continue simplification based on implementation experiences from

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Horizon 2020.

Amendment 3

Proposal for a regulation Recital 15

Text proposed by the Commission Amendment

(15) The Programme should seek (15) The Programme should seek synergies with other Union programmes, synergies with other Union programmes, from their design and strategic planning, to from their design, simplification and project selection, management, strategic planning, to project selection, communication, dissemination and management, communication, exploitation of results, to monitoring, dissemination and exploitation of results, auditing and governance. With a view to to monitoring, auditing and governance. avoiding overlaps and duplication and With a view to avoiding overlaps and increasing the leverage of Union funding, duplication and increasing the leverage of transfers from other Union programmes to Union funding, transfers from other Union Horizon Europe activities can take place. programmes to Horizon Europe activities In such cases they will follow Horizon can take place. In such cases they will Europe rules. follow Horizon Europe rules.

Amendment 4

Proposal for a regulation Recital 28

Text proposed by the Commission Amendment

Justification

Gender is not confined to just women and men.

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Amendment 5

Proposal for a regulation Article 6 – paragraph 7

Text proposed by the Commission Amendment

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

Amendment 6

Proposal for a regulation Article 9 – paragraph 4

Text proposed by the Commission Amendment

4. The amount referred to in 4. The amount referred to in paragraph 1, first half sentence, may also paragraph 1, first half sentence, may also cover expenses for preparation, cover expenses for preparation, monitoring, control, audit, evaluation and monitoring, control, audit, evaluation and other activities and expenditures necessary other activities and expenditures necessary for managing and implementing the for managing and implementing the Programme, including all administrative Programme, including all administrative expenditure, as well as evaluating the expenditure, as well as evaluating the achievement of its objectives. It may achievement of its objectives. It may moreover cover expenses relating to the moreover cover expenses relating to the studies, meetings of experts, information studies, meetings of experts, information and communication actions, in so far as and communication actions, in so far as they are related to the objectives of the they are directly related to the objectives of Programme, as well as expenses linked to the Programme, as well as expenses linked information technology networks focusing to information technology networks on information processing and exchange, focusing on information processing and including corporate information technology exchange, including corporate information tools and other technical and administrative technology tools and other technical and assistance needed in connection with the administrative assistance needed in management of the Programme. connection with the management of the Programme.

Amendment 7

Proposal for a regulation Article 10 – paragraph 3 a (new)

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Text proposed by the Commission Amendment

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

Amendment 8

Proposal for a regulation Article 10 – paragraph 3 b (new)

Text proposed by the Commission Amendment

3b. Digitalisation is a major driver. As it continues at a rapid pace across all sectors, investment in priority areas ranging from artificial intelligence to next generation internet, high performance computing, photonics and nano- electronics becomes essential for the strength of our economy and the sustainability of our society. Investing, producing and using ICT provide a major boost to Union economic growth, amounting to an increase of 30% between 2001 and 2011 alone. Key enabling technologies underpin the blending of the digital and the physical worlds, central to this new global wave of innovation. Investing in the development, demonstration and deployment of key enabling technologies and ensuring a secure, sustainable and affordable supply of raw and advanced materials, will secure Union strategic autonomy and help Union industry to significantly reduce its carbon and environmental footprints;

Amendment 9

Proposal for a regulation Article 15 – paragraph 1 – subparagraph 2 a (new)

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Text proposed by the Commission Amendment

Protection of whistleblowers shall be guaranteed.

Amendment 10

Proposal for a regulation Article 24 – paragraph 1

Text proposed by the Commission Amendment

1. By derogation from Article 198 of 1. By derogation from Article 198 of the Financial Regulation, the financial the Financial Regulation, the financial capacity shall be verified only for the capacity shall be verified only for the coordinator and only if the requested coordinator and only if the requested funding from the Union for the action is funding from the Union for the action is equal to or greater than EUR 500 000. equal to or greater than EUR 250 000.

Justification

The Research Guarantee protects the EU budget from default of participants. However, in case of multi-beneficiary grant the coordinator manages funds for the other partners as well. It is justified that its capacity be verified; However, the threshold proposed by the Commission: EUR 500 000 is high, especially if more risky type of beneficiaries endorse the role of coordinator.

Amendment 11

Proposal for a regulation Article 24 – paragraph 4

Text proposed by the Commission Amendment

4. In case of weak financial capacity, 4. In case of weak financial capacity the Commission or funding body may as determined on the basis of an analysis make participation of the applicant of any information or supporting conditional on provision of a declaration documents referred to in Article 196 of on joint and several liability by an the Financial Regulation, the Commission affiliated entity. or funding body may make participation of the applicant conditional on provision of a declaration on joint and several liability by an affiliated entity.

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Justification

The assessment of “weak financial capacity” should be based on the information required by the financial regulation.

Amendment 12

Proposal for a regulation Article 32 – paragraph 4

Text proposed by the Commission Amendment

4. By derogation from Article 203(4) 4. By derogation from Article 203(4) of the Financial Regulation, a certificate on of the Financial Regulation, a certificate the financial statements shall be mandatory produced by an approved external auditor at payment of the balance, if the amount or, in the case of public bodies, by a claimed as actual costs and unit costs competent and independent public officer, calculated in accordance with usual cost on the financial statements shall be accounting practices is equal to or greater mandatory only where the cumulative than EUR 325 000. amount of interim and balance payments made to a participant is equal to EUR 325.000 or more.

Justification

The fact that certificates on financial statements are only issued at the end of the project is not useful and risks weakening the control system. The objective of simplification is, anyway achieved, in this article through the establishment of a threshold.

Amendment 13

Proposal for a regulation Article 42 – paragraph 2

Text proposed by the Commission Amendment

2. EIC blended finance shall be 2. EIC blended finance shall be implemented in accordance with Article implemented in accordance with Article 43. The support under the EIC blended 43. The support under the EIC blended finance may be granted until the action can finance may be granted until the action can be financed as a blending operation or as a be financed as a blending operation or as a financing and investment operation fully financing and investment operation fully covered by the EU guarantee under covered by the EU guarantee under InvestEU. By derogation from Article 209 InvestEU. 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

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EIC blended finance

Justification

The derogations proposed by the Commission seem to imply that the Union would support final recipients that are not deemed economically viable. Furthermore, the leverage and multiplier effects are essential elements of the financial instruments. Finally, the phrasing of the derogations is unclear: does it mean that the derogation would only be applicable to (a) and (d) or mainly to (a) and (d)?

Amendment 14

Proposal for a regulation Article 44 – paragraph 1

Text proposed by the Commission Amendment

1. By derogation from Article 237(3) 1. By derogation from Article 237(3) of the Financial Regulation, external of the Financial Regulation, external experts may be selected without a call for experts of proven independence may be expressions of interest, if justified and the selected without a call for expressions of selection is carried out in a transparent interest, if deemed appropriate and in duly manner. justified cases, and if the selection is carried out in a transparent manner.

Justification

The text of Article 44.1, as proposed by the Commission is vague and miss even the absence of conflict of interest.

Amendment 15

Proposal for a regulation Article 44 – paragraph 1 – subparagraph 1 a (new)

Text proposed by the Commission Amendment

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, advice or assist on that specific matter.

Justification

The text of Article 44.1, as proposed by the Commission is vague and miss even the absence

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of conflict of interest.

Amendment 16

Proposal for a regulation Article 44 – paragraph 2

Text proposed by the Commission Amendment

2. In accordance with Article 237(2) 2. In accordance with Article 237(2) and 237(3) of the Financial Regulation, and 237(3) of the Financial Regulation, external experts shall be remunerated based external experts shall be remunerated based on standard conditions. If justified, an on standard conditions. In duly justified appropriate level of remuneration beyond cases, an appropriate level of remuneration the standard conditions based on relevant beyond the standard conditions based on market standards, especially for specific relevant market standards, especially for high level experts, may be granted. specific high level experts, may be granted.

Justification

It is understandable that for some very specific competences the Commission might need to pay more for the experts. However, this should be at least duly justified.

Amendment 17

Proposal for a regulation Article 44 – paragraph 2 – subparagraph 1 a (new)

Text proposed by the Commission Amendment

This exception shall only be applicable for experts not selected under a call for expression of interests.

Justification

It is understandable that for some very specific competences the Commission might need to pay more for the experts. However, this should be at least duly justified.

Amendment 18

Proposal for a regulation Article 47 – paragraph 2

Text proposed by the Commission Amendment

2. The interim evaluation of the 2. The interim evaluation of the

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Programme shall be carried out once there Programme shall be carried out once there is sufficient information available about the is sufficient information available about the implementation of the Programme, but no implementation of the Programme and the later than four years after the start of the result of the evaluation shall be made programme implementation. It shall available no later than four years after the include an assessment of the long-term start of the programme implementation. It impact of previous Framework shall include an assessment of the long- Programmes and shall form the basis to term impact of previous Framework adjust programme implementation, as Programmes and shall form the basis to appropriate. adjust programme implementation, as appropriate.

Justification

The interim evaluation duty should made possible that corrective measures are taken if necessary.

Amendment 19

Proposal for a regulation Article 48 – paragraph 1

Text proposed by the Commission Amendment

1. The control system for the 1. The control system for the Programme shall ensure an appropriate Programme shall ensure an appropriate balance between trust and control, taking balance between trust and control, taking into account administrative and other costs into account administrative and other costs of controls at all levels, especially for of controls at all levels, especially for beneficiaries. beneficiaries. Audits shall be conducted in conformity with internationally accepted audit standards and general principles of law.

Justification

The respect of the general principles of law (proportionality, legal certainty, transparency, right to privacy and good administration) are highly relevant both for auditors and for beneficiaries of EU funds.

Amendment 20

Proposal for a regulation Article 48 – paragraph 4

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Text proposed by the Commission Amendment

4. In accordance with Article 127 of 4. In accordance with Article 127 of the Financial Regulation, the Commission the Financial Regulation, the Commission or funding body may rely on audits on the or funding body may rely on audits on the use of Union contributions carried out by use of Union contributions carried out by other persons or entities, including by other other persons or entities, including by other than those mandated by the Union than those mandated by the Union Institutions or bodies. Institutions or bodies providing that those audits are based on internationally accepted audits standards and have been conducted by an independent auditor.

Justification

It seems useful to repeat the conditions foreseen by article 127 of the Financial Regulation.

Amendment 21

Proposal for a regulation Article 48 – paragraph 4 a (new)

Text proposed by the Commission Amendment

4 a. Where justified, the Commission or funding bodies may accept the use of beneficiaries’ accounting practices, provided that such accounting practices are in accordance with national laws and internationally accepted accounting standards for audit purposes.

Justification

Beneficiaries can have their own accounting systems and practices that are set up in accordance with national legislations and International Accounting Standards. As a consequence, there is a risk that the beneficiaries’ methods for calculating and classifying cost items may not satisfy cost- eligibility criteria set by rules for participation in research and innovation programme. For small beneficiaries it is costly to adapt their accounting system and big companies (Universities) will not.

Amendment 22

Proposal for a regulation Annex I – point 1 – paragraph 1 – point b – introductory part

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Text proposed by the Commission Amendment

(b) Marie Skłodowska-Curie Actions: (b) Marie Skłodowska-Curie Actions: Equipping researchers with new Equipping researchers with new knowledge and skills through mobility and knowledge and skills through mobility and exposure across borders, sectors and exposure across borders, sectors and disciplines, as well as structuring and disciplines, as well as structuring and improving institutional and national improving institutional and national recruitment, training and career recruitment, training and career development systems; in so doing, the development systems; in so doing, the Marie Skłodowska-Curie Actions help to Marie Skłodowska-Curie Actions help to lay the foundations of Europe's excellent lay the foundations of Europe's excellent research landscape, contributing to research landscape, contributing to boosting jobs, growth, and investment, and boosting meaningful jobs that meet all solving current and future societal current Union labour laws and rights, challenges. sustainable growth, and investment, and solving current and future societal challenges.

Amendment 23

Proposal for a regulation Annex IV – point 4 – point a

Text proposed by the Commission Amendment

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

Amendment 24

Proposal for a regulation Annex V – paragraph 5

Text proposed by the Commission Amendment

The Programme is expected to have The Programme is expected to have economic/innovation impact by influencing economic/innovation impact by influencing the creation and growth of companies, the creation and growth of companies, creating direct and indirect jobs, and by creating direct and indirect jobs that meet leveraging investments for research and all current Union labour laws and rights, innovation. Progress towards this impact and by leveraging investments for research

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will be monitored through proxy indicators and innovation. Progress towards this set along the following three key impact impact will be monitored through proxy pathways. indicators set along the following three key impact pathways.

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PROCEDURE – COMMITTEE ASKED FOR OPINION

Opinion by CONT Date announced in plenary 5.7.2018

Rapporteur Martina Dlabajová Date appointed 17.9.2018 Date adopted 15.11.2018

Result of final vote +: 21 –: 0 0: 1

Members present for the final vote Nedzhmi Ali, Inés Ayala Sender, Zigmantas Balčytis, Dennis de Jong, Tamás Deutsch, Martina Dlabajová, Luke Ming Flanagan, Ingeborg Gräßle, Arndt Kohn, Gilles Pargneaux, Georgi Pirinski, Petri Sarvamaa, Bart Staes, Indrek Tarand, Derek Vaughan, Tomáš Zdechovský, Joachim Zeller Substitutes present for the final vote Caterina Chinnici, Marian-Jean Marinescu, Andrey Novakov, Julia Pitera, Richard Sulík

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FINAL VOTE BY ROLL CALL IN COMMITTEE ASKED FOR OPINION

21 +

ALDE Nedzhmi Ali, Martina Dlabajová

ECR Richard Sulík

PPE Tamás Deutsch, Ingeborg Gräßle, Marian-Jean Marinescu, Andrey Novakov, Julia Pitera, Petri Sarvamaa, Tomáš Zdechovský, Joachim Zeller

S&D Inés Ayala Sender, Zigmantas Balčytis, Caterina Chinnici, Arndt Kohn, Gilles Pargneaux, Georgi Pirinski, Derek Vaughan

VERTS/ALE Bart Staes, Indrek Tarand

GUE/NGL Luke Ming Flanagan

0 -

1 0

GUE/NGL Dennis de Jong

Key to symbols: + : in favour - : against 0 : abstention

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17.10.2018

OPINION OF THE COMMITTEE ON THE ENVIRONMENT, PUBLIC HEALTH AND FOOD SAFETY

Rapporteur for opinion: Cristian-Silviu Buşoi

SHORT JUSTIFICATION

Horizon Europe will be the European Union’s 9th Research and Innovation Framework Programme and it will run between 2021 and 2027. The European Commission foresees financing for Horizon Europe to the tune of 97.6 billion EUR, up from the roughly 80 billion EUR for Horizon 2020. Building on past successes and learning the lessons from previous programmes, Horizon Europe aims to strengthen the scientific and technological bases of the Union, foster its competitiveness and make Europe fit to take a leading role in facing the challenges of the 21st century - from health to global warming, from digitalisation to the circular economy.

The rapporteur concurs that for Horizon Europe to succeed a balanced mix of continuity and innovation is necessary, and that an ‘evolution’ of the current programme will reap more benefits than ‘revolution’.

Continuity will serve to offer predictability and simplicity to the scientific community and firms aiming to engage with Horizon Europe. Continuity will also reinforce the ‘Horizon’ brand, ease dissemination efforts and analyse the performance of the programme over time. Specifically the rapporteur welcomes continuity in the three-pillar structure and of the successful components within them. Furthermore the rapporteur welcomes the continuation of grants as the main funding model for Horizon Europe.

Yet, the new Horizon rightly addresses a number of identified shortcomings. Horizon 2020 has for example succeeded in the bringing about excellent research - as demonstrated by the references in high quality scientific literature of Horizon’s funded publications, but the EU’s

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ecosystem is still not sufficiently conducive to breakthrough innovation. The rapporteur is of the opinion that a number of novelties in the new Horizon will strengthen the programme. The introduction of the concept of missions has the highest potential for success. A few, simple, well-funded missions with a high societal impact would serve to rally the scientific and business community. The new European Innovation Council also has the potential to accelerate the scaling up of promising ideas, favouring start-up and strengthening the links between academia and the business world. The reduction of bureaucracy, the principle of open science and the strengthened synergies with other EU programmes all have the potential to bring about positive change, accelerate innovation and concretise results.

The success of Horizon Europe is particularly important for the ENVI Committee. This is not just because being at the forefront of innovation and research is the best way to ensure quality jobs and the future competitiveness of the EU’s economy, but also because Horizon Europe is a key instrument to address the many pressing issues which are the focus of ENVI’s work and which stem from the international obligations which the EU helped shaping, such as the Paris Agreement or the Sustainable Development Goals or WHO guidelines.

Specifically, Pillar 2 takes the lion’s share of Horizon Europe funding. Three out of five of its clusters - (a) Health, (d) Climate, Energy and Mobility and (e) Food and natural resources - are of direct relevance to ENVI’s areas of competence and cover the largest part of the funding of Pillar 2.

As the most recent Eurobarometer survey presents, 70% of Europeans want the Union to do more in health sector. The rapporteur stresses that decreasing budgetary ratio on Health is not proportional with our current citizens’ expectations, especially on present times of populism and euroskepticism. Therefore, with regard to the budgetary distribution on Health, the rapporteur calls for the budget to be kept at least at the same rate as in H2020 - respectively 9,7% of the total budget, not 8,18% as proposed without redeployments. Furthermore, the rapporteur considers that the budgetary distribution between the two components of Pillar II should respect the same proportionality as in H2020, particularly 70% should focus on addressing Societal Challenges and delivering impact for society as a whole, while 30% should focus on Industrial Competitiveness.

Cancer is one of the main challenges many European citizens face. Almost one in three Europeans will develop cancer in their lifetime. Every year, 1.3 million people in Europe die from cancer, accounting for 26% of all deaths. Despite progress in medical science, the prevalence of cancer continues to increase and there remains significant differences between and within EU Member States as far as quality of care is concerned.. Moreover, cancer remains the leading cause of death by disease in children, with 6000 young people dying each year from cancer in Europe. Innovative solutions in the field of paediatric oncology are crucial for Europe’s next generations as, every year, 35 000 new cases of cancer on young people are registered in the EU. As research and innovation are currently fragmented in this area and national actions alone cannot achieve sufficient results by themselves, the rapporteur proposes a first mission in an area with high mortality and long-term morbidity, related to children, namely ‘Eradicating paediatric cancer by 2030’.

AMENDMENTS

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The Committee on the Environment, Public Health and Food Safety calls on the Committee on Industry, Research and Energy, as the committee responsible, to take into account the following amendments:

Amendment 1

Proposal for a regulation Recital 1

Text proposed by the Commission Amendment

(1) It is the Union's objective to (1) It is the Union's objective to strengthen its scientific and technological promote the sustainable progress and the bases and encourage its competitiveness, resilience of its society by strengthening including in its industry, while promoting its scientific and technological bases, all research and innovation activities to encourage its competitiveness, including in deliver on the Union's strategic priorities, its industry, and at the same time which ultimately aim at promoting peace, achieving a free movement European the Union's values and the well-being of its research area in which researchers, peoples. scientific knowledge and technology circulate without barriers, while promoting all research and innovation activities to deliver on the Union's strategic priorities, which ultimately aim at promoting peace, sustainable development, 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

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innovative solutions in industry and society Goals and in the Paris Agreement, and in to address global challenges and promote developing, supporting and implementing industrial competitiveness; to foster all Union policies and international forms of innovation, including commitments, to support the uptake of breakthrough innovation, and strengthen innovative solutions in industry and society market deployment of innovative solutions; to foster economic growth, improve and optimise the delivery of such people’s well-being, create jobs address investment for increased impact within a global challenges, actively accompany our strengthened European Research Area. transition towards sustainable growth, and promote industrial competitiveness; to foster all forms of innovation, including breakthrough innovation, and strengthen market deployment of innovative solutions; and optimise the delivery of such investment for increased impact within a strengthened European Research Area.

Amendment 3

Proposal for a regulation Recital 6

Text proposed by the Commission Amendment

(6) The conception and design of the (6) The conception and design of the Programme should respond to the need for Programme should respond to the need for establishing a critical mass of supported establishing a critical mass of supported activities, throughout the EU Union and activities, throughout the EU Union and through international cooperation, in line through international cooperation, in line with the UN Sustainable Development with the 2030 Agenda for Sustainable Goals (SDGs). Programme implementation Development and the UN Sustainable should reinforce the pursuit of this aim. Development Goals (SDGs). Programme implementation should reinforce the pursuit of this aim.

Amendment 4

Proposal for a regulation Recital 7

Text proposed by the Commission Amendment

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priorities and for the development of objectives, commitments and priorities and revised or new priorities. for the development of revised or new priorities.

Amendment 5

Proposal for a regulation Recital 8

Text proposed by the Commission Amendment

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

Justification

The implementation of the current Horizon 2020 Programme does not show a territorially balanced approach in the EU. For example, in the field of agriculture and rural development less than 10 % of tenders have been granted to projects from the 13 new Member States. This tendency is causing a serious imbalance in the Union for the detriment of research facilities in the new Member States despite the development of many innovative projects such as the BIOEAST from this area. This has to be remedied as soon as possible. Therefore, the territorially balanced approach has to be applied at EU level.

Amendment 6

Proposal for a regulation Recital 8 a (new)

Text proposed by the Commission Amendment

(8a) In the Union, 550 000 people in working age die from four major chronic diseases (cardiovascular disease, cancers, respiratory diseases and diabetes) every

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year 1a. That carries a significant societal and economic cost. Indeed, the OECD has estimated that losing 550 000 productive lives costs the Union economy € 115 billion a year. That corresponds to 0,8% of GDP in the Union 1b. ______1a http://www.oecd.org/health/health-at-a- glance-europe-23056088.htm 1b http://www.oecd.org/health/health-at-a- glance-europe-23056088.htm

Amendment 7

Proposal for a regulation Recital 8 b (new)

Text proposed by the Commission Amendment

(8b) The Programme should support all stages of research and innovation, including basic research. The Union acknowledges that excellent research, and especially fundamental research, is an essential asset and an important condition to address the Union's objectives, commitments and priorities.

Amendment 8

Proposal for a regulation Recital 10

Text proposed by the Commission Amendment

(10) The pillar 'Global Challenges and (10) The pillar 'Global Challenges and Industrial Competitiveness' should be Industrial Competitiveness' should focus established through clusters of research and on addressing societal needs, and should innovation activities, in order to maximise be established through clusters of research integration across the respective work areas and innovation activities, in order to while securing high and sustainable levels maximise integration across the respective of impact in relation to the resources that work areas while securing high and are expended. It will encourage cross- sustainable levels of impact in relation to disciplinary, cross-sectoral, cross-policy the resources that are expended. It will and cross-border collaboration in pursuit of encourage cross-disciplinary, cross-

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the UN SDGs and the competitiveness of sectoral, cross-policy and cross-border the Union's industries therein. collaboration in pursuit of the UN SDGs and the competitiveness of the Union's industries therein. To ensure a multistakeholder approach and the consideration of societal needs, relevant stakeholders together with civil society should be actively involved in the research agenda setting through the strategic planning process and the development of work programmes.

Amendment 9

Proposal for a regulation Recital 10 a (new)

Text proposed by the Commission Amendment

(10a) Funding for research under the 'Global Challenges and Industrial Competitiveness’ pillar should reflect the scale, salience and trend in the challenge which is being addressed. As an example, given the transboundary nature of diseases and the current demographic trends, funding for health is increased compared to the previous programme, both in relative and absolute terms.

Amendment 10

Proposal for a regulation Recital 11

Text proposed by the Commission Amendment

(11) Full engagement of industry in the (11) The Programme should ensure the Programme, at all levels from the full engagement of industry in the individual entrepreneur and small and Programme, at all levels from the medium-sized enterprises to large scale individual entrepreneur and small and enterprises, should constitute one of the medium-sized enterprises to large scale main channels through which the enterprises, specifically towards the Programme's objectives are to be realised, creation of sustainable jobs and specifically towards the creation of sustainable development. Together with sustainable jobs and growth. Industry other stakeholders such as the scientific should contribute to the perspectives and community, research organisations and

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priorities established through the strategic civil society organisations, industry should planning process which should support the contribute to the perspectives and priorities development of work programmes. Such established through the strategic planning engagement by industry should see its process which should support the participation in the actions supported at development of work programmes. levels at least commensurate with those under the previous framework programme Horizon 2020 established by Regulation (EU) No 1291/2013 of the European Parliament and the Council13 ('Horizon 2020'). ______13

Amendment 11

Proposal for a regulation Recital 12

Text proposed by the Commission Amendment

(12) It is important to support industry (12) It is essential to support industry to to stay or become world leader in stay or become world leader in innovation, innovation, digitisation and digitisation, resource efficiency, circular decarbonisation, notably through economy and decarbonisation, notably investments in key enabling technologies through investments in key enabling that will underpin tomorrow's business. technologies that will underpin tomorrow's The Programme's actions should be used to business and support the transition address market failures or sub-optimal towards the net zero emissions goal investment situations, in a proportionate adopted in the Paris Agreement in a cost- manner, without duplicating or crowding efficient way. The Programme's actions out private financing and have a clear should be used to address global European added value. This will ensure challenges as embodied in the Paris consistency between the actions of the Agreement and the UN SDGs, market programme and EU State aid rules, failures or sub-optimal investment avoiding undue distortions of competition situations, in a proportionate manner, in the internal market. without duplicating or crowding out private financing and have a clear European added value. This will ensure consistency between the actions of the programme and EU State aid rules, avoiding undue distortions of competition in the internal market.

Amendment 12

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Proposal for a regulation Recital 14

Text proposed by the Commission Amendment

(14) The Commission's Communication (14) The Commission's Communication on the interim evaluation of Horizon 2020 on the interim evaluation of Horizon 2020 (COM(2018) 2 final) has provided a set of (COM(2018) 2 final) has provided a set of recommendations for this Programme, recommendations for this Programme, including its Rules for participation and including its Rules for participation and dissemination, building on the lessons dissemination, building on the lessons learnt from the previous Programme as learnt from the previous Programme as well as input from EU institutions and well as input from EU institutions and stakeholders. Those recommendations stakeholders. Those recommendations include to invest more ambitiously in order include substantially more ambitious to reach critical mass and maximise investment in order to reach critical mass impact; to support breakthrough and maximise impact; to support innovation; to prioritise Union research and breakthrough innovation; to prioritise innovation (R&I) investments in areas of Union research and innovation (R&I) high added value, notably through mission- investments in areas of high added value, orientation, citizen involvement and wide notably through mission-orientation, communication; to rationalise the Union citizen involvement and wide funding landscape, including by communication; to rationalise the Union streamlining the range of partnership funding landscape, including by initiatives and co-funding schemes; the streamlining the range of partnership development of more and concrete initiatives and co-funding schemes; the synergies between different Union funding development of more and concrete instruments, notably with the aim of synergies between different Union funding helping to mobilise under-exploited R&I instruments, notably with the aim of potential across the Union; to strengthen helping to mobilise under-exploited R&I international cooperation and reinforce potential across the Union; to ensure openness to third countries' participation; closer interaction between Union funding and to continue simplification based on instruments with a view to achieving implementation experiences from Horizon objectives such as mobilising under- 2020. utilised R&I in the Union, to strengthen international cooperation and reinforce openness to third countries' participation; and to continue simplification based on implementation experiences from Horizon 2020.

Amendment 13

Proposal for a regulation Recital 15

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Text proposed by the Commission Amendment

(15) The Programme should seek (15) In order to break silo approaches synergies with other Union programmes, within and between Union policies, the from their design and strategic planning, to Programme should seek synergies with project selection, management, other Union programmes, from their design communication, dissemination and and strategic planning, to project selection, exploitation of results, to monitoring, management, communication, auditing and governance. With a view to dissemination and exploitation of results, avoiding overlaps and duplication and to monitoring, auditing and governance. increasing the leverage of Union funding, Missions should be established to bring transfers from other Union programmes to all relevant actors around a common Horizon Europe activities can take place. purpose. Missions should have a clear In such cases they will follow Horizon EU-added value and contribute to Europe rules. reaching Union priorities; they should be bold and inspirational and have clear and significant societal relevance. The eradication of paediatric cancer by 2040 would be a first ambitious yet realistic mission for the Union. With a view to avoiding overlaps and duplication, it is necessary to verify interaction with other programmes. In order to increase the leverage of Union funding, transfers from other Union programmes to Horizon Europe activities can take place. In such cases they will follow Horizon Europe rules.

Amendment 14

Proposal for a regulation Recital 16

Text proposed by the Commission Amendment

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support and/or carry out research and non-governmental organisations innovation, provided that desired impacts and foundations that support and/or carry can be achieved more effectively in out research and innovation, provided that partnership than by the Union alone. desired impacts can be achieved more effectively in partnership than by the Union alone.

Amendment 15

Proposal for a regulation Recital 17

Text proposed by the Commission Amendment

(17) The Programme should strengthen (17) The Programme should strengthen cooperation between European cooperation between European Partnerships and private and/or public Partnerships and private and/or public sector partners at the international level sector partners at the international level including by joining up research and including by joining up research and innovation programmes and cross-border innovation programmes and cross-border investment in research and innovation investment in research and innovation bringing mutual benefits to people and bringing mutual benefits to people, the businesses while ensuring that the EU can planet and businesses while ensuring that uphold its interests in strategic areas.14 the EU can uphold its interests in strategic areas.14 ______14 See e.g. the Commission's proposal for a 14 See e.g. the Commission's proposal for a regulation establishing a framework for regulation establishing a framework for screening Foreign Direct Investment into screening Foreign Direct Investment into the EU (COM (2017)487). the EU (COM (2017)487).

Amendment 16

Proposal for a regulation Recital 25

Text proposed by the Commission Amendment

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excellence, attractiveness and economic research and innovation excellence, and industrial competitiveness, to tackle attractiveness and economic and industrial global challenges, as embodied in the UN competitiveness, to tackle global SDGs, and to support the Union's external challenges, as embodied in the Paris policies. An approach of general opening Agreement and the UN SDGs, and to for international participation and targeted support the Union's external policies. An international cooperation actions should be approach of general opening for followed, including through appropriate international participation and targeted eligibility for funding of entities international cooperation actions should be established in low to middle income followed, including through appropriate countries. At the same time, association of eligibility for funding of entities third countries to the Programme should be established in low to middle income promoted. countries. At the same time, association of third countries to the Programme should be promoted.

Amendment 17

Proposal for a regulation Recital 26

Text proposed by the Commission Amendment

(26) With the aim of deepening the (26) With the aim of deepening the relationship between science and society relationship between science and society and maximising benefits of their and maximising benefits of their interactions, the Programme should engage interactions, the Programme should and involve citizens and civil society actively and systematically engage and organisations in co-designing and co- involve citizens and civil society creating responsible research and organisations in co-designing and co- innovation agendas and contents, creating responsible research and promoting science education, making innovation agendas and contents, scientific knowledge publicly accessible, promoting science education, making and facilitating participation by citizens scientific knowledge publicly accessible, and civil society organisations in its and facilitating participation by citizens activities. It should do so across the and civil society organisations in its Programme and through dedicated activities. It should do so across the activities in the part 'Strengthening the Programme and through dedicated European Research Area'. The engagement activities in the part 'Strengthening the of citizens and civil society in research and European Research Area'. The engagement innovation should be coupled with public of citizens and civil society in research and outreach activities to generate and sustain innovation should be coupled with public public support for the Programme. The outreach activities to generate and sustain programme should also seek to remove public support for the Programme. The barriers and boost synergies between programme should also seek to remove science, technology, culture and the arts to barriers and boost synergies between obtain a new quality of sustainable science, technology, culture and the arts to obtain a new quality of sustainable

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innovation. innovation.

Amendment 18

Proposal for a regulation Recital 27

Text proposed by the Commission Amendment

(27) Pursuant to Article 349 of the (27) Pursuant to Article 349 of the TFEU, the Union's outermost regions are TFEU, the Union's outermost regions are entitled to specific measures (taking into entitled to specific measures (taking into account their structural, social and account their structural, social and economic situation) regarding access to economic situation) regarding access to horizontal Union programmes. The horizontal Union programmes. The Programme should therefore take into Programme should therefore take into account the specific characteristics of those account the specific characteristics of those regions in line with the Commission's regions in line with the Commission's Communication on 'A stronger and Communication on 'A stronger and renewed strategic partnership with the EU's renewed strategic partnership with the EU's outermost regions' (COM (2017) 623 final) outermost regions' (COM (2017) 623 final) as endorsed by the Council on 12 April as endorsed by the Council on 12 April 2018. 2018. Less developed regions should be also considered in some parts of Horizon Europe as for example in the Sharing Excellence Programme. The criteria for selecting those regions should be based on the criteria of European Structural and Investment Funds and the Innovation Scoreboard regional indicator.

Amendment 19

Proposal for a regulation Recital 28

Text proposed by the Commission Amendment

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followed through at all stages of the treatment of men and women in matters research cycle. of employment and occupation. The gender dimension should be adequately integrated in research and innovation content and followed through at all stages of the research cycle.

Amendment 20

Proposal for a regulation Recital 35

Text proposed by the Commission Amendment

(35) In order to be able to supplement or (35) In order to be able to supplement or amend the impact pathway indicators, amend the impact pathway indicators and where considered necessary, the power to to take into account the specific operating adopt acts in accordance with Article 290 needs of certain European Partnerships, of the Treaty on the Functioning of the where considered necessary, the power to European Union should be delegated to the adopt acts in accordance with Article 290 Commission. It is of particular importance of the Treaty on the Functioning of the that the Commission carry out appropriate European Union should be delegated to the consultations during its preparatory work, Commission. It is of particular importance including at expert level, and that those that the Commission carry out appropriate consultations be conducted in accordance consultations during its preparatory work, with the principles laid down in the including at expert level, and that those Interinstitutional Agreement on Better consultations be conducted in accordance Law-Making of 13 April 2016. In with the principles laid down in the particular, to ensure equal participation in Interinstitutional Agreement on Better the preparation of delegated acts, the Law-Making of 13 April 2016. In European Parliament and the Council particular, to ensure equal participation in receive all documents at the same time as the preparation of delegated acts, the Member States' experts, and their experts European Parliament and the Council systematically have access to meetings of receive all documents promptly at the same Commission expert groups dealing with the time as Member States' experts, and their preparation of delegated acts. experts be systematically invited to meetings of Commission expert groups dealing with the preparation of delegated acts.

Amendment 21

Proposal for a regulation Recital 41

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Text proposed by the Commission Amendment

Amendment 22

Proposal for a regulation Recital 41 a (new)

Text proposed by the Commission Amendment

(41a) Following the European Court of Auditors' recommendations, climate mainstreaming and climate proofing mechanisms should differentiate between mitigation and adaptation, and be materialised ex ante through all programming and planning processes rather than simply reported ex post.

Amendment 23

Proposal for a regulation Recital 51

Text proposed by the Commission Amendment

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coherence of the portfolio of projects multidisciplinary approach and to should be taken into account. reflect a wide range of knowledge and views. Where relevant, the necessity to ensure the overall coherence of the portfolio of projects should be taken into account.

Amendment 24

Proposal for a regulation Article 2 – paragraph 1 – point 1

Text proposed by the Commission Amendment

(1) 'research infrastructures' mean (1) 'research infrastructures' mean facilities that provide resources and facilities that provide resources and services for the research communities to services for the research communities to conduct research and foster innovation in conduct research and foster innovation in their fields. This definition includes the their fields. This definition includes the associated human resources, and it covers associated human resources, and it covers major equipment or sets of instruments; major equipment or sets of instruments; knowledge-related facilities such as knowledge-related facilities such as collections, archives or scientific data museums, collections, archives or infrastructures; computing systems, scientific data infrastructures; computing communication networks, and any other systems, communication networks, and any infrastructure, of a unique nature and open other infrastructure, of a unique nature and to external users, essential to achieve open to external users, essential to achieve excellence in research and innovation. excellence in research and innovation. Where relevant, they may be used beyond Where relevant, they may be used beyond research, for example for education or research, for example for education or public services and they may be 'single public services and they may be 'single sited', 'virtual' or 'distributed'; sited', 'virtual' or 'distributed';

Amendment 25

Proposal for a regulation Article 2 – paragraph 1 – point 4

Text proposed by the Commission Amendment

(4) 'open access' means the practice of (4) 'open access' means the practice of providing online access to research outputs providing online access to scientific resulting from actions funded under the publications and research data resulting Programme, in particular scientific from actions funded under the Programme, publications and research data, free of free of charge to the end-user; charge to the end-user;

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Amendment 26

Proposal for a regulation Article 2 – paragraph 1 – point 5

Text proposed by the Commission Amendment

(5) 'mission' means a portfolio of (5) 'mission' means a portfolio of actions intended to achieve a measurable actions intended to achieve a measurable goal within a set timeframe, and impact for goal, in line with the Paris Agreement's science and technology and/or society and emissions goals and the UN SDGs, within citizens that could not be achieved through a set timeframe, and impact for science and individual actions; technology and/or society and citizens that could not be achieved through individual actions;

Amendment 27

Proposal for a regulation Article 2 – paragraph 1 – point 18

Text proposed by the Commission Amendment

(18) “results” means any tangible or (18) “results” means any tangible or intangible effect of the action, such as data, intangible deliverable of the action, such as know-how or information, whatever its data, know-how or information, whatever form or nature, whether or not it can be its form or nature, whether or not it can be protected, as well as any rights attached to protected, as well as any rights attached to it, including intellectual property rights; it, including intellectual property rights;

Amendment 28

Proposal for a regulation Article 2 a (new)

Text proposed by the Commission Amendment

Article 2a Confidentiality Subject to the conditions established in the implementing agreements, decisions or contracts, any data, knowledge and information communicated as confidential in the framework of an

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action shall be kept confidential, taking due account of Union law regarding the protection of and access to classified information.

Justification

An additional article on confidentiality, with a wording similar to the Horizon 2020 article, is needed in order to protect the information and knowledge of the participants. The absence of such an article would create legal uncertainty and refrain participants to include relevant information and data in their submitted proposal.

Amendment 29

Proposal for a regulation Article 3 – paragraph 1

Text proposed by the Commission Amendment

1. The Programme’s general objective 1. The Programme’s general objective is to deliver scientific, economic and is to deliver scientific, economic and societal impact from the Union’s societal impact from the Union’s investments in research and innovation so investments in research and innovation so as to strengthen the scientific and as to strengthen the scientific and technological bases of the Union and foster technological bases of the Union and foster its competitiveness, including in its its competitiveness in all Member States, industry, deliver on the Union strategic including in its industry, deliver on the priorities, and contribute to tackling global Union strategic priorities, and contribute to challenges, including the Sustainable tackling global challenges, as embedded in Development Goals. the Paris Agreement and the Sustainable Development Goals.

Amendment 30

Proposal for a regulation Article 3 – paragraph 2 – point a

Text proposed by the Commission Amendment

(a) to support the creation and (a) to promote scientific excellence, diffusion of high-quality new knowledge, support the creation and diffusion of high- skills, technologies and solutions to global quality new knowledge, skills, challenges; technologies and solutions to global challenges, as embedded in the Paris Agreement and the UN SDGs;

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Amendment 31

Proposal for a regulation Article 3 – paragraph 2 – point a a (new)

Text proposed by the Commission Amendment

(a a) to achieve a territorially balanced approach all over the Union;

Amendment 32

Proposal for a regulation Article 3 – paragraph 2 – point b

Text proposed by the Commission Amendment

(b) to strengthen the impact of research (b) to strengthen the role of research and innovation in developing, supporting and innovation in achieving growth, and implementing Union policies, and sustainable development and in support the uptake of innovative solutions developing, supporting and implementing in industry and society to address global Union policies, objectives and challenges; commitments, and support equitable access to and the uptake of innovative solutions in industry and society to address global challenges and improve people's well-being;

Amendment 33

Proposal for a regulation Article 3 – paragraph 2 – point c

Text proposed by the Commission Amendment

(c) to foster all forms of innovation, (c) to foster all forms of technological, including breakthrough innovation, and social, cultural or educational innovation, strengthen market deployment of including breakthrough innovation, and innovative solutions; strengthen the large deployment of innovative knowledge and solutions in society and economy;

Amendment 34

Proposal for a regulation Article 3 – paragraph 2 – point c a (new)

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Text proposed by the Commission Amendment

(c a) to foster transdisciplinary and participatory approaches, involving citizens, end-users, civil society organisations, the private and public sector;

Amendment 35

Proposal for a regulation Article 4 – paragraph 1 – point 2 – point e

Text proposed by the Commission Amendment

(e) cluster 'Food and Natural (e) cluster 'Sustainable Food, Resources'; Environment and Natural Resources';

Amendment 36

Proposal for a regulation Article 4 a (new)

Text proposed by the Commission Amendment

Article 4a Steering Board for Health 1. The Commission shall establish a Steering Board for Health to implement the actions under Pillar II 'Global Challenges and Industrial Competitiveness' which relates to the cluster 'Health'. 2. The Steering Board for Health shall focus on the following: creating synergy between health research programs through coordination and cooperation, promoting patients and society engagement, co-design and co- implementation of health missions by stakeholders, providing scientific advice and recommendations. The actions should provide value oriented health research, better health solutions, foster innovation

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and reduce health inequalities. 3. The Steering Board for Health shall: (a) provide citizens’ participation and engagement in a bottom-up decision making process; (b) foster sustainability in funding strategies and mechanisms allowing for long-term projects and ambitious missions; (c) ensure fruitful transnational research collaborations that maximise the Union potential and translate results into health systems; (d) increase the use of multidisciplinary research between disease areas where commonalities exist and thereby decrease duplication and isolated research; (e) increase visibility of Horizon Europe and its benefit for Union citizens, address fragmentation of responsibilities for science and research within the Union governing bodies, streamline the existing funding mechanisms. 4. The Steering Board for Health shall provide a comprehensive research strategy and steering in developing the work programmes and missions related to Health. This includes broad lines from other clusters in other clusters and synergies with other Programmes. 5. The Steering Board for Health shall be an independent science-led stakeholder group, composed of actors from biomedical research and innovation, other relevant sectors of research and industry and with strong participation of patient representatives and citizens. 6. The Steering Board for Health shall be composed of 15 to 20 high level individuals drawn from across disciplines and activities, in the fields of research, development, innovation, public health and wellbeing. The members of the

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Steering Board for Health shall be appointed by the Commission. 7. The Steering Board for Health shall have a chair who shall be appointed by the Commission. 8. The Steering Board for Health shall establish: (a) the strategy for the cluster 'Health'; (b) the blueprint for steering coordination and cooperation between the health strand in the ESF+, related pillars, such as EIC, ERC, as well as within Strategic Partnerships and the Union structural funds; that blueprint shall ensure more visibility and coordination of the existing financial mechanisms allocated to health research, development and innovation shall, steer coordination and cooperation, and shall develop the work programmes and missions related to Health; (c) the methods and procedures for designing, selecting and implementation of the health missions.

Justification

A steering Board for Health mechanism with direct stakeholder participation will provide strong support for impactful research, for developing successful missions and creating synergies between programs in a transparent and efficient way. The value of a stakeholders’ steering board was already proven in previous programmes and aligns with global strategies in funding.

Amendment 37

Proposal for a regulation Article 6 – paragraph 6 a (new)

Text proposed by the Commission Amendment

6a. The Strategic Planning referred to in paragraph 6 shall be consistent with the Paris Agreement and the Union's climate related long-term objective and remaining carbon budget. It shall be

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integrated into the development and implementation of the integrated national energy and climate plans and be fully part of the national long-term strategies under Regulation [on the Governance of the Energy Union].

Amendment 38

Proposal for a regulation Article 6 – paragraph 9 a (new)

Text proposed by the Commission Amendment

9a. The Programme shall ensure multidisciplinarity and guarantee the integration of humanities and social sciences disciplines across all its activities.

Amendment 39

Proposal for a regulation Article 7 – paragraph 3 – point a

Text proposed by the Commission Amendment

(a) have a clear EU-added value and (a) have a clear EU-added value and contribute to reaching Union priorities; contribute to reaching Union priorities and commitments, including in achieving the Paris Agreement's goals and the UN SDG;

Amendment 40

Proposal for a regulation Article 7 – paragraph 3 – point b a (new)

Text proposed by the Commission Amendment

(ba) be selected on the basis of an open and transparent process inclusive of civil society representatives;

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Amendment 41

Proposal for a regulation Article 7 – paragraph 3 – point f a (new)

Text proposed by the Commission Amendment

(fa) promote, where possible, local territorial innovation ecosystems to ensure maximum impact on the territory of the Union.

Amendment 42

Proposal for a regulation Article 7 – paragraph 3 a (new)

Text proposed by the Commission Amendment

3a. The Commission is empowered to adopt delegated acts in accordance with Article 50 supplementing this Regulation to determine the nature, scope and funding for each mission. The missions, their number, their individual budgets and their principal objectives shall be defined in consultation with the European Parliament and the Council.

Amendment 43

Proposal for a regulation Article 7 – paragraph 3 b (new)

Text proposed by the Commission Amendment

3 b. Missions shall be limited in number and well-funded. For the programming period 2021-2027 the Union shall not initiate more than 7 missions.

Amendment 44

Proposal for a regulation Article 8 – paragraph 1 – point c

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Text proposed by the Commission Amendment

(c) participation in and financial (c) participation in and financial contribution to research and innovation contribution to research and innovation programmes undertaken by several programmes undertaken by several Member States in accordance with Article Member States in accordance with Article 185 TFEU, or by bodies established 185 TFEU, or by bodies established pursuant to Article 187 TFEU, such as pursuant to Article 187 TFEU, such as Joint Undertakings, or by the EIT Joint Undertakings, or by the EIT Knowledge and Innovation Communities Knowledge and Innovation Communities in compliance with the [EIT Regulation] in compliance with the [EIT Regulation] (Institutionalised European Partnerships), (Institutionalised European Partnerships), to be implemented only where other forms to be implemented only where other forms of European Partnerships would not of European Partnerships would not achieve the objectives or would not achieve the objectives or would not generate the necessary expected impacts, generate the necessary expected impacts, and if justified by a long-term perspective and if justified by a long-term perspective and high degree of integration including and high degree of integration. central management of all financial contributions.

Justification

Central management of all resources can, in some cases add to red tape. In some funding instruments like Joint Undertakings, direct financial contributions could be provided to some beneficiaries to complete emerging tasks in a flexible way.

Amendment 45

Proposal for a regulation Article 8 – paragraph 2 – subparagraph 1 – point b

Text proposed by the Commission Amendment

(b) Adhere to the principles of Union (b) Adhere to the principles of Union added value, transparency, openness, added value, transparency, openness, impact, leverage effect, long-term financial impact, leverage effect, long-term financial commitment of all the involved parties, and/or in-kind commitment of all the flexibility, coherence and complementarity involved parties, flexibility, coherence and with Union, local, regional national and complementarity with Union, local, international initiatives; regional national and international initiatives;

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Amendment 46

Proposal for a regulation Article 8 – paragraph 2 a (new)

Text proposed by the Commission Amendment

2a. The Commission is empowered to adopt delegated acts in accordance with Article 50 supplementing this Regulation concerning derogations from the rules set out in Annex III, where they concern actions supported through European Partnerships.

Amendment 47

Compromise amendment replacing Amendments: -----

Proposal for a regulation Article 9 – paragraph 1

Text proposed by the Commission Amendment

1. The financial envelope for the 1. The financial envelope for the implementation of the Framework implementation of the Framework Programme for the period 2021 – 2027 Programme for the period 2021 – 2027 shall be EUR 94 100 000 000 in current shall be EUR 120 000 000 000 in constant prices for the specific programme referred prices [EUR 135 248 000 000 in current to in Article 1(3)(a) and, in addition, the prices] for the specific programme referred amount for the specific programme to in Article 1(3)(a) and, in addition, the referred to in Article 1(3)(b), as laid down amount for the specific programme in Regulation…. establishing the European referred to in Article 1(3)(b), as laid down Defence Fund. in Regulation…. establishing the European Defence Fund.

Amendment 48

Proposal for a regulation Article 9 – paragraph 2 – point a – introductory part

Text proposed by the Commission Amendment

(a) EUR 25 800 000 000 for Pillar I (a) 25, 901 % of the amount referred 'Open Science' for the period 2021-2027, to in the first sentence of paragraph 1, for of which Pillar I 'Open Science' for the period 2021- 2027, of which

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Amendment 49

Proposal for a regulation Article 9 – paragraph 2 – point a – point 1

Text proposed by the Commission Amendment

(1) EUR 16 600 000 000 for the (1) 16,124 % of the amount referred to European Research Council; in the first sentence of paragraph 1, for the European Research Council;

Amendment 50

Proposal for a regulation Article 9 – paragraph 2 – point a – point 2

Text proposed by the Commission Amendment

(2) EUR 6 800 000 000 for Marie (2) 7,226 % of the amount referred to Skłodowska-Curie Actions; in the first sentence of paragraph 1, for Marie Skłodowska-Curie Actions;

Amendment 51

Proposal for a regulation Article 9 – paragraph 2 – point a – point 3

Text proposed by the Commission Amendment

(3) EUR 2 400 000 000 for research (3) 2,551 % of the amount referred to infrastructures; in the first sentence of paragraph 1, for research infrastructures;

Amendment 52

Proposal for a regulation Article 9 – paragraph 2 – point b – introductory part

Text proposed by the Commission Amendment

(b) EUR 52 700 000 000 for Pillar II (b) 57,521 % of the amount referred to 'Global Challenges and Industrial in the first sentence of paragraph 1, for Competitiveness' for the period 2021-2027, Pillar II' Global Challenges and Industrial of which Competitiveness' for the period 2021-2027,

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of which at least 60% shall be dedicated to addressing global challenges as embedded in the Paris Agreement and the UN SDGs, of which

Amendment 53

Proposal for a regulation Article 9 – paragraph 2 – point b – point 1

Text proposed by the Commission Amendment

(1) EUR 7 700 000 000 for cluster (1) 9,7 % of the amount referred to in 'Health'; the first sentence of paragraph 1, for cluster 'Health';

Amendment 54

Proposal for a regulation Article 9 – paragraph 2 – point b – point 2

Text proposed by the Commission Amendment

(2) EUR 2 800 000 000 for cluster (2) 2,976 % of the amount referred to 'Inclusive and Secure Society'; in the first sentence of paragraph 1, for cluster' Inclusive and Secure Society';

Amendment 55

Proposal for a regulation Article 9 – paragraph 2 – point b – point 3

Text proposed by the Commission Amendment

(3) EUR 15 000 000 000 for cluster (3) 15,940 % of the amount referred to 'Digital and Industry'; in the first sentence of paragraph 1, for cluster 'Digital and Industry';

Amendment 56

Proposal for a regulation Article 9 – paragraph 2 – point b – point 4

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Text proposed by the Commission Amendment

(4) EUR 15 000 000 000 for cluster (4) 15,940 % of the amount referred to 'Climate, Energy and Mobility'; in the first sentence of paragraph 1, for cluster' Climate, Energy and Mobility';

Amendment 57

Proposal for a regulation Article 9 – paragraph 2 – point b – point 5

Text proposed by the Commission Amendment

(5) EUR 10 000 000 000 for cluster (5) 10,627 % of the amount referred to 'Food and Natural Resources'; in the first sentence of paragraph 1, for cluster 'Sustainable Food, Environment and Natural Resources';

Amendment 58

Proposal for a regulation Article 9 – paragraph 2 – point b – point 6

Text proposed by the Commission Amendment

(6) EUR 2 200 000 000 for the non- (6) 2,338 % of the amount referred to nuclear direct actions of the Joint Research in the first sentence of paragraph 1, for Centre (JRC); the non-nuclear direct actions of the Joint Research Centre (JRC);

Amendment 59

Proposal for a regulation Article 9 – paragraph 2 – point c – introductory part

Text proposed by the Commission Amendment

(c) EUR 13 500 000 000 for Pillar III (c) 14,346 % of the amount referred to 'Open Innovation' for the period 2021- in the first sentence of paragraph 1, for 2027, of which Pillar III 'Open Innovation' for the period 2021-2027, of which

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Amendment 60

Proposal for a regulation Article 9 – paragraph 2 – point c – point 1

Text proposed by the Commission Amendment

(1) EUR 10 500 000 000 for the (1) 11,158 % of the amount referred to European Innovation Council, including up in the first sentence of paragraph 1, for to EUR 500 000 000 for European the European Innovation Council, Innovation Ecosystems; including up to 0,531 % of the amount referred to in the first sentence of paragraph 1, for European Innovation Ecosystems;

Amendment 61

Proposal for a regulation Article 9 – paragraph 2 – point c – point 2

Text proposed by the Commission Amendment

(2) EUR 3 000 000 000 for the (2) 3,188 % of the amount referred to European Institute of Innovation and in the first sentence of paragraph1, for the Technology (EIT); European Institute of Innovation and Technology (EIT);

Amendment 62

Proposal for a regulation Article 9 – paragraph 2 – point d – introductory part

Text proposed by the Commission Amendment

(d) EUR 2 100 000 000 for Part (d) 2,232 % of the amount referred to 'Strengthening the European Research in the first sentence of paragraph 1 for Area' for the period 2021-2027, of which Part 'Strengthening the European Research Area' for the period 2021-2027, of which

Amendment 63

Proposal for a regulation Article 9 – paragraph 2 – point d – point 1

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Text proposed by the Commission Amendment

(1) EUR 1 700 000 000 for 'sharing (1) 1,807 % of the amount referred to excellence'; in the first sentence of paragraph 1, for 'sharing excellence';

Amendment 64

Proposal for a regulation Article 9 – paragraph 2 – point d – point 2

Text proposed by the Commission Amendment

(2) EUR 400 000 000 for 'reforming (2) 0,425 % of the amount referred to and enhancing the European R&I System'. in the first sentence of paragraph 1, for 'reforming and enhancing the European R&I System'.

Amendment 65

Proposal for a regulation Article 12 – paragraph 4

Text proposed by the Commission Amendment

4. The conditions determining the 4. Every two years, the conditions level of financial contribution shall ensure determining the level of financial an automatic correction of any significant contribution shall ensure an automatic imbalance compared to the amount that correction of any significant imbalance entities established in the associated compared to the amount that entities country receive through participation in the established in the associated country Programme, taking into account the costs receive through participation in the in the management, execution and Programme, taking into account the costs operation of the Programme. in the management, execution and operation of the Programme.

Justification

The purpose of this amendment is to ensure that the automatic correction mechanism addresses problems within a reasonable time and not at the end of the programme.

Amendment 66

Proposal for a regulation Article 15 – paragraph 3

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Text proposed by the Commission Amendment

3. Proposals shall be systematically 3. Proposals shall be systematically screened to identify those actions raising screened to identify those actions raising complex or serious ethics issues and complex or serious ethics issues and submit them to an ethics assessment. The submit them to an ethics assessment. The ethics assessment shall be carried out by ethics assessment shall be carried out by the Commission unless it is delegated to the Commission unless it is delegated to the funding body. For actions involving the the funding body. For actions involving the use of human embryonic stem cells or use of human embryonic stem cells or human embryos, an ethics assessment shall human embryos, an ethics assessment shall be mandatory. Ethics screenings and be mandatory. Ethics screenings and assessments shall be carried out with the assessments shall be carried out with the support of ethics experts. The Commission support of ethics experts. The Commission and the funding bodies shall ensure the and the funding bodies shall ensure the transparency of the ethics procedures as transparency of the ethics procedures. much as possible.

Amendment 67

Proposal for a regulation Article 25 – paragraph 1 – point b

Text proposed by the Commission Amendment

(b) impact; (b) societal, scientific and/or economic impact;

Amendment 68

Proposal for a regulation Article 25 – paragraph 1 – point c a (new)

Text proposed by the Commission Amendment

(ca) contribution to the Union policies, objectives and commitments, including the ones embedded in the Paris Agreement and the UN SDGs.

Amendment 69

Proposal for a regulation Article 26 – paragraph 1 – subparagraph 2

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Text proposed by the Commission Amendment

The evaluation committee may be assisted The composition of the evaluation by independent experts. committee shall take into account the need to ensure a multidisciplinary approach, including experts from social sciences and humanities, ensure gender equality and reflect a wide range of knowledge and views. The evaluation committee may be assisted by independent experts, selected in accordance with Article 44.

Amendment 70

Proposal for a regulation Article 34 – paragraph 1 – subparagraph 3

Text proposed by the Commission Amendment

The joint owners shall agree in writing on The joint owners shall agree in writing on the allocation and terms of exercise of their the allocation and terms of exercise of their joint ownership. Unless otherwise agreed, joint ownership. Unless otherwise agreed, each joint owner may grant non-exclusive each joint owner may grant non-exclusive licences to third parties to exploit the licences to third parties to exploit the jointly-owned results (without any right to jointly-owned results (without any right to sub-license), if the other joint owners are sub-license), if the other joint owners are given advance notice and fair and given advance notice and fair and reasonable compensation. The joint owners reasonable compensation. The joint owners may agree in writing to apply another may agree in writing to apply another regime than joint ownership. regime than joint ownership at any time including prior to the generation of the results.

Amendment 71

Proposal for a regulation Article 35 – paragraph 1 – subparagraph 1

Text proposed by the Commission Amendment

Beneficiaries having received Union Beneficiaries having received Union funding shall use their best efforts to funding shall use their best efforts to exploit their results, in particular in the exploit their results, preferably in the Union. Exploitation may be done directly Union. Exploitation may be done directly by the beneficiaries or indirectly in by the beneficiaries or indirectly in particular through the transfer and particular through the transfer and

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licensing of results in accordance with licensing of results in accordance with Article 36. Article 36.

Amendment 72

Proposal for a regulation Article 35 – paragraph 6 – subparagraph 1

Text proposed by the Commission Amendment

Unless the work programme provides Unless the work programme provides otherwise, proposals shall include a plan otherwise, proposals shall include a plan for the exploitation and dissemination of for the exploitation and dissemination of the results. If the expected exploitation the results. If the expected exploitation entails developing, creating, manufacturing entails developing, creating, manufacturing and marketing a product or process, or in and marketing a product or process, or in creating and providing a service, the plan creating and providing a service, the plan shall include a strategy for such shall include a strategy for such exploitation. If the plan provides for exploitation. If the plan provides for exploitation primarily in non-associated exploitation primarily in non-associated third countries, the legal entities shall third countries, the legal entities shall explain how that exploitation is still in the justify how that exploitation is still in the Union interest. Union interest. If the beneficiary fails to provide such justification, a non-exclusive licence may be granted to other legal entities seeking to exploit the results in the Union or associated third countries. For the purposes of locating and selecting the candidates, the online platform referred to in Article 35(1) shall be used.

Justification

Exploitation of research findings within the EU must be encouraged, all the more so where public funding has been provided for this purpose and where the research encompasses sectors that are of strategic importance for the competitiveness, autonomy and security of the Union.

Amendment 73

Proposal for a regulation Article 37 – paragraph 3 – subparagraph 2

Text proposed by the Commission Amendment

Access shall be granted under fair and Access shall be granted to such legal entity reasonable conditions to be agreed upon. under the same fair and reasonable

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conditions for the relevant type of access rights as applying to the beneficiary referred to in point (b) of paragraph 2.

Justification

Access rights conditions should be the same for affiliated entities as for the beneficiary parent entity: differential access rights would create obstacles to an optimal dissemination and exploitation of results and therefore limit the impact of innovations developed within Horizon Europe projects.

Amendment 74

Proposal for a regulation Article 37 – paragraph 4

Text proposed by the Commission Amendment

4. A request for access for 4. The beneficiaries shall agree on exploitation purposes may be made up to an appropriate time limit for requesting one year after the end of the action, unless access for exploitation purposes after the the beneficiaries agree on a different end of the action. time-limit.

Justification

Time limits for requesting access rights may vary depending on the type of project and the outcomes of the project. The beneficiaries are the best placed to determine the appropriate time limits in connection with a specific project and intended results. Proposing a particular time limit even if a different time limit may be agreed is likely to set this time limit as a default and complicate negotiations if other beneficiaries cannot agree.

Amendment 75

Proposal for a regulation Article 44 – paragraph 1 a (new)

Text proposed by the Commission Amendment

1a. External experts shall be chosen on the basis of their skills, experience and knowledge appropriate to carry out the tasks assigned to them. When selecting external experts, the Commission or the relevant funding body shall take appropriate measures to ensure their independence, and seek a balanced

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composition within the expert groups and evaluation panels in terms of various skills, experience, knowledge, geographical diversity and gender. Where appropriate, private-public sector balance shall also be sought.

Amendment 76

Proposal for a regulation Article 50 – paragraph 2

Text proposed by the Commission Amendment

2. The power to adopt delegated acts 2. The power to adopt delegated acts referred to in Article 45(2) shall be referred to in Articles 7(3a), 8(2a) and conferred on the Commission until 31 45(2) shall be conferred on the December 2028. Commission until 31 December 2028.

Amendment 77

Proposal for a regulation Article 50 – paragraph 3

Text proposed by the Commission Amendment

3. The delegation of power referred to 3. The delegation of power referred to in Article 45(2) may be revoked at any in Articles 7(3a), 8(2a) and 45(2) may be time by the European Parliament or by the revoked at any time by the European Council. A decision to revoke shall put an Parliament or by the Council. A decision to end to the delegation of power specified in revoke shall put an end to the delegation of that decision. It shall take effect the day power specified in that decision. It shall following the publication of the decision in take effect the day following the the Official Journal of the European Union publication of the decision in the Official or at a later date specified therein. It shall Journal of the European Union or at a later not affect the validity of any delegated acts date specified therein. It shall not affect the already in force. validity of any delegated acts already in force.

Amendment 78

Proposal for a regulation Article 50 – paragraph 6

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Text proposed by the Commission Amendment

6. A delegated act adopted pursuant to 6. A delegated act adopted pursuant to Article 45(2) shall enter into force if no Articles 7(3a), 8(2a) and 45(2) shall enter objection has been expressed either by the into force if no objection has been European Parliament or by the Council expressed either by the European within a period of two months of Parliament or by the Council within a notification of that act to the European period of two months of notification of that Parliament and the Council or if, before the act to the European Parliament and the expiry of that period, the European Council or if, before the expiry of that Parliament and the Council have both period, the European Parliament and the informed the Commission that they will Council have both informed the not object. That period shall be extended Commission that they will not object. That by two months at the initiative of the period shall be extended by two months at European Parliament or of the Council. the initiative of the European Parliament or of the Council.

Amendment 79

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 (a) Cluster 'Health': Improving and protecting the health of citizens at all ages, protecting the health of citizens at all ages, by developing innovative solutions to by developing innovative, effective, safe prevent, diagnose, monitor, treat and cure and accessible solutions, including diseases; mitigating health risks, protecting through policy research, to prevent, populations and promoting good health; diagnose, monitor, treat and cure diseases, making public health systems more cost- including diseases associated with high effective, equitable and sustainable; and mortality and long-term morbidity; supporting and enabling patients' mitigating health risks, protecting participation and self-management. populations and promoting good health; making public health systems more cost- effective, person-centred, equitable and sustainable; and supporting and enabling patients' participation and self- management.

Amendment 80

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

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Text proposed by the Commission Amendment

Areas of intervention: Health throughout Areas of intervention: Health throughout the life course; Environmental and social the life course; Environmental, economic health determinants; Non-communicable and social health determinants; Non- and rare diseases; Infectious diseases; communicable and rare diseases; Infectious Tools, technologies and digital solutions diseases; Person-centred and equitable for health and care; Health care systems health care systems.

Justification

Health inequalities between and within EU Member States are a major challenge to the social cohesion, well-being and economic development of European societies. The European Union member states have committed themselves to implementing the UN-SDGs by 2030, of which SDG-3 on health includes “universal health coverage, including financial risk protection, access to quality essential health-care services and access to safe, effective, quality and affordable essential medicines and vaccines for all”. Person-centeredness (or patient- centeredness) is in theory recognised as a common operating principle of European health systems. To ensure alignment with these goals and synergies with existing efforts, Horizon Europe should explicitly contribute to healthcare systems that are person-centred and equitable.

Amendment 81

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

Text proposed by the Commission Amendment

Amendment 82

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

Text proposed by the Commission Amendment

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facilities in energy transition; Communities facilities in energy transition; Healthy and and cities; Industrial competitiveness in energy efficient buildings; Smart transport; Clean transport and mobility; Communities and cities; Industrial Smart mobility; Energy storage. competitiveness in transport; Clean transport and mobility; Smart mobility; Energy storage.

Amendment 83

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 (e) Cluster 'Sustainable Food, resources': Protecting, restoring, Environment and natural resources': sustainably managing and using natural Protecting, restoring, sustainably managing and biological resources from land and sea and using natural and biological resources to address food and nutrition security and from land and sea to address food and the transition to a low carbon, resource nutrition security and the transition to a efficient circular economy. decarbonised, resource efficient and circular economy.

Amendment 84

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

Text proposed by the Commission Amendment

Areas of intervention: Environmental Areas of intervention: Environmental observation; Biodiversity and natural observation; Biodiversity and nature capital; Agriculture, forestry and rural conservation and restoration; Sustainably areas; Sea and oceans; Food systems; Bio- managed agriculture, forestry and rural based innovation systems; Circular systems areas; Sea and oceans and Blue Economy; Agro-ecological food systems; Bio-based innovation systems; Circular systems

Amendment 85

Proposal for a regulation Annex I – point 4 – paragraph 1

Text proposed by the Commission Amendment

Through the following activities, this part Through the following activities, this part

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will, in line with Article 4, optimise the will, in line with Article 4, optimise the Programme's delivery for increased impact Programme's delivery for increased impact within a strengthened European Research within a strengthened European Research Area. It will also support the Programme's Area. It will also support the Programme's other specific objectives as described in other specific objectives as described in Article 3. While underpinning the entire Article 3. While underpinning the entire Programme, this part will support activities Programme, this part will support activities that contribute to a more knowledge-based that engage civil society and contribute to and innovative and gender-equal Europe, at a more knowledge-based and innovative the front edge of global competition, and gender-equal Europe, at the front edge thereby optimising national strengths and of global competition, thereby optimising potential across Europe in a well- national strengths and potential across performing European Research Area Europe in a well-performing European (ERA), where knowledge and a highly Research Area (ERA), where knowledge skilled workforce circulate freely, where and a highly skilled workforce circulate the outcomes of R&I are understood and freely, and where citizens and civil society trusted by informed citizens and benefit are engaged in setting the research and society as a whole, and where EU policy, innovation agenda so that the Programme notably R&I policy, is based on high delivers benefit to society as a whole and quality scientific evidence. the outcomes of R&I are understood and trusted by informed citizens, and where EU policy, notably R&I policy, is based on high quality scientific evidence.

Amendment 86

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 (a) Evidence that the European Partnership is more effective in achieving Partnership is more effective in achieving the related objectives of the Programme, in the related objectives of the Programme, in particular in delivering clear impacts for particular in delivering clear impacts for the EU and its citizens, notably in view of the EU and its citizens, notably in view of delivering on global challenges and delivering on global challenges including research and innovation objectives, the Sustainable Development Goals and securing EU competitiveness and research and innovation objectives, contributing to the strengthening of the securing EU competitiveness and European Research and Innovation Area contributing to the strengthening of the and international commitments; European Research and Innovation Area and international commitments;

Amendment 87

Proposal for a regulation

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Annex III – paragraph 1 – point 1 – point c

Text proposed by the Commission Amendment

(c) Transparency and openness of the (c) Transparency and openness of the European Partnership as regards the European Partnership as regards the identification of priorities and objectives, identification of priorities and objectives, and the involvement of partners and and the involvement of partners and stakeholders from different sectors, stakeholders from different sectors, including international ones when relevant; including civil society and international ones when relevant;

Amendment 88

Proposal for a regulation Annex III – paragraph 1 – point 1 – point d – indent 1

Text proposed by the Commission Amendment

Amendment 89

Proposal for a regulation Annex III – paragraph 1 – point 1 – point e – paragraph 1

Text proposed by the Commission Amendment

In the case of institutionalised European In the case of institutionalised European Partnerships, the financial and/or in-kind, Partnerships, the financial and/or in-kind, contributions from partners other than the contributions from partners other than the Union, will at least be equal to 50% and Union, will at least be equal to 50% and may reach up to 75% of the aggregated may reach up to 75% of the aggregated European Partnership budgetary European Partnership budgetary commitments. For each institutionalised commitments. European Partnership, a share of the contributions from partners other than the Union will be in the form of financial contributions.

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Amendment 90

Proposal for a regulation Annex III – paragraph 1 – point 2 – point d

Text proposed by the Commission Amendment

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

Amendment 91

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

Text proposed by the Commission Amendment

(b) Dedicated reporting on quantitative (b) Dedicated reporting on quantitative and qualitative leverage effects, including and qualitative leverage effects, including on financial and in-kind contributions, on financial and/or in-kind contributions, visibility and positioning in the visibility and positioning in the international context, impact on research international context, impact on research and innovation related risks of private and innovation related risks of private sector investments. sector investments.

Amendment 92

Proposal for a regulation Annex V – paragraph 4

Text proposed by the Commission Amendment

The Programme is expected to have The Programme is expected to have societal impact by addressing EU policy societal impact by addressing global priorities through R&I, delivering benefits challenges and EU policy priorities and and impact through R&I missions and commitments through R&I, delivering strengthening the uptake of innovation in benefits and impact through R&I missions society. Progress towards this impact will and strengthening the uptake of innovation be monitored through proxy indicators set in society through CSO and citizens along the following four key impact involvement ultimately contributing to pathways. people's well-being. Progress towards this impact will be monitored through proxy indicators set along the following four key impact pathways.

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PROCEDURE – COMMITTEE ASKED FOR OPINION

Opinion by ENVI Date announced in plenary 14.6.2018

Rapporteur Cristian-Silviu Buşoi Date appointed 22.6.2018 Date adopted 10.10.2018

Result of final vote +: 46 –: 1 0: 2

Members present for the final vote Marco Affronte, Pilar Ayuso, Ivo Belet, Biljana Borzan, Lynn Boylan, Paul Brannen, Birgit Collin-Langen, Miriam Dalli, Seb Dance, José Inácio Faria, Francesc Gambús, Arne Gericke, Jens Gieseke, Julie Girling, Sylvie Goddyn, Françoise Grossetête, Andrzej Grzyb, Jytte Guteland, Benedek Jávor, Karin Kadenbach, Kateřina Konečná, Urszula Krupa, Jo Leinen, Peter Liese, Valentinas Mazuronis, Joëlle Mélin, Susanne Melior, Rory Palmer, Gilles Pargneaux, Bolesław G. Piecha, Pavel Poc, Julia Reid, Frédérique Ries, Michèle Rivasi, Annie Schreijer-Pierik, Renate Sommer, Nils Torvalds, Adina-Ioana Vălean Substitutes present for the final vote Cristian-Silviu Buşoi, Jørn Dohrmann, Linnéa Engström, Eleonora Evi, Christophe Hansen, Norbert Lins, Tilly Metz, Younous Omarjee, Gabriele Preuß, Bart Staes Substitutes under Rule 200(2) present Kati Piri for the final vote

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FINAL VOTE BY ROLL CALL IN COMMITTEE ASKED FOR OPINION

46 +

ALDE Valentinas Mazuronis, Frédérique Ries, Nils Torvalds

ECR: Jørn Dohrmann, Arne Gericke, Urszula Krupa, Bolesław G. Piecha

EFDD: Eleonora Evi

GUE/NGL: Lynn Boylan, Kateřina Konečná, Younous Omarjee

PPE: Pilar Ayuso, Ivo Belet, Cristian-Silviu Buşoi, Birgit Collin-Langen, José Inácio Faria, Francesc Gambús, Jens Gieseke, Julie Girling, Françoise Grossetête, Andrzej Grzyb, Christophe Hansen, Peter Liese, Norbert Lins, Annie Schreijer-Pierik, Renate Sommer, Adina-Ioana Vălean

S&D: Biljana Borzan, Paul Brannen, Miriam Dalli, Seb Dance, Jytte Guteland, Karin Kadenbach, Jo Leinen, Susanne Melior, Rory Palmer, Gilles Pargneaux, Kati Piri, Pavel Poc, Gabriele Preuß

VERTS/ALE: Marco Affronte, Linnéa Engström, Benedek Jávor, Tilly Metz, Michèle Rivasi, Bart Staes

1 -

EFDD: Julia Reid

2 0

ENF: Sylvie Goddyn, Joëlle Mélin

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19.11.2018

OPINION OF THE COMMITTEE ON TRANSPORT AND TOURISM

Rapporteur for opinion: Henna Virkkunen

SHORT JUSTIFICATION

In order to ensure the objectives of the Union and the priorities and targets set out in Agenda for Jobs, Growth, Fairness and Democratic Change, the Paris agreement and the Sustainable Development Goals, the level of the overall budget should be appropriate for securing Europe’s global competitiveness and scientific, technological and industrial leadership. Almost 75% of the projects evaluated as excellent could not be funded by Horizon2020 due to insufficient funding. Therefore it is crucial to increase the overall budget of Horizon Europe to EUR 131 749 000 000.

European industries’ competitiveness should be a key objective of Horizon Europe. Especially Pillar II ‘Global Challenges and Industrial Competitiveness’ is crucial for the growth and competitiveness of Europe. In order for the EU and its industries to become a world leader in innovation, digitisation and decarbonisation, the budget share of the Pillar II should be increased to 60% of the total budget.

European transport industries are the backbone of its economy and competitiveness. The automotive industry provides jobs for 12 million people and accounts for 4% of the EU’s GDP. The sector represents the largest private investor in R&D. The EU is among the world's biggest producers of motor vehicles and also one of the largest exporters of vehicle technologies. Aviation supports almost 5 million jobs and contributes 2.1% to European GDP. Europe’s maritime and railway industries have significant role in achieving the ambitious climate targets as well as contributing the EU’s economy.

Meeting the climate targets and reducing the CO2 emissions especially in the transport sector is one of the key issues for Europe. Road transport contributes about one-fifth of the EU's

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total emissions of carbon dioxide (CO2), therefore speeding up of the deployment of low- emission alternative energy for transport, such as advanced biofuels, electricity, hydrogen and renewable synthetic fuels and removing obstacles to the electrification of transport is of utmost importance.

EU leadership in clean energy and clean mobility technologies needs to be secured. The EU needs to contribute to safer roads and mobility to meet the EU's long-term goal of Vision Zero by 2050.

Digitalisation and automatisation offer enormous opportunities for Europe’s mobility. It is important to find new solutions to break the siloes between the transport modes. Data flow in the logistic chains needs to be improved and efficiency of logistics increased focusing on development of intelligent automation. Simultaneously cybersecurity has to be fully integrated across all the clusters.

It is important to ensure the possibility for cross-sectoral and cross-disciplinary research and cooperation between all the pillars, clusters and inside the clusters. It is important to better integrate the transport, energy and digital sectors, in order to accelerate the decarbonisation and digitalisation of the EU's economy.

Finally, the Rapporteur welcomes a new generation of European Partnerships and increased collaboration with other EU programmes. The Horizon Europe will streamline the number of partnerships that the EU co-programmes or co-funds with partners like industry, civil society and funding foundations, in order to increase their effectiveness and impact in achieving Europe's policy priorities. Horizon Europe will promote effective and operational links with other future EU programmes, like Cohesion Policy, the European Defence Fund, the Digital Europe Programme and the Connecting Europe Facility.

AMENDMENTS

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

Amendment 1

Proposal for a regulation Recital 2

Text proposed by the Commission Amendment

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diffusion of high-quality knowledge and diffusion of high-quality knowledge and technologies, to strengthen the impact of technologies, to strengthen the impact of research and innovation in developing, research and innovation in developing, supporting and implementing Union supporting and implementing Union policies, to support the uptake of policies, to support the uptake of innovative solutions in industry and society innovative solutions in industry and society to address global challenges and promote to address global challenges and promote industrial competitiveness; to foster all industrial competitiveness, to foster forms of innovation, including economic growth and increase the quality breakthrough innovation, and strengthen of citizens' life and create jobs; to foster market deployment of innovative solutions; all forms of innovation, including and optimise the delivery of such breakthrough innovation, and strengthen investment for increased impact within a market deployment of innovative solutions; strengthened European Research Area. and optimise the delivery of such investment for increased impact within a strengthened European Research Area.

Amendment 2

Proposal for a regulation Recital 5 a (new)

Text proposed by the Commission Amendment

(5a) Scientific research should be increasingly geared towards respect for living beings and should refrain from animal testing;

Amendment 3

Proposal for a regulation Recital 6

Text proposed by the Commission Amendment

(6) The conception and design of the (6) The conception and design of the Programme should respond to the need for Programme should respond to the need for establishing a critical mass of supported establishing a critical mass of supported activities, throughout the EU Union and activities, throughout the European Union, through international cooperation, in line with balanced roles of research, academia with the UN Sustainable Development and industry, and through targeted Goals (SDGs). Programme implementation international cooperation, safeguarding should reinforce the pursuit of this aim. balanced participation of all Member States in the Programme, in line with the UN Sustainable Development Goals (SDGs). Programme implementation

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should reinforce the pursuit of this aim. Amendment 4

Proposal for a regulation Recital 8

Text proposed by the Commission Amendment

(8) The Programme should maintain a (8) The Programme should maintain a balanced approach between bottom-up balanced approach between bottom-up (investigator or innovator driven) and top- (investigator or innovator driven) and top- down (determined by strategically defined down (determined by strategically defined priorities) funding, according to the nature priorities) funding, according to the nature of the research and innovation of the research and innovation communities that are engaged, the types communities that are engaged, the types and purpose of the activities carried out and purpose of the activities carried out and the impacts that are sought. The mix of and the impacts that are sought. The mix of these factors should determine the choice these factors should determine the choice of approach for the respective parts of the of approach for the respective parts of the Programme, all of which contribute to all Programme, all of which contribute to all of the Programme’s general and specific of the Programme’s general and specific objectives. objectives. The balance between basic and applied research should be ensured.

Amendment 5

Proposal for a regulation Recital 8 a (new)

Text proposed by the Commission Amendment

(8 a) The Programme should support research and innovation activities along the whole research and innovation chain, from basic to applied research to demonstration activities, scale-up of innovation and close-to-market actions. A fair balance between the different stages of research should be ensured. The union acknowledges that high quality research, and especially fundamental research, is an essential asset and an important condition to address EU policy objectives and priorities.

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Amendment 6

Proposal for a regulation Recital 10

Text proposed by the Commission Amendment

(10) The pillar 'Global Challenges and (10) The pillar 'Global Challenges and Industrial Competitiveness' should be Industrial Competitiveness' should be established through clusters of research and allocated at least 60% of the financial innovation activities, in order to maximise envelope for the implementation of the integration across the respective work areas Framework Programme as defined in while securing high and sustainable levels Article 9. It should be established through of impact in relation to the resources that clusters of research and innovation are expended. It will encourage cross- activities, in order to maximise integration disciplinary, cross-sectoral, cross-policy across the respective work areas while and cross-border collaboration in pursuit of securing high and sustainable levels of the UN SDGs and the competitiveness of impact in relation to the resources that are the Union's industries therein. 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. The activities under this pillar should cover the full range of research and innovation activities such as basic and applied research, development, 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. To ensure a multistakeholder approach and the consideration of societal needs, relevant stakeholders together with civil society should be actively involved in the research agenda setting through the strategic planning process and the development of work programmes.

Amendment 7

Proposal for a regulation Recital 12

Text proposed by the Commission Amendment

(12) It is important to support industry (12) It is important to transform the EU

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to stay or become world leader in into a world leader in innovation, innovation, digitisation and digitisation and decarbonisation, notably decarbonisation, notably through through investments in key enabling investments in key enabling technologies technologies that will underpin tomorrow's that will underpin tomorrow's business. business. The Programme's actions should The Programme's actions should be used to boost investments, support EU policy address market failures or sub-optimal objectives through its focus on excellent investment situations, in a proportionate science, industrial leadership and societal manner, without duplicating or crowding challenges and be used to address market out private financing and have a clear failures or sub-optimal investment European added value. This will ensure situations, in a proportionate manner, consistency between the actions of the without duplicating or crowding out private programme and EU State aid rules, financing and have a clear European added avoiding undue distortions of competition value. This will ensure consistency in the internal market. between the actions of the programme and EU State aid rules, avoiding undue distortions of competition in the internal market.

Amendment 8

Proposal for a regulation Recital 14

Text proposed by the Commission Amendment

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helping to mobilise under-exploited R&I funding landscape in order to fully use the potential across the Union; to strengthen RDI potential of all Member States, international cooperation and reinforce including by streamlining the range of openness to third countries' participation; partnership initiatives and co-funding and to continue simplification based on schemes; the development of more and implementation experiences from Horizon concrete synergies between different Union 2020. 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 while safeguarding EU interest and pursue further simplification to support faster innovation cycles and lower administrative burden for applicants, especially for SMEs and for beneficiaries and to continue simplification based on implementation experiences from Horizon 2020.

Amendment 9

Proposal for a regulation Recital 14 a (new)

Text proposed by the Commission Amendment

(14 a) It is appropriate to further reduce the administrative burden for applicants in order to lower the barrier for participation especially for SME's, smaller research organisations and civil society organisations.

Amendment 10

Proposal for a regulation Recital 15

Text proposed by the Commission Amendment

(15) The Programme should seek (15) The Programme should seek synergies with other Union programmes, further strengthening and making more from their design and strategic planning, to efficient and effective synergies with other project selection, management, Union programmes, from their design and communication, dissemination and strategic planning, to project selection, exploitation of results, to monitoring, management, communication, auditing and governance. With a view to dissemination and exploitation of results,

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avoiding overlaps and duplication and to monitoring, auditing and governance, increasing the leverage of Union funding, bringing priorities more in line with each transfers from other Union programmes to other. With a view to avoiding overlaps Horizon Europe activities can take place. and duplication cross-checking proper In such cases they will follow Horizon interlinkages with other programmes is Europe rules. needed. Increasing the leverage of Union funding, transfers from other Union programmes to Horizon Europe activities can take place. In such cases they will follow Horizon Europe rules.

Amendment 11

Proposal for a regulation Recital 16

Text proposed by the Commission Amendment

(16) In order to achieve the greatest (16) In order to achieve the greatest possible impact of Union funding and the possible impact of Union funding and the most effective contribution to the Union's most effective contribution to the Union's policy objectives, the Programme should policy objectives, the Programme should enter into European Partnerships with enter into European Partnerships with private and/or public sector partners. Such private and/or public sector partners. Such partners include industry, research partners include industry, research organisations, bodies with a public service organisations, bodies with a public service mission at local, regional, national or mission at local, regional, national or international level, and civil society international level, and civil society organisations such as foundations that organisations such as foundations that support and/or carry out research and support and/or carry out research and innovation, provided that desired impacts innovation, provided that desired impacts can be achieved more effectively in can be achieved more effectively in partnership than by the Union alone. partnership than by the Union alone. Reforming the current partnership instruments and initiatives should make it possible to use their full potential in achieving ambitious policy objectives.

Amendment 12

Proposal for a regulation Recital 19

Text proposed by the Commission Amendment

(19) The pillar 'Open Innovation' should (19) The pillar 'Open Innovation' should establish a series of measures for integrated establish a series of measures for integrated

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support to the needs of entrepreneurs and support to the needs of entrepreneurs and entrepreneurship aiming at realising and entrepreneurship aiming at realising and accelerating breakthrough innovation for accelerating breakthrough innovation for rapid market growth. It should attract rapid market growth. It should attract innovative companies with potential for innovative companies, including SMEs scaling up at international and at Union and start-ups, with potential for scaling up level and offer fast, flexible grants and co- at international and at Union level and investments, including with private offer fast, flexible grants and co- investors. These objectives should be investments, including with private pursued through the creation of a European investors. These objectives should be Innovation Council (EIC). This Pillar pursued through the creation of a European should also support the European Institute Innovation Council (EIC). This Pillar of Innovation and Technology (EIT) and should also support the European Institute European innovation ecosystems at large, of Innovation and Technology (EIT) and notably through co-funding partnerships European innovation ecosystems at large, with national and regional innovation notably through co-funding partnerships support actors. with national and regional innovation support actors.

Amendment 13

Proposal for a regulation Recital 20

Text proposed by the Commission Amendment

(20) The policy objectives of this (20) The policy objectives of this Programme will be also addressed through Programme will be also addressed through financial instruments and budgetary financial instruments and budgetary guarantee under the policy windows of the guarantee under the policy windows of the InvestEU Fund. Financial support should InvestEU Fund. Financial support should be used to address market failures or sub- be used to boost investments and actions optimal investment situations, in a should not duplicate or crowd out private proportionate manner and actions should financing or distort competition in the not duplicate or crowd out private Internal market. Actions should have a financing or distort competition in the clear European added value. Internal market. Actions should have a clear European added value.

Amendment 14

Proposal for a regulation Recital 23

Text proposed by the Commission Amendment

(23) The EIT, primarily through its (23) The EIT, primarily through its

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Knowledge and Innovation Communities Knowledge and Innovation Communities (KICs), should aim at strengthening (KICs), should aim at strengthening innovation ecosystems that tackle global innovation ecosystems that tackle global challenges, by fostering the integration of challenges, by fostering the integration of business, research, higher education and business, research, higher education and entrepreneurship. The EIT should foster entrepreneurship. The EIT should foster innovation in its activities and should innovation in its activities and should support the integration of higher education support the integration of higher education within the innovation ecosystem, in within the innovation ecosystem, in particular by: stimulating entrepreneurial particular by: stimulating entrepreneurial education, fostering strong non- education, fostering strong non- disciplinary collaborations between disciplinary collaborations between industry and academia; and identifying industry and academia; and identifying prospective skills for future innovators to prospective skills for future innovators to address global challenges, which includes address global challenges, which includes advanced digital and innovation skills. advanced digital and innovation skills. The Support schemes provided by the EIT stronger focus on innovation and market should benefit to EIC beneficiaries, while oriented skills of researchers are very start-ups emerging from EIT KICs should important aspects of job creation and have access to EIC actions. While the business expansion in Europe. Support EIT’s focus on innovation ecosystems schemes provided by the EIT should should make it naturally fit within the pillar benefit to EIC beneficiaries, while start-ups 'Open Innovation', the planning of its KICs emerging from EIT KICs should have should be aligned through the strategic access to EIC actions. While the EIT’s planning process with the pillar 'Global focus on innovation ecosystems should Challenges and Industrial make it naturally fit within the pillar 'Open Competitiveness'. Innovation', the planning of its KICs should be aligned through the strategic planning process with the pillar 'Global Challenges and Industrial Competitiveness'.

Amendment 15

Proposal for a regulation Recital 25

Text proposed by the Commission Amendment

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and industrial competitiveness, to tackle and industrial competitiveness, to tackle global challenges, as embodied in the UN global challenges, as embodied in the UN SDGs, and to support the Union's external SDGs, and to support the Union's external policies. An approach of general opening policies. An approach of general opening for international participation and targeted for international participation and targeted international cooperation actions should be international cooperation actions, followed, including through appropriate including low- and middle-income eligibility for funding of entities countries, should be followed, including established in low to middle income through appropriate eligibility for funding countries. At the same time, association of of entities established in low to middle third countries to the Programme should be income countries. At the same time, promoted. association of third countries to the Programme should be promoted.

Amendment 16

Proposal for a regulation Recital 26

Text proposed by the Commission Amendment

(26) With the aim of deepening the (26) With the aim of deepening the relationship between science and society relationship between science and society and maximising benefits of their and maximising benefits of their interactions, the Programme should engage interactions, the Programme should and involve citizens and civil society actively and systematically engage and organisations in co-designing and co- involve citizens and civil society creating responsible research and organisations in co-designing and co- innovation agendas and contents, creating responsible research and promoting science education, making innovation agendas and contents, scientific knowledge publicly accessible, promoting science education, making and facilitating participation by citizens scientific knowledge publicly accessible, and civil society organisations in its and facilitating participation by citizens activities. It should do so across the and civil society organisations in its Programme and through dedicated activities. It should do so across the activities in the part 'Strengthening the Programme and through dedicated European Research Area'. The engagement activities in the part 'Strengthening the of citizens and civil society in research and European Research Area'. The engagement innovation should be coupled with public of citizens and civil society in research and outreach activities to generate and sustain innovation should be coupled with public public support for the Programme. The outreach activities to generate and sustain programme should also seek to remove public support for the Programme. The barriers and boost synergies between programme should also seek to remove science, technology, culture and the arts to barriers and boost synergies between obtain a new quality of sustainable science, technology, culture and the arts to innovation. obtain a new quality of sustainable innovation.

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Amendment 17

Proposal for a regulation Recital 28

Text proposed by the Commission Amendment

(28) The activities developed under the (28) The activities developed under the Programme should aim at eliminating Programme should aim at eliminating gender inequalities and promoting equality gender inequalities and promoting equality between women and men in research and between women and men in research and innovation, in compliance with Articles 2 innovation, in compliance with Articles 2 and 3 of the Treaty on European Union and and 3 of the Treaty on European Union and Article 8 of the TFEU. The gender Article 8 of the TFEU. The gender dimension should be adequately integrated dimension should be adequately integrated in research and innovation content and in research and innovation content and followed through at all stages of the followed through at all stages of the research cycle. research cycle. While excellence remains the sole principle of granting funds under Horizon Europe, the EU and Member States shall step up their efforts in order to reduce the gender gap in science and research and thus raise the share of female researchers awarded with funding under the EU programmes. In the framework of this regulation, particular importance should be given to ensure gender balance, subject to the situation in the field of research and innovation concerned, in evaluation panels and in other relevant advisory and expert bodies.

Amendment 18

Proposal for a regulation Recital 36

Text proposed by the Commission Amendment

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role as a global actor. Breakthrough and safe environment; and strengthen solutions in Horizon Europe will be Europe’s role as a global actor. supported by data and services made Breakthrough solutions in Horizon Europe available by the Space Programme. will be supported by data and services made available by the Space Programme, which will have to safeguard space diplomacy and international cooperation, taking into account any private initiatives that already operate on the markets.

Amendment 19

Proposal for a regulation Recital 48

Text proposed by the Commission Amendment

(48) The current system of (48) The current system of reimbursement of actual personnel costs reimbursement of actual personnel costs should be further simplified building on should be further simplified, aiming at the project-based remuneration approach closing the remuneration gap among EU developed under Horizon 2020 and researchers involved in the Programme, further aligned to the Financial including through acceptance of national Regulation. accounting practices.

Amendment 20

Proposal for a regulation Recital 51

Text proposed by the Commission Amendment

(51) The key elements of the proposal (51) The key elements of the proposal evaluation and selection system of the evaluation and selection system of the predecessor programme Horizon 2020 with predecessor programme Horizon 2020 with its particular focus on excellence should be its particular focus on ‘excellence’, maintained. Proposals should continue to ‘impact’ and ‘quality and efficiency of be selected based on the evaluation made implementation’ criteria, should be by independent experts. Where relevant, maintained. Proposals should continue to the necessity to ensure the overall be selected based on the evaluation made coherence of the portfolio of projects by independent experts. The Commission should be taken into account. should organise blind-evaluation pilots and analyse its results in order to implement, if justified, blind-evaluation procedure in all parts of Horizon Europe. Where relevant, the necessity to ensure the overall coherence of the portfolio of

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projects should be taken into account by independent experts.

Amendment 21

Proposal for a regulation Article 2 – paragraph 1 – point 1 a (new)

Text proposed by the Commission Amendment

(1 a) ‘excellence’, as criteria for applications evaluation, means clarity, credibility and pertinence of the objectives, innovation potential, industrial market value, progress beyond the state of the art in terms of the degree of innovation needed to satisfy the procurement need, European relevance, in correlation with European and/or Member States strategies.

Amendment 22

Proposal for a regulation Article 3 – paragraph 1

Text proposed by the Commission Amendment

1. The Programme’s general objective 1. The Programme’s general objective is to deliver scientific, economic and is to deliver scientific, economic and societal impact from the Union’s societal impact from the Union’s investments in research and innovation so investments in research and innovation so as to strengthen the scientific and as to strengthen the scientific and technological bases of the Union and foster technological bases of the Union and foster its competitiveness, including in its its competitiveness, in all Member States industry, deliver on the Union strategic and regions, including in its industry, in priorities, and contribute to tackling global particular through building a society challenges, including the Sustainable based on knowledge and innovation, Development Goals. deliver on the Union strategic priorities, and contribute to tackling global challenges, including the Sustainable Development Goals.

Amendment 23

Proposal for a regulation

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Article 3 – paragraph 2 – point a

Text proposed by the Commission Amendment

(a) to support the creation and (a) to support the creation and diffusion of high-quality new knowledge, diffusion of high-quality new knowledge, skills, technologies and solutions to global skills, technologies and solutions to global challenges; challenges including climate change and pursuing Sustainable Development goals;

Amendment 24

Proposal for a regulation Article 3 – paragraph 2 – point a a (new)

Text proposed by the Commission Amendment

(a a) to fully use R&I potential of all Member States and support creating new excellent R&I networks within the Union, involving also less performing Member States or regions;

Amendment 25

Proposal for a regulation Article 4 – paragraph 1 – point 1 – point c a (new)

Text proposed by the Commission Amendment

(c a) innovation for SMEs;

Amendment 26

Proposal for a regulation Article 4 – paragraph 1 – point 2 – point e

Text proposed by the Commission Amendment

(e) cluster 'Food and Natural (e) cluster 'Food, Natural Resources, Resources'; Seas and Oceans';

Amendment 27

Proposal for a regulation

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Article 4 – paragraph 1 – point 4 – point b a (new)

Text proposed by the Commission Amendment

(b a) boosting the attractiveness of the Union

Amendment 28

Proposal for a regulation Article 6 – paragraph 6 a (new)

Text proposed by the Commission Amendment

6 a. The Commission shall prepare for each Pillar until the end of July 2021 a Comprehensive Programme that will include the timetable of the work programmes and calls, their topics and allocated financing and other necessary details to provide transparency and predictability for the whole period of the Programme. The Comprehensive Programme shall be adopted through a delegated act in accordance with Article 50.

Amendment 29

Proposal for a regulation Article 7 – paragraph 3 – point f a (new)

Text proposed by the Commission Amendment

(f a) be technology neutral;

Amendment 30

Proposal for a regulation Article 9 – paragraph 1

Text proposed by the Commission Amendment

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shall be EUR 94 100 000 000 in current shall be EUR 120 000 000 000 in constant prices for the specific programme referred prices for the specific programme referred to in Article 1(3)(a) and, in addition, the to in Article 1(3)(a) and, in addition, the amount for the specific programme amount for the specific programme referred to in Article 1(3)(b), as laid down referred to in Article 1(3)(b), as laid down in Regulation…. establishing the European in Regulation…. establishing the European Defence Fund. Defence Fund.

Amendment 31

Proposal for a regulation Article 9 – paragraph 2 – point b – introductory part

Text proposed by the Commission Amendment

(b) EUR 52 700 000 000 for Pillar II (b) EUR 72 000 000 000 for Pillar II 'Global Challenges and Industrial 'Global Challenges and Industrial Competitiveness' for the period 2021-2027, Competitiveness' for the period 2021-2027, of which of which

Amendment 32

Proposal for a regulation Article 9 – paragraph 2 – point b – point 2

Text proposed by the Commission Amendment

(2) EUR 2 800 000 000 for cluster (2) EUR 2 900 000 000 for cluster 'Inclusive and Secure Society'; 'Inclusive and Secure Society';

Amendment 33

Proposal for a regulation Article 9 – paragraph 2 – point b – point 3

Text proposed by the Commission Amendment

(3) EUR 15 000 000 000 for cluster (3) EUR 25 000 000 000 for cluster 'Digital and Industry'; 'Digital, Industry and Space';

Amendment 34

Proposal for a regulation Article 9 – paragraph 2 – point b – point 4

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Text proposed by the Commission Amendment

(4) EUR 15 000 000 000 for cluster (4) EUR 28 000 000 000 for cluster 'Climate, Energy and Mobility'; 'Climate, Energy and Mobility';

Amendment 35

Proposal for a regulation Article 9 – paragraph 2 – point b – point 5

Text proposed by the Commission Amendment

(5) EUR 10 000 000 000 for cluster (5) EUR 13 000 000 000 for cluster 'Food and Natural Resources'; 'Food, Natural Resources Sea and Oceans';

Amendment 36

Proposal for a regulation Article 9 – paragraph 2 – point b – point 6

Text proposed by the Commission Amendment

(6) EUR 2 200 000 000 for the non- (6) EUR 3 100 000 000 for the non- nuclear direct actions of the Joint Research nuclear direct actions of the Joint Research Centre (JRC); Centre (JRC);

Amendment 37

Proposal for a regulation Article 12 – paragraph 1 – point d – subparagraph 1 – point ii

Text proposed by the Commission Amendment

ii. commitment to a rules-based open ii. commitment to a rules-based open market economy, including fair and market economy, including fair and equitable dealing with intellectual property equitable dealing with intellectual property rights, backed by democratic institutions; rights and robust regulations on privacy and data protection, backed by democratic institutions;

Amendment 38

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Proposal for a regulation Article 15 – paragraph 6

Text proposed by the Commission Amendment

6. Actions which are not ethically 6. Actions which are not ethically acceptable may be rejected or terminated at acceptable shall be rejected or terminated any time. at any time.

Amendment 39

Proposal for a regulation Article 22 – paragraph 3

Text proposed by the Commission Amendment

3. The contractor generating results in 3. The contractor generating results in pre-commercial procurement shall own at pre-commercial procurement shall own the least the attached intellectual property attached intellectual property rights. The rights. The contracting authorities shall contracting authorities shall enjoy royalty- enjoy at least royalty-free access rights to free access rights to the results for their the results for their own use and the right to own use and the right to grant, or require grant, or require the participating the participating contractors to grant, non- contractors to grant, non-exclusive licences exclusive licences to third parties to exploit to third parties to exploit the results for the the results for the contracting authority contracting authority under fair and under fair and reasonable conditions reasonable conditions without any right to without any right to sub-license. If a sub-license. If a contractor fails to contractor fails to commercially exploit the commercially exploit the results within a results within a given period after the pre- given period after the pre-commercial commercial procurement as agreed in the procurement as identified in the contract, contract, the contracting authorities can the contracting authorities can require it to require it to transfer any ownership of the transfer any ownership of the results to the results to the contracting authorities. contracting authorities.

Amendment 40

Proposal for a regulation Article 34 – paragraph 1 – subparagraph 3

Text proposed by the Commission Amendment

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jointly-owned results (without any right to may grant non-exclusive licences to third sub-license), if the other joint owners are parties to exploit the jointly-owned results given advance notice and fair and (without any right to sub-license), if the reasonable compensation. The joint owners other joint owners are given advance notice may agree in writing to apply another and fair and reasonable compensation. The regime than joint ownership. joint owners may agree in writing to apply another regime than joint ownership.

Amendment 41

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

Text proposed by the Commission Amendment

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

Amendment 42

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

Text proposed by the Commission Amendment

(c) Cluster 'Digital and Industry': (c) Cluster 'Digital and Industry': Reinforcing capacities and securing Reinforcing capacities and securing Europe's sovereignty in key enabling Europe's sovereignty in key enabling technologies for digitisation and technologies for digitisation and production, and in space technology, to production, and in space technology, to build a competitive, digital, low-carbon build a competitive, digital, low-carbon and circular industry; ensure a sustainable and circular industry; ensure a sustainable supply of raw materials; and provide the supply of raw materials; and provide the basis for advances and innovation in all basis for advances and innovation in all global societal challenges. global societal challenges. Contributing to the upscaling of the infrastructure and technology facilities of the network of Digital Innovation Hubs to ensure access to digital capacities to any business in particular SMEs.

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Amendment 43

Proposal for a regulation Annex I – point 2 – paragraph 4 – point d – subparagraph 1

Text proposed by the Commission Amendment

Areas of intervention: Climate science and Areas of intervention: Climate science and solutions; Energy supply; Energy systems solutions; Energy supply; Energy systems and grids; Buildings and industrial and grids; Buildings and industrial facilities in energy transition; Communities facilities in energy transition; Smart and cities; Industrial competitiveness in communities and cities; Industrial transport; Clean transport and mobility; competitiveness in transport; Clean Smart mobility; Energy storage. transport and mobility; Smart mobility; Energy storage; Safe mobility.

Amendment 44

Proposal for a regulation Annex III – paragraph 1 – point 1 – point e – subparagraph 1

Text proposed by the Commission Amendment

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

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PROCEDURE – COMMITTEE ASKED FOR OPINION

Opinion by TRAN Date announced in plenary 14.6.2018

Rapporteur Henna Virkkunen Date appointed 3.7.2018 Date adopted 15.11.2018

Result of final vote +: 44 –: 2 0: 2

Members present for the final vote Daniela Aiuto, Lucy Anderson, Marie-Christine Arnautu, Inés Ayala Sender, Georges Bach, Izaskun Bilbao Barandica, Michael Cramer, Luis de Grandes Pascual, Andor Deli, Karima Delli, Isabella De Monte, Ismail Ertug, Tania González Peñas, Dieter-Lebrecht Koch, Merja Kyllönen, Miltiadis Kyrkos, Innocenzo Leontini, Bogusław Liberadzki, Peter Lundgren, Marian-Jean Marinescu, Georg Mayer, Gesine Meissner, Renaud Muselier, Markus Pieper, Gabriele Preuß, Christine Revault d’Allonnes Bonnefoy, Dominique Riquet, Massimiliano Salini, Jill Seymour, Claudia Țapardel, Keith Taylor, István Ujhelyi, Wim van de Camp, Kosma Złotowski Substitutes present for the final vote Francisco Assis, Daniel Dalton, Stefan Gehrold, Maria Grapini, Kateřina Konečná, Bolesław G. Piecha, Inmaculada Rodríguez-Piñero Fernández, Anders Sellström, Matthijs van Miltenburg, Henna Virkkunen Substitutes under Rule 200(2) present Heinz K. Becker, Edward Czesak, Theodor Dumitru Stolojan, Richard for the final vote Sulík

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FINAL VOTE BY ROLL CALL IN COMMITTEE ASKED FOR OPINION

44 +

ALDE Izaskun Bilbao Barandica, Gesine Meissner, Dominique Riquet, Matthijs van Miltenburg

ECR Edward Czesak, Daniel Dalton, Bolesław G. Piecha, Richard Sulík, Kosma Złotowski

EFDD Daniela Aiuto

GUE/NGL Tania González Peñas, Kateřina Konečná, Merja Kyllönen

PPE Georges Bach, Heinz K. Becker, Andor Deli, Stefan Gehrold, Dieter-Lebrecht Koch, Innocenzo Leontini, Marian-Jean Marinescu, Renaud Muselier, Markus Pieper, Massimiliano Salini, Anders Sellström, Theodor Dumitru Stolojan, Henna Virkkunen,Luis de Grandes Pascual. Wim van de Camp Lucy Anderson, Francisco Assis, Inés Ayala Sender, Isabella De Monte, Ismail Ertug, Maria Grapini, S&D Miltiadis Kyrkos, Bogusław Liberadzki, Gabriele Preuß, Christine Revault d'Allonnes Bonnefoy, Inmaculada Rodríguez-Piñero Fernández, Claudia Țapardel, István Ujhelyi

Michael Cramer, Karima Delli, Keith Taylor VERTS/ALE

2 -

ECR Peter Lundgren Jill Seymour EFDD

2 0

ENF Marie-Christine Arnautu, Georg Mayer

Key to symbols: + : in favour - : against 0 : abstention

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9.11.2018

OPINION OF THE COMMITTEE ON REGIONAL DEVELOPMENT

for the Committee on Industry, Research and Energy

Rapporteur for opinion: Lambert van Nistelrooij

SHORT JUSTIFICATION

The Rapporteur welcomes the initiatives taken by the European Commission to reinforce the regional research and innovation capacity, to contribute to a more balanced uptake of these initiatives in all parts of Europe. Both Cohesion Policy and Horizon Europe, the Framework Programme for Research and Innovation, contribute to these goals. Smart Specialisation and ex-ante conditionality in the ERDF strengthen the uptake of the efforts in the Horizon Europe programme.

The amendments focus essentially on recognizing the importance of the regional innovation ecosystems. Regional innovation ecosystems in their territorial dimension not only increase the research and innovation capacity, they also reduce the time-to-market and unlock market access to various value chains. Additionally, in their quadruple helix approach, they contribute to stable conditions, enhancing business intelligence, scientific insights and help to realise market opportunities for novel technologies, patents, solutions and start-ups.

The Rapporteur therefore considers the European Innovation Ecosystem a crucial tool for further interregional cooperation in research and innovation. Through cooperation between innovation ecosystems, Horizon Europe enables cities and regions to strengthen their smart specialisation strategies, directly contributing to the knowledge based economy, delivering a smarter, greener Europe in high social standards, leading to growth and jobs.

Over the last decade, the ERDF has undergone a silent revolution by stimulating regional innovation and supporting start-ups. In the current period, we invest EUR 75 854 936 533 in the thematic concentrations “Research and Innovation” and “Competitiveness of Small and Medium Enterprises”. This opens up possibilities for a simplified procedure and more co-

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operation at operational level. To achieve more synergies between Horizon Europe and the European Regional Development Fund (ERDF), the European Social Fund Plus (ESF+) and the European Agricultural Fund for Rural Development (EAFRD), the Rapporteur considers the “Seal of Excellence” certificate as an important instrument.

Through instruments like the “Seal of Excellence” and the continuation of the “Stairway to Excellence”, we are strengthening capacities in the parts of Europe that are underperforming in the current programming period. We facilitate the spreading of excellence and knowledge. A streamlined evaluation containing an impact assessment of the invested transferred funds is necessary. This aligned approach is needed to prove the added value of the better use of funds, and will also lead to more R&I investments in all parts of the Union.

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AMENDMENTS

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

Amendment 1

Proposal for a regulation Citation 1

Text proposed by the Commission Amendment

Having regard to the Treaty on the Having regard to the Treaty on the Functioning of the European Union, and in Functioning of the European Union, and in particular Article 173(3), Article 182(1), particular Article 173(3), Article 179, Article 183, and the second paragraph of Article 180, Article 182(1), Article 183, Article 188 thereof, and the second paragraph of Article 188 thereof,

Amendment 2

Proposal for a regulation Recital 1

Text proposed by the Commission Amendment

(1) It is the Union's objective to (1) It is the Union's objective to strengthen its scientific and technological promote social progress, strengthen its bases and encourage its competitiveness, scientific and technological bases and including in its industry, while promoting encourage sustainability and resilience of all research and innovation activities to its society and its competitiveness, deliver on the Union's strategic priorities, including in its industry, while promoting which ultimately aim at promoting peace, all research and innovation activities to the Union's values and the well-being of its deliver on the Union's strategic priorities peoples. and fulfil its commitments, which aim at tackling global societal challenges and promoting peace, the Union's values, the well-being of its peoples and sustainable development.

Amendment 3

Proposal for a regulation

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Recital 2

Text proposed by the Commission Amendment

(2) To deliver scientific, economic and (2) To deliver scientific, economic, societal impact in pursuit of this general climate and societal impact in pursuit of objective, the Union should invest in this general objective, the Union should research and innovation through Horizon invest in research and innovation through Europe - a Framework Programme for Horizon Europe - a Framework Programme Research and Innovation 2021-2027 (the for Research and Innovation 2021-2027 ‘Programme’) to support the creation and (the ‘Programme’) to support the creation diffusion of high-quality knowledge and and diffusion of high-quality knowledge technologies, to strengthen the impact of and technologies, to strengthen the impact research and innovation in developing, of research and innovation in developing, supporting and implementing Union supporting and implementing Union policies, to support the uptake of policies and commitments, to support the innovative solutions in industry and society uptake of innovative solutions in industry to address global challenges and promote and society to address global challenges, industrial competitiveness; to foster all including those embodied by the UN forms of innovation, including Sustainability Goals (SDGs) and in the breakthrough innovation, and strengthen Paris Agreement on Climate Change and market deployment of innovative solutions; promote industrial competitiveness, to and optimise the delivery of such stimulate economic growth, job creation investment for increased impact within a and higher quality of life; to foster all strengthened European Research Area. forms of innovation, including incremental, breakthrough and non technological innovation, and strengthen market deployment of innovative and sustainable solutions; and optimise the delivery of such investment for increased impact within a strengthened European Research Area, placing special emphasis on young researchers and developers, and strengthening the value of the EU, notably for SMEs and start-ups, and promoting its technological autonomy in strategic areas.

Amendment 4

Proposal for a regulation Recital 4

Text proposed by the Commission Amendment

(4) Open Science, Open Innovation, (4) Open Science, Open Innovation, Open to the World constitute general Open to the World constitute general

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principles, which should ensure excellence principles, which should ensure excellence and impact of the Union's investment in and impact of the Union's investment in research and innovation. They should be research and innovation, both within the adhered in the implementation of the EU and under programmes of Programme, in particular for the strategic cooperation with third countries to planning in respect of the pillar 'Global achieve the proposed goals. They should Challenges and Industrial be adhered in the implementation of the Competitiveness'. Programme, in particular for the strategic planning in respect of the pillar 'Global Challenges and Industrial Competitiveness'.

Amendment 5

Proposal for a regulation Recital 6

Text proposed by the Commission Amendment

(6) The conception and design of the (6) The conception and design of the Programme should respond to the need for Programme should respond to the need for establishing a critical mass of supported establishing a critical mass of supported activities, throughout the EU Union and activities, throughout the EU Union and through international cooperation, in line through international cooperation, in line with the UN Sustainable Development with the UN Sustainable Development Goals (SDGs). Programme implementation Goals (SDGs) and the Paris Agreement. should reinforce the pursuit of this aim. Programme implementation should reinforce the pursuit of this aim.

Amendment 6

Proposal for a regulation Recital 7

Text proposed by the Commission Amendment

(7) Activities supported under the (7) Activities supported under the Programme should contribute towards the Programme should contribute towards the achievement of the Union's objectives and achievement of the Union's objectives and priorities, the monitoring and assessment priorities and the fulfilment of its of progress against those objectives and commitments, the monitoring and priorities and for the development of assessment of progress against those revised or new priorities. objectives, priorities and commitments and for the development of revised or new priorities.

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Amendment 7

Proposal for a regulation Recital 8 a (new)

Text proposed by the Commission Amendment

(8a) The programme should support all stages of research and innovation, including basic research within all three pillars and especially collaborative research projects. The Union acknowledges that excellent research, and especially fundamental research, is an essential asset and an important condition to address EU policy objectives, priorities and commitments.

Amendment 8

Proposal for a regulation Recital 9

Text proposed by the Commission Amendment

(9) Research activities carried out (9) Research activities carried out under the pillar 'Open Science' should be under the pillar 'Excellent and Open determined according to the needs and Science’ should be determined according opportunities of science. The research to the needs and opportunities of science. agenda should be set in close liaison with The research agenda should be set in close the scientific community. Research should liaison with the scientific community. be funded on the basis of excellence. Research should be funded on the basis of excellence, taking into account when relevant the territorial dimension in targeted initiatives such as the EIT Regional Innovation Scheme, as well as taking into consideration Smart Specialisation Strategies at national and regional levels, in order to ensure the development of an overall Union capacity for innovation.

Amendment 9

Proposal for a regulation Recital 10

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Text proposed by the Commission Amendment

Amendment 10

Proposal for a regulation Recital 11

Text proposed by the Commission Amendment

(11) Full engagement of industry in the (11) The implementation of Horizon Programme, at all levels from the Europe should respond to the evolving individual entrepreneur and small and opportunities and needs from citizens, medium-sized enterprises to large scale society, policy, science and technology enterprises, should constitute one of the and industry. Full engagement of industry main channels through which the in the Programme, at all levels from the Programme's objectives are to be realised, individual entrepreneur and small and specifically towards the creation of medium-sized enterprises to large scale sustainable jobs and growth. Industry enterprises, should constitute one of the should contribute to the perspectives and main channels through which the priorities established through the strategic Programme's objectives are to be realised, planning process which should support the specifically towards the creation of development of work programmes. Such sustainable jobs and growth. Industry and engagement by industry should see its civil society organisations should participation in the actions supported at contribute in a transparent way, also levels at least commensurate with those through multi-stakeholders consultations, under the previous framework programme to the perspectives and priorities Horizon 2020 established by Regulation established through the strategic planning (EU) No 1291/2013 of the European process which should support the Parliament and the Council1 ('Horizon development of work programmes. Such

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2020'). engagement by industry and civil society organisations 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 Council1 ('Horizon 2020') and should ensure that societal concerns and needs are addressed adequately, and that both economic and societal innovation is being pursued.

Amendment 11

Proposal for a regulation Recital 11 a (new)

Text proposed by the Commission Amendment

(11a) With due respect to the principle of excellence, new mechanisms and ways to engage new research and innovation actors in the Horizon Europe should be encouraged also at regional and local level. Cities and regions play an important role in the development and functioning of the European Research Area (ERA), being at the heart of regional innovation ecosystems, leading the ongoing dialogue between science and society and enabling the exploitation and dissemination of the results of the Programme. Moreover ways to activate research institutes of all sizes involved in European innovation chains and ways to encourage their participation at European level research projects should be supported.

Amendment 12

Proposal for a regulation Recital 12

Text proposed by the Commission Amendment

(12) It is important to support industry (12) It is important to support industry

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to stay or become world leader in to stay or become world leader in new innovation, digitisation and technologies and innovation, including in decarbonisation, notably through eco-innovation, resource and energy investments in key enabling technologies efficient processes, digitisation and that will underpin tomorrow's business. decarbonisation, notably through The Programme's actions should be used to investments in key enabling technologies address market failures or sub-optimal that will underpin tomorrow's business and investment situations, in a proportionate will also contribute to the transition manner, without duplicating or crowding towards a net-zero carbon Economy by out private financing and have a clear 2050. The Programme's actions should European added value. This will ensure support technological development consistency between the actions of the necessary to enforce the EU’s industry on programme and EU State aid rules, an increasingly competitive global market avoiding undue distortions of competition and be used to address market failures or in the internal market. sub-optimal investment situations, in a proportionate manner, without duplicating or crowding out private financing and have a clear European added value, fair return on investments and should also foster quality employment. This will ensure consistency between the actions of the programme and EU State aid rules, avoiding undue distortions of competition in the internal market.

Amendment 13

Proposal for a regulation Recital 12 a (new)

Text proposed by the Commission Amendment

(12a) SMEs constitute a significant source of innovation and growth in Europe. Therefore a strong participation of SMEs as defined in Commission Recommendation Commission Recommendation 2003/361/EC is needed in Horizon Europe.

Amendment 14

Proposal for a regulation Recital 14

Text proposed by the Commission Amendment

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(14) The Commission's Communication (14) The Commission's Communication on the interim evaluation of Horizon 2020 on the interim evaluation of Horizon 2020 (COM(2018) 2 final) has provided a set of (COM(2018) 2 final) has provided a set of recommendations for this Programme, recommendations for this Programme, including its Rules for participation and including its Rules for participation and dissemination, building on the lessons dissemination, building on the lessons learnt from the previous Programme as learnt from the previous Programme as well as input from EU institutions and well as input from EU institutions and stakeholders. Those recommendations stakeholders. Those recommendations include to invest more ambitiously in order include to invest more ambitiously and to reach critical mass and maximise effectively in order to reach critical mass impact; to support breakthrough and maximise impact; to support innovation; to prioritise Union research and breakthrough innovation; to prioritise innovation (R&I) investments in areas of Union research and innovation (R&I) high added value, notably through mission- investments in areas of high added value, orientation, citizen involvement and wide notably through mission-orientation, communication; to rationalise the Union citizen involvement and wide funding landscape, including by communication; to rationalise the Union streamlining the range of partnership funding landscape, including by initiatives and co-funding schemes; the streamlining the range of partnership development of more and concrete initiatives and co-funding schemes; the synergies between different Union funding development of more and concrete instruments, notably with the aim of synergies between different Union funding helping to mobilise under-exploited R&I instruments, notably with the aim of potential across the Union; to strengthen helping to mobilise under-exploited R&I international cooperation and reinforce potential across the Union; to strengthen openness to third countries' participation; international cooperation and reinforce and to continue simplification based on openness to third countries' participation; implementation experiences from Horizon and to continue simplification based on 2020. implementation experiences from Horizon 2020.

Amendment 15

Proposal for a regulation Recital 15

Text proposed by the Commission Amendment

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transfers from other Union programmes to avoiding overlaps and duplication and Horizon Europe activities can take place. increasing the leverage of Union funding, In such cases they will follow Horizon transfers from other Union programmes to Europe rules. Horizon Europe activities can take place, in justified cases, 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 deciding to make the transfer.

Amendment 16

Proposal for a regulation Recital 15 a (new)

Text proposed by the Commission Amendment

(15 a) Cohesion policy is already devoting a significant share to research and innovation and will continue to focus on these types of investments in the future as well. Therefore, special attention needs to be paid to the coordination and complementarity between the two Union policies.

Amendment 17

Proposal for a regulation Recital 16

Text proposed by the Commission Amendment

(16) In order to achieve the greatest (16) In order to achieve the greatest possible impact of Union funding and the possible impact of Union funding and the most effective contribution to the Union's most effective contribution to the Union's policy objectives, the Programme should policy objectives and fulfilment of its enter into European Partnerships with commitments, the Programme should enter private and/or public sector partners. Such into European Partnerships with private partners include industry, research and/or public sector partners. Such partners organisations, bodies with a public service include industry, producer groups where mission at local, regional, national or appropriate, research organisations, local international level, and civil society and regional authorities and other bodies organisations such as foundations that with a public service mission at local, support and/or carry out research and regional, national or international level, innovation, provided that desired impacts and both national and international civil can be achieved more effectively in society organisations such as foundations,

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partnership than by the Union alone. including 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. Territorial diversity should also be considered where appropriate, in order to exploit the potential of the different territories in the EU at its best.

Amendment 18

Proposal for a regulation Recital 17

Text proposed by the Commission Amendment

(17) The Programme should strengthen (17) The Programme should strengthen cooperation between European cooperation between European Partnerships and private and/or public Partnerships and private and/or public sector partners at the international level sector partners at the international level including by joining up research and including by joining up research and innovation programmes and cross-border innovation programmes and supporting investment in research and innovation European innovation ecosystems and bringing mutual benefits to people and cross-border investment in research and businesses while ensuring that the EU can innovation, with a particular focus on new uphold its interests in strategic areas14. technologies, bringing mutual benefits to people and businesses while ensuring that the EU can uphold its interests in strategic areas14. ______14 See e.g. the Commission's proposal for a 14 See e.g. the Commission's proposal for a regulation establishing a framework for regulation establishing a framework for screening Foreign Direct Investment into screening Foreign Direct Investment into the EU (COM (2017)487). the EU (COM (2017)487).

Amendment 19

Proposal for a regulation Recital 19

Text proposed by the Commission Amendment

(19) The pillar 'Open Innovation' (19) The pillar 'Innovative Europe' should establish a series of measures for should establish a series of measures for integrated support to the needs of integrated support to the needs of

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entrepreneurs and entrepreneurship aiming entrepreneurs and entrepreneurship aiming at realising and accelerating breakthrough at realising and accelerating breakthrough innovation for rapid market growth. It innovation for rapid market growth. It should attract innovative companies with should attract innovative companies, in potential for scaling up at international and particular SMEs and start-ups, with at Union level and offer fast, flexible potential for scaling up at international and grants and co-investments, including with at Union level and offer fast, flexible private investors. These objectives should grants and co-investments, including with be pursued through the creation of a private investors. These objectives should European Innovation Council (EIC). This be pursued through the creation of a Pillar should also support the European European Innovation Council (EIC). This Institute of Innovation and Technology Pillar should also support the European (EIT) and European innovation ecosystems Institute of Innovation and Technology at large, notably through co-funding (EIT) and European innovation ecosystems partnerships with national and regional at large, notably through co-funding innovation support actors. partnerships with national and also regional innovation support actors, in order to ensure the development of an overall Union capacity for innovation and excellence, aiming at the widest territorial coverage of funding under Horizon Europe Programme.

Amendment 20

Proposal for a regulation Recital 20

Text proposed by the Commission Amendment

(20) The policy objectives of this (20) The policy objectives of this Programme will be also addressed through Programme may be also addressed through financial instruments and budgetary financial instruments and budgetary guarantee under the policy windows of the guarantee under the policy windows of the InvestEU Fund. Financial support should InvestEU Fund. Financial support should be used to address market failures or sub- be used to address market failures or sub- optimal investment situations, in a optimal investment situations, in a proportionate manner and actions should proportionate and transparent manner and not duplicate or crowd out private actions should not duplicate or crowd out financing or distort competition in the private financing or distort competition in Internal market. Actions should have a the Internal market. Actions should have a clear European added value. clear European added value and decisively contribute to increasing the competitiveness of the EU, maximising the commercial and societal benefits of the results achieved through research and innovation and also facilitate quality

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employment.

Amendment 21

Proposal for a regulation Recital 22

Text proposed by the Commission Amendment

(22) Through EIC blended finance, the (22) Through EIC blended finance, the Accelerator should bridge the “valley of Accelerator should bridge the gap between death” between research, pre-mass research, pre-mass commercialisation and commercialisation and the scaling-up of the scaling-up of companies. In particular, companies. In particular, the Accelerator the Accelerator should provide support to should provide support to operations operations presenting such technological or presenting such technological or market market risks that they are not considered as risks that they are not considered as bankable and cannot leverage significant bankable and cannot leverage significant investments from the market, hence investments from the market, hence complementing the InvestEU programme complementing the InvestEU programme established by Regulation …15.. established by Regulation …15.. ______15 null

Amendment 22

Proposal for a regulation Recital 23

Text proposed by the Commission Amendment

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address global challenges, which includes address global challenges, which includes advanced digital and innovation skills. advanced digital and innovation skills. Support schemes provided by the EIT Local and regional authorities could should benefit to EIC beneficiaries, while contribute by supporting the creation and start-ups emerging from EIT KICs should operation of innovation groups. Support have access to EIC actions. While the schemes provided by the EIT should EIT’s focus on innovation ecosystems benefit to EIC beneficiaries, while start-ups should make it naturally fit within the pillar emerging from EIT KICs should have 'Open Innovation', the planning of its access to EIC actions. While the EIT’s KICs should be aligned through the focus on innovation ecosystems should strategic planning process with the pillar make it naturally fit within the pillar 'Global Challenges and Industrial ‘Innovative Europe’, the planning of its Competitiveness'. KICs should be aligned through the strategic planning process with the pillar 'Global Challenges and Industrial Competitiveness'.

Amendment 23

Proposal for a regulation Recital 25

Text proposed by the Commission Amendment

(25) The Programme should promote (25) The Programme should promote and integrate cooperation with third and integrate cooperation with third countries and international organisations countries and international organisations and initiatives based on common interest, and initiatives based on common interest, mutual benefit and global commitments to mutual benefits and global commitments to implement the UN SDGs. International implement the UN SDGs and the Paris cooperation should aim to strengthen the Agreement. International cooperation Union's research and innovation should aim to strengthen the Union's excellence, attractiveness and economic research and innovation excellence, and industrial competitiveness, to tackle including eco-innovation, attractiveness global challenges, as embodied in the UN and economic and industrial sustainability SDGs, and to support the Union's external and competitiveness, to tackle societal policies. An approach of general opening challenges, as embodied in the UN SDGs for international participation and targeted and the Paris Agreement, and to support international cooperation actions should be the Union's external policies. An approach followed, including through appropriate of general opening for fair access and eligibility for funding of entities international participation and targeted established in low to middle income international cooperation actions should be countries. At the same time, association of followed, including through appropriate third countries to the Programme should be eligibility for funding of entities promoted. established in low to middle income countries. At the same time, association of third countries to the Programme should be promoted. Where appropriate, synergies

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with other programmes implemented by the EU with third countries and international organisation should be established.

Amendment 24

Proposal for a regulation Recital 26

Text proposed by the Commission Amendment

(26) With the aim of deepening the (26) With the aim of deepening the relationship between science and society relationship between science and society and maximising benefits of their and maximising benefits of their interactions, the Programme should engage interactions across Europe, the Programme and involve citizens and civil society should engage and involve citizens, organisations in co-designing and co- academia, including universities and creating responsible research and research centres and civil society innovation agendas and contents, organisations in a partnership whose aim promoting science education, making is co-designing and co-creating responsible scientific knowledge publicly accessible, research and innovation agendas and and facilitating participation by citizens contents, promoting science education, and civil society organisations in its making scientific knowledge publicly activities. It should do so across the accessible, and facilitating participation by Programme and through dedicated citizens and civil society organisations in activities in the part 'Strengthening the its activities, as well as encouraging the European Research Area'. The engagement existence of fair remuneration systems for of citizens and civil society in research and researchers. It should do so across the innovation should be coupled with public Programme, including through multi- outreach activities to generate and sustain actor approach and through dedicated public support for the Programme. The activities in the part 'Strengthening the programme should also seek to remove European Research Area'. The programme barriers and boost synergies between “Science with and for Society” is a good science, technology, culture and the arts to example of building capacities and obtain a new quality of sustainable developing innovative ways of connecting innovation. science to society as well as making science more attractive. The engagement of citizens and civil society in research and innovation should be coupled with public outreach activities involving local and regional bodies and organisations to generate and sustain public support for the Programme and a communication strategy regarding research and innovation funding opportunities. The programme should also seek to remove barriers and boost synergies between science,

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technology, culture and the arts to obtain a new quality of sustainable innovation.

Amendment 25

Proposal for a regulation Recital 27

Text proposed by the Commission Amendment

(27) Pursuant to Article 349 of the (27) Pursuant to Article 349 of the TFEU, the Union's outermost regions are TFEU, the Union's outermost regions are entitled to specific measures (taking into entitled to specific measures (taking into account their structural, social and account their structural, social and economic situation) regarding access to economic situation) regarding access to horizontal Union programmes. The horizontal Union programmes. The Programme should therefore take into Programme should therefore take into account the specific characteristics of those account the specific characteristics of those regions in line with the Commission's regions in line with the Commission's Communication on 'A stronger and Communication on 'A stronger and renewed strategic partnership with the EU's renewed strategic partnership with the EU's outermost regions' (COM (2017) 623 final) outermost regions' (COM (2017) 623 final) as endorsed by the Council on 12 April as endorsed by the Council on 12 April 2018. 2018, and create an investment segment targeted at those regions.

Amendment 26

Proposal for a regulation Recital 28

Text proposed by the Commission Amendment

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Amendment 27

Proposal for a regulation Recital 29

Text proposed by the Commission Amendment

(29) In light of the specificities of the (29) Horizon Europe should focus defence industry sector, the detailed exclusively on civil research and provisions for Union funding to defence applications. Any defence research and research projects should be fixed in the innovation activities, including on Regulation … establishing the European civilian-military dual-use technologies, is Defence Fund16 which defines the rules of therefore expressly excluded under this participation for defence research. Programme. Under no circumstance Research and innovation activities carried should there be a structured cooperation out under the European Defence Fund between this programme and the European should have an exclusive focus on defence Defence Fund16 (EDF) nor should any applications. spending allocations under this Programme be transferred to the EDF. ______16

Amendment 28

Proposal for a regulation Recital 34

Text proposed by the Commission Amendment

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

Amendment 29

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Proposal for a regulation Recital 36

Text proposed by the Commission Amendment

(36) Coherence and synergies between (36) Coherence and synergies between Horizon Europe and the EU's Space Horizon Europe and the EU's Space Programme will foster a globally Programme will foster a globally competitive and innovative European space competitive and innovative European space sector; reinforce Europe’s autonomy in sector; reinforce Europe’s autonomy in accessing and using space in a secure and accessing and using space in a secure and safe environment; and strengthen Europe’s safe environment; and strengthen Europe’s role as a global actor. Breakthrough role as a global actor. Horizon Europe solutions in Horizon Europe will be should stimulate the participation of supported by data and services made industry and scientific communities in the available by the Space Programme. EU’s Space Programme while promoting technology transfer to other industry sectors and other fields of application. Breakthrough solutions in Horizon Europe will be supported by data and services made available by the Space Programme. It should boost the monitoring and coordination of the Space Programme’s activities in collaboration with the OECD, as well as partnerships with other international bodies promoting endogenisation, sharing of knowledge and national and European best practices for emerging technological developments.

Amendment 30

Proposal for a regulation Recital 41

Text proposed by the Commission Amendment

(41) Reflecting the importance of (41) Acknowledging climate change as tackling climate change in line with the one of the most important global Union's commitments to implement the challenges and reflecting the urgency of Paris Agreement and the United Nations responding to it in line with the Union's Sustainable Development Goals, this commitments to implement the Paris Programme will contribute to mainstream Agreement and the United Nations climate actions and to the achievement of Sustainable Development Goals, this an overall target of 25 % of the EU budget Programme should commit to eliminating expenditures supporting climate objectives. activities that are harmful to the climate and contribute to mainstream climate actions and to the achievement of an

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overall target of 30 % of the EU budget expenditures supporting climate objectives and the development of the circular economy, which will allow the Union to stay at the forefront of climate change fight. In order to address the European Court of Auditors recommendations [Report 31/2016], climate action targets could be laid out in the specific programme legislation and earmarked ex- ante through the programming.

Amendment 31

Proposal for a regulation Recital 41 a (new)

Text proposed by the Commission Amendment

(41a) Given the role of research, innovation and competitiveness within the Energy Union Framework the Horizon Europe Programme should be used to achieve the 2030 and longer term objectives established under the climate and energy framework. According plans should be laid out as part of the integrated national energy and climate plans (NECPs) as well as of the national long- strategies defined in the Regulation on the Governance of the Energy Union and Climate Action.

Amendment 32

Proposal for a regulation Recital 48

Text proposed by the Commission Amendment

(48) The current system of (48) The current system of reimbursement of actual personnel costs reimbursement of actual personnel costs should be further simplified building on the should be further simplified building on the project-based remuneration approach project-based remuneration approach developed under Horizon 2020 and further developed under Horizon 2020, being aligned to the Financial Regulation. necessary to promote fair remuneration systems for all scientists, researchers and

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staff engaged in projects within the consortium, and should be further aligned to the Financial Regulation.

Amendment 33

Proposal for a regulation Recital 51

Text proposed by the Commission Amendment

(51) The key elements of the proposal (51) The key elements of the proposal evaluation and selection system of the evaluation and selection system of the predecessor programme Horizon 2020 with predecessor programme Horizon 2020 with its particular focus on excellence should be its particular focus on excellence should be maintained. Proposals should continue to maintained, while ensuring, where be selected based on the evaluation made appropriate a more balanced by independent experts. Where relevant, geographical inclusion of the Member the necessity to ensure the overall States and regions. Proposals should coherence of the portfolio of projects continue to be selected based on the should be taken into account. evaluation made by independent experts stemming from as many Member states as possible. Where relevant, the necessity to ensure the overall coherence of the portfolio of projects should be taken into account. The selection of experts should take into account the need to ensure a multidisciplinary approach, including experts with social science and humanities background, gender equality and reflect a wide range of knowledge and views.

Amendment 34

Proposal for a regulation Recital 54

Text proposed by the Commission Amendment

(54) The types of financing and the (54) The types of financing and the methods of implementation under this methods of implementation under this Regulation shall be chosen on the basis of Regulation shall be chosen on the basis of their ability to achieve the specific their ability to achieve the specific objectives of the actions and to deliver objectives of the actions and to deliver results, taking into account, in particular, results, taking into account, in particular, the costs of controls, the administrative the costs of controls, the administrative

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burden, and the expected risk of non- burden, and the expected risk of non- compliance. For grants, this shall include compliance. For grants, which should consideration of the use of lump sums, flat continue to be the main source of rates and scales of unit costs. financing, this shall include consideration of the use of lump sums, where appropriate, flat rates and scales of unit costs.

Amendment 35

Proposal for a regulation Article 1 – paragraph 3 – point b

Text proposed by the Commission Amendment

(b) the specific programme on defence deleted research established by Regulation …/…/EU.

Justification

This is confusing and in contrast with other parts of the text, in particular paragraph 8 of Article 6. If 'Defence Research' is part of Horizon Europe, as paragraph 3. sub (b) indicates, then this is in sharp contrast with paragraph 8 of Article 6.

Amendment 36

Proposal for a regulation Article 2 – paragraph 1 – point 2

Text proposed by the Commission Amendment

(2) ‘smart specialisation strategy' has (2) 'smart specialisation strategy' the same meaning as smart specialisation means the national or regional innovation strategy as defined in Regulation (EU) No strategy which sets priorities through an 1303/2013 of the European Parliament Entrepreneurial Discovery Process, in and of the Council26 and fulfilling the order to build competitive advantage by enabling conditions set out in Regulation developing and matching research and (EU) XX [Common Provisions innovation own strengths and capacities Regulation]; to business and stakeholders’ needs, including the needs of regional and local authorities, and higher education institutions in order to address emerging opportunities and market developments in a coherent manner, while avoiding duplication and fragmentation of efforts and fulfilling the enabling conditions set

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out in Regulation (EU) XX[Common Provisions Regulation]; ______26 Regulation (EU) No 1303/2013 of the European Parliament and of the Council of 17 December 2013 laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund and laying down general provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council Regulation (EC) No 1083/2006.

Amendment 37

Proposal for a regulation Article 2 – paragraph 1 – point 3

Text proposed by the Commission Amendment

(3) “European Partnership” means an (3) “European Partnership” means an initiative where the Union, together with initiative where the Union, together with private and/or public partners (such as private and/or public partners (such as industry, research organisations, bodies industry, higher education institutions, with a public service mission at local, research organisations, local and regional regional, national or international level or authorities and other bodies with a public civil society organisations including service mission at local, regional, national foundations), commit to jointly support the or international level, or civil society development and implementation of a organisations such as foundations, programme of research and innovation including regional innovation ecosystems, activities, including those related to where appropriate, commit to jointly market, regulatory or policy uptake; support the development and implementation of a programme of research and innovation activities, including those related to market, regulatory or policy uptake;

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Amendment 38

Proposal for a regulation Article 2 – paragraph 1 – point 3 a (new)

Text proposed by the Commission Amendment

(3a) “European Research Area (ERA)” means an unified area where scientific knowledge, technology and researchers circulate freely and in which cities and regions play an important role, contributing to the achievement of the Union objective of strengthening the knowledge society and becoming a world leading, sustainable, competitive and resilient economy;

Amendment 39

Proposal for a regulation Article 2 – paragraph 1 – point 3 b (new)

Text proposed by the Commission Amendment

(3b) “European Innovation Ecosystem” means a bottom-up cooperation of quadruple helix actors from at least three different member states, which combine resources to develop scalable solutions for global challenges. European Innovation Ecosystems are a key driver for interregional collaboration and enhance the critical mass of European innovation in a particular economic sector or scientific field.”

Amendment 40

Proposal for a regulation Article 2 – paragraph 1 – point 3 c (new)

Text proposed by the Commission Amendment

(3c) “Regional innovation ecosystem” means public and private quadruple helix

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actors (academia, industry, government, and civil society) organised at regional or local level. These actors, where appropriate working in close synergy with the EIT Innovation Communities, coordinate research, innovation, and education activities, and accelerate the dissemination between them of results, knowledge transfers, innovation and development of new economic activities and services creating sustainable jobs, while being close to the citizens and their local needs;

Amendment 41

Proposal for a regulation Article 2 – paragraph 1 – point 4

Text proposed by the Commission Amendment

(4) 'open access' means the practice of (4) 'open access' means the practice of providing online access to research outputs providing online access to research outputs resulting from actions funded under the resulting from actions funded under the Programme, in particular scientific Programme, in particular scientific publications and research data, free of publications and research data, free of charge to the end-user; charge and in a non-discriminatory manner to the end-user;

Amendment 42

Proposal for a regulation Article 2 – paragraph 1 – point 5

Text proposed by the Commission Amendment

(5) 'mission' means a portfolio of (5) 'mission' means a portfolio of actions intended to achieve a measurable actions, which can be cross- goal within a set timeframe, and impact for cluster, intended to achieve a measurable science and technology and/or society and goal within a set timeframe, and impact for citizens that could not be achieved through science and technology and/or society and individual actions; citizens that could not be achieved through individual actions;

Amendment 43

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Proposal for a regulation Article 2 – paragraph 1 – point 17 a (new)

Text proposed by the Commission Amendment

(17a) 'SME' means micro-, small- and medium-sized enterprises, as defined in Commission Recommendation 2003/361/EC;

Amendment 44

Proposal for a regulation Article 2 – paragraph 1 – point 19

Text proposed by the Commission Amendment

(19) “seal of excellence” means a (19) “seal of excellence” means a certified label which shows that a proposal certified label which shows that a proposal submitted to a call for proposals exceeded submitted to a call for proposals exceeded all of the thresholds set out in the work all of the thresholds set out in the work programme, but could not be funded due to programme, and could not be funded due lack of budget available to that call in the to lack of budget available to that call in work programme; the work programme;

Amendment 45

Proposal for a regulation Article 3 – paragraph 1

Text proposed by the Commission Amendment

1. The Programme’s general objective 1. The Programme’s general objective is to deliver scientific, economic and is to deliver scientific, economic, societal societal impact from the Union’s and climate impact from the Union’s investments in research and innovation so investments in research and innovation as to strengthen the scientific and across the Union so as to strengthen the technological bases of the Union and foster scientific and technological bases of the its competitiveness, including in its Union as a whole and foster its industry, deliver on the Union strategic competitiveness, also in the outermost priorities, and contribute to tackling global regions, mountainous regions and those challenges, including the Sustainable with a demographic deficit, including in its Development Goals. industry; it should also contribute to the creation of quality employment, deliver on the Union strategic priorities, objectives and commitments, and commit to tackling

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global challenges, including the Sustainable Development Goals and those embodied in the Paris Agreement, as well as to contribute to the strengthening of the European Research Area (ERA).

Amendment 46

Proposal for a regulation Article 3 – paragraph 2 – point a

Text proposed by the Commission Amendment

(a) to support the creation and (a) to support the creation, diffusion diffusion of high-quality new knowledge, and adoption of high-quality new skills, technologies and solutions to global knowledge, skills, technologies, advanced challenges; studies and solutions which allow adequate answers to global societal challenges, including climate change and diminish the gap in research and innovation between the different regions of the EU;

Amendment 47

Proposal for a regulation Article 3 – paragraph 2 – point b

Text proposed by the Commission Amendment

(b) to strengthen the impact of research (b) to strengthen the EU added value and innovation in developing, supporting of RDI funding and the impact of research and implementing Union policies, and and innovation in developing, supporting support the uptake of innovative solutions and implementing Union policies, in industry and society to address global including cohesion policy, objectives and challenges; in fulfilling commitments, in particular the UN SDGs and the Paris agreement, as well as to support the uptake of innovative solutions in industry, with a focus on SMEs, and society to address global challenges and significantly improve the quality of life of citizens;

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Amendment 48

Proposal for a regulation Article 3 – paragraph 2 – point c

Text proposed by the Commission Amendment

(c) to foster all forms of innovation, (c) to foster all forms of innovation, including breakthrough innovation, and including incremental, breakthrough, strengthen market deployment of technological, social and cultural innovative solutions; innovation, contributing to strengthen market deployment of innovative knowledge and solutions;

Amendment 49

Proposal for a regulation Article 3 – paragraph 2 – point c a (new)

Text proposed by the Commission Amendment

(ca) to foster transdisciplinary and multi-actor approaches, involving industry, civil society, academia, citizens industry and the public sector, also in less developed regions and in those with low population density;

Amendment 50

Proposal for a regulation Article 3 – paragraph 2 – point d a (new)

Text proposed by the Commission Amendment

(da) to support researchers excellence, researcher mobility, fundamental frontier research, European research collaboration and strengthening international collaboration and networking.

Amendment 51

Proposal for a regulation Article 4 – paragraph 1 – point 1

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Text proposed by the Commission Amendment

(1) Pillar I ‘Open Science’, pursuing (1) Pillar I ‘Excellent and Open the specific objective set out in Article Science’, pursuing the specific objective 3(2)(a) and also supporting specific set out in Article 3(2)(a) and also objectives set out in Article 3(2)(b) and (c), supporting specific objectives set out in with the following components: Article 3(2)(b) and (c), with the following components:

Amendment 52

Proposal for a regulation Article 4 – paragraph 1 – point 2 – point e

Text proposed by the Commission Amendment

(e) cluster 'Food and Natural (e) cluster 'Agriculture, Food and Resources'; Natural Resources';

Amendment 53

Proposal for a regulation Article 4 – paragraph 1 – point 3

Text proposed by the Commission Amendment

(3) Pillar III ‘Open Innovation’, (3) Pillar III ‘Innovative Europe’, pursuing the specific objective set out in pursuing the specific objective set out in Article 3(2)(c) and also supporting the Article 3(2)(c) and also supporting the specific objectives set out in Article 3(2)(a) specific objectives set out in Article 3(2)(a) and (b), with the following components: and (b), with the following components:

Amendment 54

Proposal for a regulation Article 4 – paragraph 1 – point 4 – point a

Text proposed by the Commission Amendment

(a) sharing excellence; (a) sharing excellence and widening participation, including for third country researchers, where appropriate;

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Amendment 55

Proposal for a regulation Article 4 – paragraph 1 – point 4 – point b

Text proposed by the Commission Amendment

(b) reforming and enhancing the (b) reforming and enhancing the European R&I System. European Research and Innovation system with a focus on young researchers.

Amendment 56

Proposal for a regulation Article 5

Text proposed by the Commission Amendment

Article 5 deleted 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. 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).

Justification

No need for keeping this article which essentially repeats what is already written in Article 1, paragraph 4.

Amendment 57

Proposal for a regulation Article 6 – paragraph 2

Text proposed by the Commission Amendment

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2. The Programme may provide 2. The Programme may provide funding to indirect actions in any of the funding to indirect actions in any of the forms laid down in the Financial forms laid down in the Financial Regulation, in particular grants (including Regulation, primarily grants (including operating grants), prizes and procurements. operating grants), which shall provide the It may also provide financing in the form main form of support under the of financial instruments within blending Programme, prizes and procurements. It operations. may also provide financing in the form of financial instruments within blending operations. The Programme shall enable beneficiaries to apply for funding quickly and shall ensure transparency and traceability of public funding in order to safeguard the interests of the EU.

Amendment 58

Proposal for a regulation Article 6 – paragraph 6

Text proposed by the Commission Amendment

6. The implementation of the specific 6. The implementation of the specific programme29 shall be based on a programme29 shall be based on a transparent and strategic multiannual transparent, inclusive and strategic planning of research and innovation multiannual planning of research and activities, in particular for the pillar 'Global innovation activities, in particular for the Challenges and Industrial pillar 'Global Challenges and Industrial Competitiveness', following consultations Competitiveness', following consultations with stakeholders about priorities and the with stakeholders about priorities and the suitable types of action and forms of suitable types of action and forms of implementation to use. This shall ensure implementation to use. This shall ensure alignment with other relevant Union alignment with other relevant Union programmes. programmes. ______29 … 29 …

Amendment 59

Proposal for a regulation Article 6 – paragraph 7

Text proposed by the Commission Amendment

7. Horizon Europe activities shall be 7. Horizon Europe activities shall be primarily delivered through calls for primarily delivered through calls for

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proposals, some of which organised as proposals, also organised as parts of parts of missions and European missions and European Partnerships. Partnerships.

Amendment 60

Proposal for a regulation Article 6 – paragraph 8

Text proposed by the Commission Amendment

8. Research and innovation activities 8. Within the framework of carried out under Horizon Europe shall excellence, research and innovation have a focus on civil applications. activities carried out under Horizon Europe shall have a focus on civil applications and where appropriate shall also consider the territorial diversity.

Amendment 61

Proposal for a regulation Article 6 – paragraph 8 a (new)

Text proposed by the Commission Amendment

8a. The Programme shall promote a multi-disciplinary, including social sciences and humanities, approach and shall strengthen the support component for open collaborative research activities across the EU.

Amendment 62

Proposal for a regulation Article 6 – paragraph 8 b (new)

Text proposed by the Commission Amendment

8b. The Programme shall aim at better coordination and synergies with the ESI Funds, also with a view to stimulating opportunities of ‘excellence for all’ and allowing for a more effective and balanced geographical distribution of support for research and innovation

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activities across the EU.

Amendment 63

Proposal for a regulation Article 6 – paragraph 9

Text proposed by the Commission Amendment

9. The Programme shall ensure the 9. The Programme shall ensure the effective promotion of gender equality and effective promotion of gender equality and the gender dimension in research and the gender dimension in research and innovation content. Particular attention innovation content, by addressing the shall be paid to ensuring gender balance, underlying causes of gender imbalance, subject to the situation in the field of including the gender pay gap, and by research and innovation concerned, in exploiting the full potential of both female evaluation panels and in bodies such as and male researchers. Gender balance expert groups. shall be promoted, subject to the specific situation in the field of research and innovation concerned, in evaluation panels and in other advisory bodies such as expert groups.

Amendment 64

Proposal for a regulation Article 7 – paragraph 3 – point a

Text proposed by the Commission Amendment

(a) have a clear EU-added value and (a) have a clear EU-added value and contribute to reaching Union priorities; contribute to reaching Union priorities and objectives, as well as fulfil Union commitments;

Amendment 65

Proposal for a regulation Article 7 – paragraph 3 – point b

Text proposed by the Commission Amendment

(b) be bold and inspirational, and hence (b) be bold and inspirational, and hence have wide societal or economic relevance; have wide societal, scientific, economic or where appropriate territorial relevance;

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Amendment 66

Proposal for a regulation Article 7 – paragraph 3 – point d

Text proposed by the Commission Amendment

(d) be centered on ambitious but (d) be centered on ambitious, realistic research and innovation activities; excellence-driven, but realistic research and innovation activities across various stages of development, involving fundamental and applied research as appropriate;

Amendment 67

Proposal for a regulation Article 7 – paragraph 3 – point e

Text proposed by the Commission Amendment

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

Amendment 68

Proposal for a regulation Article 7 – paragraph 3 – point f

Text proposed by the Commission Amendment

(f) be open to multiple, bottom-up (f) be open to multiple, bottom-up solutions. approaches and technical solutions, as well as involve S3 based national and regional innovation ecosystems where applicable;

Amendment 69

Proposal for a regulation Article 7 – paragraph 3 – point f a (new)

Text proposed by the Commission Amendment

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(fa) be selected on the basis of an open and transparent process;

Amendment 70

Proposal for a regulation Article 7 – paragraph 3 – point f b (new)

Text proposed by the Commission Amendment

(fb) be subject to an independent evaluation, with common quality criteria, for the purpose of accountability.

Amendment 71

Proposal for a regulation Article 8 – paragraph 1 – point c

Text proposed by the Commission Amendment

(c) participation in and financial (c) participation in and financial contribution to research and innovation contribution to research and innovation programmes undertaken by several programmes undertaken by several Member States in accordance with Article Member States in accordance with Article 185 TFEU, or by bodies established 185 TFEU, or by bodies established pursuant to Article 187 TFEU, such as pursuant to Article 187 TFEU, such as Joint Undertakings, or by the EIT Joint Undertakings, innovation groups, or Knowledge and Innovation Communities by the EIT Knowledge and Innovation in compliance with the [EIT Regulation] Communities in compliance with the [EIT (Institutionalised European Partnerships), Regulation] (Institutionalised European to be implemented only where other forms Partnerships), to be implemented only of European Partnerships would not where other forms of European achieve the objectives or would not Partnerships would not achieve the generate the necessary expected impacts, objectives or would not generate the and if justified by a long-term perspective necessary expected impacts, and if justified and high degree of integration including by a long-term perspective and high degree central management of all financial of integration including central contributions. management of all financial contributions.

Amendment 72

Proposal for a regulation Article 8 – paragraph 2 – point a a (new)

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Text proposed by the Commission Amendment

(aa) Shall be developed, where appropriate, in coherence with S3 based national and regional innovation ecosystem and existing value chains networks within Smart Specialisation Thematic Platforms;

Amendment 73

Proposal for a regulation Article 8 – paragraph 2 – point b

Text proposed by the Commission Amendment

(b) Adhere to the principles of Union (b) Adhere to the principles of Union added value, transparency, openness, added value, transparency, openness, impact, leverage effect, long-term financial impact, leverage effect, harmonious commitment of all the involved parties, development long-term financial flexibility, coherence and complementarity commitment of all the, involved parties, with Union, local, regional national and flexibility, coherence, compatibility and international initiatives; complementarity with Union, local, regional, national and international initiatives;

Amendment 74

Proposal for a regulation Article 9 – paragraph 2 – point a

Text proposed by the Commission Amendment

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

Amendment 75

Proposal for a regulation Article 9 – paragraph 2 – point b – point 5

Text proposed by the Commission Amendment

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

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Justification

The proposed fifth cluster “Food and Natural Resources” specifically addresses agriculture- related issues. Given the high importance of agriculture in the fifth cluster, the title should reflect this fact.

Amendment 76

Proposal for a regulation Article 9 – paragraph 2 – point c

Text proposed by the Commission Amendment

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

Amendment 77

Proposal for a regulation Article 9 – paragraph 2 – point c – point 1

Text proposed by the Commission Amendment

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

Amendment 78

Proposal for a regulation Article 9 – paragraph 4

Text proposed by the Commission Amendment

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studies, meetings of experts, information expenses relating to the meetings of and communication actions, in so far as experts, information and communication they are related to the objectives of the actions, in so far as they are related to the Programme, as well as expenses linked to objectives of the Programme, increasing information technology networks focusing the visibility of the programme, as well as on information processing and exchange, expenses linked to information technology including corporate information technology networks focusing on information tools and other technical and administrative processing and exchange, including assistance needed in connection with the corporate information technology tools, management of the Programme. and other relevant expenses relating to technical and administrative assistance needed in connection with the management of the Programme.

Amendment 79

Proposal for a regulation Article 9 – paragraph 5

Text proposed by the Commission Amendment

5. If necessary, appropriations may be 5. If agreed by the budgetary entered in the budget beyond 2027 to cover authority, appropriations may be entered in the expenses provided for in paragraph 4, the budget beyond 2027 to cover the to enable the management of actions not expenses provided for in paragraph 4, to completed by 31 December 2027. enable the management of actions not completed by 31 December 2027.

Amendment 80

Proposal for a regulation Article 9 – paragraph 8

Text proposed by the Commission Amendment

8. Resources allocated to Member 8. Resources allocated to Member States under shared management and States under shared management from the transferrable in accordance with Article European Regional Development Fund 21 of Regulation (EU) XX […Common (ERDF) and the European Social Fund + Provisions Regulation] may, at their (ESF+) may, in justified cases, at the request, be transferred to the Programme. request of a Member State, be transferred The Commission shall implement those to specific projects under the Programme, resources directly in accordance with point under the condition that they contribute to (a) of Article 62(1) of the Financial the objectives of the programme from Regulation or indirectly in accordance with which the transfer stems. The Commission point (c) of that Article. Where possible, shall implement those resources directly in those resources shall be used for the benefit accordance with point (a) of Article 62(1)

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of the Member State concerned. of the Financial Regulation or indirectly in accordance with point (c) of that Article. Those resources shall be used for the benefit of the Member State concerned.

Amendment 81

Proposal for a regulation Article 9 – paragraph 9

Text proposed by the Commission Amendment

9. Horizon Europe is designed to be 9. Horizon Europe shall be implemented in synergy with other Union implemented in synergy with other Union funding programmes. A non-exhaustive list funding programmes. A non-exhaustive list of synergies with other Union funding of synergies with other Union funding programmes is included in Annex IV. programmes is included in Annex IV of this regulation.

Amendment 82

Proposal for a regulation Article 10 – paragraph 1

Text proposed by the Commission Amendment

1. Open access to scientific 1. Open and non-discriminatory publications resulting from research funded access to scientific publications resulting under the Programme shall be ensured in from research funded under the Programme accordance with Article 35(3). Open access shall be ensured in accordance with Article to research data shall be ensured in line 35(3). Open access to research data shall with the principle 'as open as possible, as take into account the competitiveness and closed as necessary'. Open access to other economic interests of the EU, intellectual research outputs shall be encouraged. property rights and the protection and confidentiality of personal data. Reciprocal open access to research outputs shall be laid down in the association and cooperation agreements with third countries.

Amendment 83

Proposal for a regulation Article 10 – paragraph 3

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Text proposed by the Commission Amendment

3. Open science practices beyond 3. Open science practices beyond open access to research outputs and open access to research outputs and responsible management of research data responsible management of research data shall be promoted. shall be promoted both within the EU and at a larger scale.

Amendment 84

Proposal for a regulation Article 11 – paragraph 1 – point b

Text proposed by the Commission Amendment

(b) they comply with the minimum (b) they comply with the quality quality requirements of that call for requirements of that call for proposals; proposals;

Amendment 85

Proposal for a regulation Article 11 – paragraph 1 –subparagraph 2

Text proposed by the Commission Amendment may receive support from the European may receive support, on a voluntary basis, Regional Development Fund, the Cohesion from the European Regional Development Fund, the European Social Fund+ or the Fund, the European Social Fund+ or the European Agricultural Fund for Rural European Agricultural Fund for Rural Development, in accordance with Development, in accordance with paragraph 5 of Article [67] of Regulation paragraph 5 of Article [67] of Regulation (EU) XX [Common Provisions Regulation] (EU) XX [Common Provisions Regulation] and Article [8] or Regulation (EU) XX and Article [8] or Regulation (EU) XX [Financing, management and monitoring of [Financing, management and monitoring of the Common Agricultural Policy], the Common Agricultural Policy], under provided that such actions are consistent the conditions that they contribute to the with the objectives of the programme objectives of the Funds, where the concerned. The rules of the Fund providing funding stems from; and provided that support shall apply. such actions are consistent and in line with the objectives of the programme concerned. The rules of the Fund providing support shall apply, with the exception of the co-financing rate, where the co-financing rate of the Programme shall apply.

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Amendment 86

Proposal for a regulation Article 12 – paragraph 1 – point d – subparagraph 1 – point ii

Text proposed by the Commission Amendment

(ii) commitment to a rules-based open (ii) commitment to a rules-based open market economy, including fair and market economy, including respect of equitable dealing with intellectual property human rights and rule of law, as well as rights, backed by democratic institutions; fair and equitable dealing with intellectual property rights, backed by democratic institutions;

Amendment 87

Proposal for a regulation Article 12 – paragraph 1 – point d – subparagraph 2 – indent 3

Text proposed by the Commission Amendment

– does not confer to the third country – does not confer to the third country a decisional power on the programme; a coordinating or decisional power on the programme;

Amendment 88

Proposal for a regulation Article 12 – paragraph 1 – point d – subparagraph 2 – indent 4

Text proposed by the Commission Amendment

– guarantees the rights of the Union – guarantees the rights of the Union to ensure sound financial management and to ensure sound financial management and to protect its financial interests. to protect its financial, scientific and social interests.

Amendment 89

Proposal for a regulation Article 12 – paragraph 2

Text proposed by the Commission Amendment

2. The scope of association of each 2. The scope of association of each

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third country to the Programme shall take third country to the Programme shall take into account the objective of driving into account the objective of driving economic growth in the Union through economic, cultural, social or innovation. Accordingly, with the environmental development in the Union exception of EEA members, acceding through research and innovation. countries, candidate countries and potential Accordingly, with the exception of EEA candidates, parts of the Programme may be members, acceding countries, candidate excluded from an association agreement countries and potential candidates, parts of for a specific country. the Programme may be excluded from an association agreement for a specific country.

Amendment 90

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

Text proposed by the Commission Amendment

(ca) activities or research intended for defence or military purposes, including civilian-military dual-use technologies.

Amendment 91

Proposal for a regulation Article 15 – paragraph 1 – subparagraph 2

Text proposed by the Commission Amendment

Particular attention shall be paid to the Particular attention shall be paid to the principle of proportionality, the right to principle of proportionality, the right to privacy, the right to the protection of privacy, the right to the protection of personal data, the right to the physical and personal data, the right to the physical and mental integrity of a person, the right to mental integrity of a person, the right to non-discrimination and the need to ensure non-discrimination, gender equality and high levels of human health protection. the need to ensure high levels of human health protection.

Amendment 92

Proposal for a regulation Article 15 – paragraph 3

Text proposed by the Commission Amendment

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3. Proposals shall be systematically 3. Proposals shall be systematically screened to identify those actions raising screened to identify those actions raising complex or serious ethics issues and complex or serious ethics issues and submit them to an ethics assessment. The submit them to an ethics assessment. The ethics assessment shall be carried out by ethics assessment shall be carried out by the Commission unless it is delegated to the Commission unless it is delegated to the funding body. For actions involving the the funding body. For actions involving the use of human embryonic stem cells or use of human embryonic stem cells or human embryos, an ethics assessment shall human embryos, an ethics assessment shall be mandatory. Ethics screenings and be mandatory. Ethics screenings and assessments shall be carried out with the assessments shall be carried out with the support of ethics experts. The Commission support of independent ethics experts. The and the funding bodies shall ensure the Commission and the funding bodies shall transparency of the ethics procedures as ensure the transparency of the ethics much as possible. procedures as much as possible.

Amendment 93

Proposal for a regulation Article 15 – paragraph 5 – subparagraph 2

Text proposed by the Commission Amendment

Ethics checks shall be carried out with the Ethics checks shall be carried out with the support of ethics experts. support of independent ethics experts.

Amendment 94

Proposal for a regulation Article 15 – paragraph 6

Text proposed by the Commission Amendment

6. Actions which are not ethically 6. Actions which are not ethically acceptable may be rejected or terminated at acceptable shall be immediately rejected or any time. terminated.

Amendment 95

Proposal for a regulation Article 16 – paragraph 8

Text proposed by the Commission Amendment

8. Actions which do not comply with 8. Actions which do not comply with security rules may be rejected or security rules shall be immediately rejected

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terminated at any time. or terminated.

Amendment 96

Proposal for a regulation Article 20 – paragraph 5

Text proposed by the Commission Amendment

5. The work programme shall specify 5. The work programme shall specify calls for which "Seals of Excellence" will calls for which "Seals of Excellence" will be awarded. With prior authorisation from be awarded. With prior authorisation from the applicant, information concerning the the applicant, information concerning the application and the evaluation may be application and the evaluation shall be shared with interested financing shared with national/regional interested authorities, subject to the conclusion of financing authorities, subject to the confidentiality agreements. conclusion of confidentiality agreements. With prior authorisation from the applicant, information concerning the ownership of Seal of Excellence may be also shared on a public database.

Amendment 97

Proposal for a regulation Article 21 – paragraph 2

Text proposed by the Commission Amendment

In the case of a joint call, joint procedures In the case of a joint call, joint procedures shall be established for selection and shall be established for selection and evaluation of proposals. The procedures evaluation of proposals. The procedures shall involve a balanced group of experts shall involve a balanced group of appointed by each party. independent experts appointed by each party.

Amendment 98

Proposal for a regulation Article 25 – paragraph 1 – point b

Text proposed by the Commission Amendment

(b) impact; (b) economic, societal, scientific and/or climate impact;

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Amendment 99

Proposal for a regulation Article 25 – paragraph 1 – point c a (new)

Text proposed by the Commission Amendment

(ca) where appropriate, their contribution to the achievement of the EU objectives and commitments.

Amendment 100

Proposal for a regulation Article 25 – paragraph 3

Text proposed by the Commission Amendment

(3) The work programme shall lay (3) The work programme shall lay down further details of the application of down further details of the application of the award criteria laid down in paragraph the award criteria laid down in paragraph 1, and may specify weightings and 1, including territorial impact, where thresholds. relevant.

Amendment 101

Proposal for a regulation Article 26 – paragraph 1 – subparagraph 1 – indent 1

Text proposed by the Commission Amendment

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

Amendment 102

Proposal for a regulation Article 26 – paragraph 1 – subparagraph 2

Text proposed by the Commission Amendment

The evaluation committee may be assisted The evaluation committee shall be assisted by independent experts. by independent experts.

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Amendment 103

Proposal for a regulation Article 26 – paragraph 2 – subparagraph 2

Text proposed by the Commission Amendment

The evaluation committee may also The evaluation committee may also propose any substantial adjustments to the propose any substantial adjustments to the proposals in as far as needed for the proposals in as far as needed for the consistency of the portfolio. consistency of the portfolio. The evaluation committee shall ensure the existence of a procedure for making enquiries or complaints. Enquiries shall be answered within a maximum of 30 days. The evaluation committee shall ensure a multidisciplinary approach.

Amendment 104

Proposal for a regulation Article 28 – paragraph 1 – point b a (new)

Text proposed by the Commission Amendment

(ba) Time to grant should not affect the quality of evaluation.

Amendment 105

Proposal for a regulation Article 30 – paragraph 2 – point a

Text proposed by the Commission Amendment

(a) innovation actions: up to 70 % of (a) innovation actions: up to 70% of the total eligible costs, except for non- the total eligible costs, except for non- profit legal entities where the Programme profit legal entities, secondary and higher may reimburse up to 100 % of the total education establishments, research eligible costs; organisations and SMEs, where the Programme may reimburse up to 100 % of the total eligible costs;

Amendment 106

Proposal for a regulation

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Article 34 – paragraph 2

Text proposed by the Commission Amendment

2. Beneficiaries having received 2. Beneficiaries having received Union funding shall adequately protect Union funding shall adequately protect their results if protection is possible and their results in compliance with the justified, taking into account all relevant existing intellectual property law, if considerations, including the prospects for protection is possible and justified, taking commercial exploitation. When deciding into account all relevant considerations, on protection, beneficiaries shall also including the prospects for commercial consider the legitimate interests of the exploitation. When deciding on protection, other beneficiaries in the action. beneficiaries shall also consider the legitimate interests of the other beneficiaries in the action.

Amendment 107

Proposal for a regulation Article 39 – paragraph 4

Text proposed by the Commission Amendment

4. The work programme or rules of 4. The work programme or rules of contest may include obligations regarding contest shall include obligations regarding communication, exploitation and communication, visibility, exploitation and dissemination. dissemination.

Amendment 108

Proposal for a regulation Article 42 – paragraph 5

Text proposed by the Commission Amendment

5. Horizon Europe and EIC blended 5. Horizon Europe and EIC blended finance shall be provided in a manner that finance shall be provided in a manner that does not distort competition. does not distort competition and that increases the competitiveness of the EU.

Amendment 109

Proposal for a regulation Article 43 – paragraph 4 – second indent

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Text proposed by the Commission Amendment

– impact; – impact including territorial impact;

Amendment 110

Proposal for a regulation Article 43 – paragraph 7 – subparagraph 2

Text proposed by the Commission Amendment

The Commission may reject a proposal The Commission may reject a proposal retained by independent experts for retained by independent experts for justified reasons, including compliance justified reasons, including non- with the objectives of Union policies. compliance with the objectives of Union policies.

Amendment 111

Proposal for a regulation Article 43 – paragraph 10 – subparagraph 1

Text proposed by the Commission Amendment

The contract for the selected action shall The contract for the selected action shall establish specific milestones and the establish specific measurable milestones corresponding pre-financing and payments and the corresponding pre-financing and by instalments of the EIC blended finance. payments by instalments of the EIC blended finance.

Amendment 112

Proposal for a regulation Article 43 – paragraph 11 – subparagraph 1

Text proposed by the Commission Amendment

In accordance with the contract, the action In accordance with the contract, the action shall be suspended, amended or terminated shall be suspended, amended or terminated if milestones are not met. It may also be if measurable milestones are not met. It terminated where the expected market may also be terminated where the expected deployment cannot be met. market deployment cannot be met.

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Amendment 113

Proposal for a regulation Article 44 – paragraph 1

Text proposed by the Commission Amendment

1. By derogation from Article 237(3) 1. By derogation from Article 237(3) of the Financial Regulation, external of the Financial Regulation, independent experts may be selected without a call for external experts may be selected without a expressions of interest, if justified and the call for expressions of interest, if duly selection is carried out in a transparent justified and the selection is carried out in a manner. transparent manner. Independent experts shall be chosen on the basis of their proven competence and knowledge..

Amendment 114

Proposal for a regulation Article 44 – paragraph 2

Text proposed by the Commission Amendment

2. In accordance with Article 237(2) 2. In accordance with Article 237(2) and 237(3) of the Financial Regulation, and 237(3) of the Financial Regulation, external experts shall be remunerated based external experts shall be remunerated based on standard conditions. If justified, an on standard conditions. If justified, an appropriate level of remuneration beyond appropriate level of remuneration beyond the standard conditions based on relevant the standard conditions based on relevant market standards, especially for specific market standards, especially for specific high level experts, may be granted. high level experts, may be granted. The Commission shall communicate annually the level of remuneration of independent experts to the European Parliament and to the Council.

Amendment 115

Proposal for a regulation Article 44 – paragraph 3

Text proposed by the Commission Amendment

3. In addition to paragraphs 2 and 3 of 3. In addition to paragraphs 2 and 3 of Article 38 of the Financial Regulation, the Article 38 of the Financial Regulation, the names of external experts evaluating grant names of independent external experts applications, who are appointed in a evaluating grant applications, who are

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personal capacity shall be published, appointed in a personal capacity shall be together with their area of expertise, at published, together with their area of least once a year on the internet site of the expertise, at least once a year on the Commission or the funding body. Such internet site of the Commission or the information shall be collected, processed funding body. Such information shall be and published in accordance with the EU collected, processed and published in data protection rules. accordance with the EU data protection rules.

Amendment 116

Proposal for a regulation Article 45 – paragraph 3

Text proposed by the Commission Amendment

3. The performance reporting system 3. The performance reporting system shall ensure that data for monitoring shall ensure that data for monitoring programme implementation and results are programme implementation and results are collected efficiently, effectively and in a collected efficiently, effectively and on timely manner. To that end, proportionate annual basis. To that end, proportionate reporting requirements shall be imposed on reporting requirements shall be imposed on recipients of Unions funds and (where recipients of Unions funds and (where relevant) Member States. relevant) Member States.

Amendment 117

Proposal for a regulation Article 46 – paragraph 1

Text proposed by the Commission Amendment

1. The recipients of Union funding 1. The recipients of Union funding shall acknowledge the origin and ensure shall acknowledge the origin and ensure the visibility of the Union funding (in the visibility of the Union funding (in particular when promoting the actions and particular when promoting the actions and their results) by providing coherent, their results) by providing clear, coherent, effective and proportionate targeted effective and proportionate targeted information to multiple audiences, information to multiple audiences, including the media and the public. including the media and the public.

Amendment 118

Proposal for a regulation Article 46 – paragraph 2

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Text proposed by the Commission Amendment

2. The Commission shall implement 2. The Commission shall develop an information and communication actions information and communication strategy relating to the Programme, and its actions and shall implement information and and results. Financial resources allocated to communication actions relating to the the Programme shall also contribute to the Programme, its added value, actions and corporate communication of the political results. These actions shall be developed priorities of the Union, as far as they are in partnership with national regional and related to the objectives referred to in local authorities and shall aim at raising Article 3. awareness and visibility as well as at promoting cooperation and exchanges of experience and synergies. 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.

Amendment 119

Proposal for a regulation Article 47 – paragraph 1

Text proposed by the Commission Amendment

1. Programme evaluations shall be 1. Programme evaluations shall be carried out in a timely manner to feed into carried out every two years to feed into the the decision-making process on the decision-making process on the programme, its successor and other programme, its successor and other initiatives relevant to research and initiatives relevant to research and innovation. innovation.

Amendment 120

Proposal for a regulation Article 47 – paragraph 2

Text proposed by the Commission Amendment

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include an assessment of the long-term include an assessment of the long-term impact of previous Framework impact of previous Framework Programmes and shall form the basis to Programmes and shall form the basis to adjust programme implementation adjust programme implementation programme implementation, as programme implementation, as appropriate. appropriate. It shall assess programme’s effectiveness, efficiency, relevance, coherence and EU added value with the aim to improve the quality of the design and implementation of the programme.

Amendment 121

Proposal for a regulation Article 47 – paragraph 3

Text proposed by the Commission Amendment

3. At the end of the implementation of 3. At the end of the implementation of the Programme, but no later than four the Programme, by 30 June 2029, a final years after the end of the period specified evaluation of the Programme shall be in Article 1, a final evaluation of the completed by the Commission. It shall Programme shall be completed by the include an assessment of the long-tern Commission. It shall include an assessment impact of previous Framework of the long-tern impact of previous Programmes. Framework Programmes

Amendment 122

Proposal for a regulation Article 47 – paragraph 3 – point a (new)

Text proposed by the Commission Amendment

(a) Programme evaluation shall contain impact assessment of the transferred funds from other programmes demonstrating added value of the transfer and contribution to the common objectives, where appropriate.

Amendment 123

Proposal for a regulation Article 47 – paragraph 3 – point b (new)

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Text proposed by the Commission Amendment

(b) The Commission shall align the evaluation methods across different programmes contributing to the Programme and apply common rules of evaluation.

Amendment 124

Proposal for a regulation Article 47 – paragraph 3 – point c (new)

Text proposed by the Commission Amendment

(c) Results of evaluation should be published on the website of the Commission and widely disseminated via all possible media.

Amendment 125

Proposal for a regulation Article 50 – paragraph 4

Text proposed by the Commission Amendment

4. Before adopting a delegated act, the 4. Before adopting a delegated act, the Commission shall consult experts Commission shall consult independent designated by each Member State in experts designated by each Member State accordance with the principles laid down in in accordance with the principles laid down the Interinstitutional Agreement on Better in the Interinstitutional Agreement on Law-Making of 13 April 2016. Better Law-Making of 13 April 2016.

Amendment 126

Proposal for a regulation

Annex I – paragraph 1 – title

Text proposed by the Commission Amendment

Pillar I 'Open Science'. Pillar I 'Excellent and Open Science’

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Amendment 127

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

Text proposed by the Commission Amendment

Areas of intervention: Nurturing excellence Areas of intervention: Nurturing excellence through mobility of researchers across through mobility of researchers across borders, sectors and disciplines; fostering borders, sectors and disciplines through new skills through excellent training of exchange of good practices; fostering new researchers; strengthening human capital skills through lifelong excellent training of and skills development across the researchers and taking into account European Research Area; improving and developments of new technologies; facilitating synergies; promoting public strengthening human capital and skills outreach. development across the European Research Area, with special attention to less developed regions; improving and facilitating synergies; promoting public outreach.

Amendment 128

Proposal for a regulation Annex I – paragraph 1 – point c – subparagraph 2

Text proposed by the Commission Amendment

Research Infrastructures: Endowing Research Infrastructures: Endowing Europe with world-class sustainable Europe with world-class sustainable research infrastructures which are open, research infrastructures which permanently and accessible to the best researchers from keep up pace with new technologies, Europe and beyond. In so doing the which are open, and accessible to the best potential of the infrastructure to support researchers from Europe and beyond. In so scientific advance and innovation, and to doing the potential of the infrastructure to enable open science, will be enhanced, support scientific advance and innovation, alongside activities in related Union policy and to enable open science, will be and international cooperation. enhanced, alongside activities in related Union policies, including cohesion policy and international cooperation.

Amendment 129

Proposal for a regulation Annex I – point 2 – paragraph 1

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Text proposed by the Commission Amendment

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

Amendment 130

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

Amendment 131

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 (b) Cluster 'Inclusive and secure society': Strengthening European society': Strengthening European democratic values, including rule of law democratic values, including rule of law and fundamental rights, safeguarding our and fundamental rights, safeguarding and cultural heritage, and promoting socio- promoting our cultural heritage, and economic transformations that contribute promoting socio-economic transformations to inclusion and growth, while responding that contribute to inclusion and growth,

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to the challenges arising from persistent including migration management, while security threats, including cybercrime, as responding to the challenges arising from well as natural and man-made disasters. persistent security threats, including cybercrime, as well as natural and man- made disasters.

Amendment 132

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

Amendment 133

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 (d) Cluster 'Climate, Energy and Mobility': Fighting climate change by Mobility': Fighting climate change by better understanding its causes, evolution, better understanding its causes, evolution, risks, impacts and opportunities, and risks, impacts and opportunities, ; and by making the energy and transport sectors by making the energy and transport sectors more climate and environment-friendly, more climate and environment-friendly, more efficient and competitive, smarter, more resource and energy efficient, safer and more resilient. competitive, smarter, safer and more resilient; and promoting the use of renewable energy and the circular economy in order to achieve 2050 low- carbon economy goals.

Amendment 134

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

Text proposed by the Commission Amendment

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Areas of intervention: Climate science and Areas of intervention: Climate science and solutions; Energy supply; Energy systems solutions; Energy supply; Energy systems and grids; Buildings and industrial and grids; Buildings and industrial facilities in energy transition; Communities facilities in energy transition; energy and cities; Industrial competitiveness in efficient buildings; Renewable Energy; transport; Clean transport and mobility; Communities and cities; Remote and Smart mobility; Energy storage. outermost regions; Oceans; Industrial competitiveness and/or sustainability in transport; Clean transport and mobility; Smart mobility, including low and zero- emission vehicles and refuel and recharging infrastructure deployment; cross-border interconnection; Energy storage.

Amendment 135

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 (e) Cluster 'Agriculture, Food and resources': Protecting, restoring, Natural resources': Protecting, restoring, sustainably managing and using natural sustainably managing and using natural and biological resources from land and sea and biological resources from land and to address food and nutrition security and water to address food and nutrition security the transition to a low carbon, resource and the transition to a low carbon, resource efficient circular economy. efficient circular economy.

Justification

The proposed fifth cluster “Food and natural Resources” specifically addresses agriculture- related issues. Given the high importance of agriculture in the fifth cluster, the title should reflect this fact. Also "sea" is a narrow term when water includes all the aquatic environments.

Amendment 136

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

Text proposed by the Commission Amendment

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areas; Sea and oceans; Food systems; Bio- areas; Sea and oceans; Food systems and based innovation systems; Circular systems natural resources management; Bio-based innovation systems; Circular systems

Amendment 137

Proposal for a regulation Annex I – paragraph 2 – point f – subparagraph 2

Text proposed by the Commission Amendment

Areas of intervention: Health; resilience Areas of intervention: Health; resilience and security; digital and industry; climate, and security; digital and industry; climate, energy and mobility; food and natural energy and mobility; food and natural resources; support to the functioning of the resources; support to the functioning of the internal market and the economic internal market and the economic governance of the Union; support to governance of the Union; support to Member States with implementation of Member States with implementation of legislation and development of smart legislation and development of smart specialisation strategies; analytical tools specialisation strategies and where and methods for policy making; knowledge appropriate, assistance to strengthen their management; knowledge and technology “stairway to excellence”; analytical tools transfer; support to science for policy and methods for policy making; knowledge platforms. management; knowledge and technology transfer through specialised networks or exchange of good practices; support to science for policy platforms.

Amendment 138

Proposal for a regulation Annex I – paragraph 3 – title

Text proposed by the Commission Amendment

Pillar III 'Open Innovation'. Pillar III 'Innovative Europe

Amendment 139

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

Text proposed by the Commission Amendment

European Innovation Council: promoting European Innovation Council: promoting breakthrough innovation with scale-up breakthrough and incremental innovation

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potential at global level including non-technological and social innovation with scale-up potential at global level

Amendment 140

Proposal for a regulation Annex I – paragraph 3 – point a – subparagraph 2

Text proposed by the Commission Amendment

Areas of intervention: Pathfinder, Areas of intervention: Pathfinder, supporting future and emerging supporting future and emerging breakthrough technologies; Accelerator, breakthrough technologies; supporting all bridging the financing gap between late forms of excellence and innovation; stages of innovation activities and market Accelerator, bridging the financing gap take-up, to effectively deploy breakthrough between late stages of innovation activities market creating innovation and scale up and market take-up, to effectively deploy companies where the market does not breakthrough market creating innovation provide viable financing, and; additional and scale up companies where the market activities such as prizes and fellowships, does not provide viable financing, and; and business added-value services. additional activities such as prizes and fellowships, and business added-value services.

Amendment 141

Proposal for a regulation Annex I – paragraph 3 – point b – subparagraph 1

Text proposed by the Commission Amendment

Areas of intervention: Connecting with Areas of intervention: Connecting with regional and national innovation actors and regional and national innovation actors and supporting the implementation of joint supporting the implementation of research, cross-border innovation programmes by including research closer to the market Member States and associated countries, and joint cross-border innovation from the enhancement of soft skills for programmes by Member States and innovation to research and innovation associated countries, from the enhancement actions, to boost the effectiveness of the of soft skills for innovation to research and European innovation system. This will innovation actions, to boost the complement the ERDF support for effectiveness of the European innovation innovation eco-systems and interregional system. This will complement the ERDF partnerships around smart specialisation support for innovation eco-systems and topics. interregional partnerships around smart specialisation topics and will increase the impact of research and innovation

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activities on growth and jobs across regions and cities.

Amendment 142

Proposal for a regulation Annex I – paragraph 3 – point c – subparagraph 1

Text proposed by the Commission Amendment

Areas of intervention: Strengthen Areas of intervention: Strengthen sustainable innovation ecosystems across sustainable innovation hubs and Europe; Fostering the development of ecosystems across Europe; Fostering the entrepreneurial and innovation skills in a development of entrepreneurial and lifelong learning perspective and support innovation skills in a lifelong learning the entrepreneurial transformation of EU perspective and support the entrepreneurial universities; Bring new solutions to global transformation of EU higher education societal challenges to the market; institutions; Bring new solutions to global Synergies and value added within Horizon societal challenges to the market; Europe Synergies and value added within Horizon Europe and with other Union instruments and policies

Amendment 143

Proposal for a regulation Annex I – paragraph 4 – subparagraph 1

Text proposed by the Commission Amendment

Through the following activities, this part Through the following activities, this part will, in line with Article 4, optimise the will, in line with Article 4, optimise the Programme's delivery for increased impact Programme's delivery for increased impact within a strengthened European Research within a strengthened European Research Area. It will also support the Programme's Area. It will also support the Programme's other specific objectives as described in other specific objectives as described in Article 3. While underpinning the entire Article 3. While underpinning the entire Programme, this part will support activities Programme, this part will support activities that contribute to a more knowledge-based that contribute to a more territorial and innovative and gender-equal Europe, at balanced knowledge-based and innovative the front edge of global competition, and gender-equal Europe, at the front edge thereby optimising national strengths and of global competition, thereby optimising potential across Europe in a well national strengths and potential across performing European Research Area Europe in a well performing European (ERA), where knowledge and a highly Research Area (ERA), where knowledge skilled workforce circulate freely, where and a highly skilled workforce circulate the outcomes of R&I are understood and freely, where the outcomes of R&I are

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trusted by informed citizens and benefit understood and trusted by informed society as a whole, and where EU policy, citizens and benefit society as a whole, and notably R&I policy, is based on high where EU policy, notably R&I policy, is quality scientific evidence. based on high quality scientific evidence.

Amendment 144

Proposal for a regulation Annex I – paragraph 4 – subparagraph 2

Text proposed by the Commission Amendment

Areas of intervention: Sharing Excellence; Areas of intervention: Spreading Reforming and enhancing the European Excellence; Reforming and enhancing the R&I system. European R&I system.

Amendment 145

Proposal for a regulation Annex II – paragraph 2 – indent 10

Text proposed by the Commission Amendment

– Inducement prize: prize to spur – Inducement prize: prize to spur investment in a given direction, by investment in a given direction, by specifying a target prior to the performance specifying a target prior to the performance of the work; of the work, as well as to stimulate attracting researchers to the European area,

Amendment 146

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

Text proposed by the Commission Amendment

(a) Evidence that the European (a) Evidence that the European Partnership is more effective in achieving Partnership is more effective in achieving the related objectives of the Programme, in the related objectives of the Programme, in particular in delivering clear impacts for particular in delivering clear impacts for the EU and its citizens, notably in view of the EU and its citizens, in creating spill delivering on global challenges and over effects on the economy and society, research and innovation objectives, notably in view of delivering on global securing EU competitiveness and challenges and research and innovation contributing to the strengthening of the objectives, securing EU competitiveness

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European Research and Innovation Area and contributing to the strengthening of the and international commitments; European Research and Innovation Area and international commitments;

Amendment 147

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

Text proposed by the Commission Amendment

In the case of institutionalised European In the case of institutionalised European Partnerships established in accordance with Partnerships established in accordance with Article 185 TFEU, the participation of at Article 185 TFEU, the participation of at least 50% of the EU Member States is least 50% of the EU Member States is mandatory; recommended;

Amendment 148

Proposal for a regulation Annex III – paragraph 1 – point 1 – point d – indent 1

Text proposed by the Commission Amendment

– identification of measurable – identification of performance expected outcomes, deliverables and indicators, measurable expected outcomes, impacts within specific timeframes, deliverables and impacts within specific including key economic value for Europe; timeframes, including key economic value for Europe;

Amendment 149

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

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Amendment 150

Proposal for a regulation Annex III – paragraph 1 – point e

Text proposed by the Commission Amendment

(e) Ex-ante demonstration of the (e) Ex-ante demonstration of the partners’ long term commitment, including partners’ long term commitment, including a minimum share of public and/or private a minimum share of public and/or private investments; In the case of institutionalised investments; In the case of institutionalised European Partnerships, the financial and/or European Partnerships, the financial and/or in-kind, contributions from partners other in-kind, contributions from partners other than the Union, will at least be equal to than the Union, will at least be equal to 50% and may reach up to 75% of the 50% and may reach up to 75% of the aggregated European Partnership aggregated European Partnership budgetary commitments. For each budgetary commitments. institutionalised European Partnership, a share of the contributions from partners other than the Union will be in the form of financial contributions.

Amendment 151

Proposal for a regulation Annex III – paragraph 2 – point c

Text proposed by the Commission Amendment

(c) Coordination and/or joint activities (c) Coordination and/or joint activities with other relevant research and innovation with other relevant research and innovation initiatives ensuring effective synergies; Initiatives, including those developed under cohesion policy programmes, ensuring effective synergies;

Amendment 152

Proposal for a regulation Annex III – paragraph 2 – point d

Text proposed by the Commission Amendment

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

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Amendment 153

Proposal for a regulation Annex III – paragraph 3 – point b

Text proposed by the Commission Amendment

(b) Dedicated reporting on quantitative (b) Dedicated reporting on quantitative and qualitative leverage effects, including and qualitative leverage effects with other on financial and in-kind contributions, instruments, including on financial and/or visibility and positioning in the in-kind contributions, visibility and international context, impact on research positioning in the international context, and innovation related risks of private impact on research and innovation related sector investments. risks of private sector investments.

Amendment 154

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

Text proposed by the Commission Amendment

(a) arrangements for combined funding (a) arrangements for combined funding from ERDF and Programme are used to from ERDF and Programme are used to support activities providing a bridge support activities, like Stairway to between smart specialisation strategies and Excellence, providing a bridge between international excellence in research and smart specialisation strategies and innovation, including joint trans- international excellence in research and regional/trans-national programmes and innovation, including joint trans- pan European Research Infrastructure, with regional/trans-national programmes and the aim of strengthening the European pan European Research Infrastructure, with Research Area, the aim of strengthening the European Research Area,

Amendment 155

Proposal for a regulation Annex IV – paragraph 3 – point b

Text proposed by the Commission Amendment

(b) the ERDF focuses amongst others (b) the ERDF focuses amongst others on the development and strengthening of on ‘regional relevance’ (diffusion of regional and local research and innovation existing knowledge and technology, ecosystems and industrial transformation, embedding it locally via smart including support to the take -up of results specialization strategies, building local and the rolling out of novel technologies and regional innovation systems), but also

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and innovative solutions from the on financing new knowledge and Framework Programmes for research and breakthrough innovations and the innovation through the ERDF development and strengthening of regional and local research and innovation ecosystems and industrial transformation, including support to the take -up of results and the rolling out of novel technologies and innovative solutions from the Framework Programmes for research and innovation through the ERDF

Amendment 156

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

Text proposed by the Commission Amendment

(ba) development of interregional innovative value chain based on existing S3 regional ecosystems, enhancing S3 platform networks;

Amendment 157

Proposal for a regulation Annex IV – paragraph 4 – point a a (new)

Text proposed by the Commission Amendment

(aa) In order to optimise synergies between the Programme and the ERDF and ESF+, the provision of support for operations that have already received a Seal of Excellence certification under Programme should be facilitated and should be exempted from the double evaluation process.

Amendment 158

Proposal for a regulation Annex IV – paragraph 4 – point b

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Text proposed by the Commission Amendment

(b) arrangements for complementary (b) arrangements for complementary funding from ESF+ can be used to support funding from ESF+ can be used to support activities promoting human capital activities promoting human capital development in research and innovation development in research and innovation with the aim of strengthening the European and social innovation with the aim of Research Area; strengthening the European Research Area;

Amendment 159

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

Text proposed by the Commission Amendment

(a) Synergies with national Programmes will benefit common objectives and common areas for activities. Those synergies should be achieved through key mechanisms, including the recognition of flat rates for eligible costs from Horizon Europe for similar operation and the possibility of combining funding from national resources.

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PROCEDURE – COMMITTEE ASKED FOR OPINION

Opinion by REGI Date announced in plenary 5.7.2018

Rapporteur Lambert van Nistelrooij Date appointed 20.6.2018 Discussed in committee 27.9.2018 Date adopted 25.10.2018

Result of final vote +: 36 –: 1 0: 1

Members present for the final vote Pascal Arimont, Franc Bogovič, Victor Boştinaru, Mercedes Bresso, Andrea Cozzolino, Rosa D’Amato, Tamás Deutsch, Aleksander Gabelic, Iratxe García Pérez, Michela Giuffrida, Ivan Jakovčić, Marc Joulaud, Constanze Krehl, Louis-Joseph Manscour, Martina Michels, Iskra Mihaylova, Andrey Novakov, Younous Omarjee, Konstantinos Papadakis, Mirosław Piotrowski, Stanislav Polčák, Liliana Rodrigues, Fernando Ruas, Monika Smolková, Ruža Tomašić, Ramón Luis Valcárcel Siso, Ángela Vallina, Monika Vana, Matthijs van Miltenburg, Lambert van Nistelrooij, Derek Vaughan, Kerstin Westphal Substitutes present for the final vote Daniel Buda, Raffaele Fitto, Elsi Katainen, Ivana Maletić, Bronis Ropė, Milan Zver

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FINAL VOTE BY ROLL CALL IN COMMITTEE ASKED FOR OPINION

36 +

ALDE Ivan Jakovčić, Elsi Katainen, Iskra Mihaylova, Matthijs van Miltenburg

ECR Raffaele Fitto, Mirosław Piotrowski, Ruža Tomašić

EFDD Rosa D'Amato

GUE/NGL Martina Michels, Younous Omarjee, Ángela Vallina

PPE Pascal Arimont, Franc Bogovič, Daniel Buda, Marc Joulaud, Ivana Maletić, Lambert van Nistelrooij, Andrey Novakov, Stanislav Polčák, Fernando Ruas, Ramón Luis Valcárcel Siso, Milan Zver,

S&D Victor Boştinaru, Mercedes Bresso, Andrea Cozzolino, Aleksander Gabelic, Iratxe García Pérez, Michela Giuffrida, Constanze Krehl, Louis-Joseph Manscour, Liliana Rodrigues, Monika Smolková, Derek Vaughan, Kerstin Westphal

VERTS/ALE Bronis Ropė, Monika Vana

1 -

NI Konstantinos Papadakis

1 0

PPE Tamás Deutsch

Key to symbols: + : in favour - : against 0 : abstention

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29.10.2018

OPINION OF THE COMMITTEE ON AGRICULTURE AND RURAL DEVELOPMENT

for the Committee on Industry, Research and Energy

Rapporteur for opinion: Elsi Katainen

SHORT JUSTIFICATION

The rapporteur welcomes the Horizon Europe Programme proposal by the Commission and the increased funding especially for the Food and Natural Resources’ innovations. The Horizon Europe Programme is a key element for boosting the competitiveness of the EU globally and supporting the economic growth of the EU. Horizon Europe, directed to support scientific breakthroughs and innovative products and services, will help Europe to tackle the current challenges, such as climate change, and at the same time, it creates business opportunities.

The allocated funding of 10 billion EUR is much needed to meet the UN Sustainable Development Goals such as SG 2 - No Hunger. The rapporteur insists maintaining the funding at least at the proposed level of 10 billion EUR. However, if the overall budget of the Horizon Europe is to be increased the Food and Natural Resources cluster funding has to increase proportionally.

The rapporteur thinks that the AGRI Committee can offer the most valuable contribution on the fifth cluster “Food and Natural Resources”, which specifically addresses agriculture- related issues. Therefore, the rapporteur would like to propose adding the word ‘agriculture’ to the title. The rapporteur would like to remind that the clusters of the second pillar “Global challenges and Industrial competitiveness” are not separate but contribute all to each other’s specific areas. In addition, the rapporteur underlines the importance of the basic research funded under the first pillar “Open Science” as it also plays an important role in the process of creating innovations for bio-circular economy, which is a step forward from circular economy.

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The seven specified areas of contribution in the cluster five cover the main elements contributing to innovations regarding food and natural resources. The rapporteur would still like to remind that the limiting the scope only to the sea and oceans as proposed on the area No. 4 leaves the fresh waters out of the scope. The rapporteur would like to add fresh waters to the context, as they are an important part of the aquatic territorial. The rapporteur welcomes the inclusion of the forestry in the areas of intervention, as forestry is a great example of the promotion of the bio circular economy.

A multiannual Strategic Planning, in which the synergy with other EU programmes must be taken into account, will ensure the implementation of Horizon Europe’s programme-level objectives in an integrated manner. The rapporteur finds it crucially important that the synergies are guaranteed and for example in the fifth cluster the specific objectives of the Common Agricultural Policy should be included. She would still like underline that even the objectives should be harmonised the budgets allocated should remain separate in between different policy programs.

The rapporteur would like to propose a mission for the second pillar. The proposed mission is “Carbon neutral, resilient, nutritious and zero-waste food systems by 2035”. This mission can be supported by other clusters and has a great spin off potential to create innovations in various sectors. The Europe needs to find alternative ways to shift towards climate-smart agriculture and sustainable use of natural resources. One key element is to reduce and eventually cut off waste and efficiently use the side-streams and waste from industrial production chains.

AMENDMENTS

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

Amendment 1

Proposal for a regulation Recital 1

Text proposed by the Commission Amendment

(1) It is the Union's objective to (1) It is the Union's objective to strengthen its scientific and technological strengthen its scientific and technological bases and encourage its competitiveness, bases and encourage its competitiveness, including in its industry, while promoting including in its industry and agriculture, all research and innovation activities to while promoting all research and deliver on the Union's strategic priorities, innovation activities to deliver on the which ultimately aim at promoting peace, Union's strategic priorities, which the Union's values and the well-being of its ultimately aim at promoting peace, the

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peoples. Union's values and the well-being of its peoples.

Amendment 2

Proposal for a regulation Recital 2 a (new)

Text proposed by the Commission Amendment

(2 a) Helping the rural areas meet the wide range of economic, environmental and social challenges of the 21st century is one of the key challenges for Europe. This priority addresses the territorial dimension of R&I activities in primary production and the food and bio-based industries, most of which are located in rural areas. R&I activities through Horizon Europe should aim at better capitalisation of territorial assets, taking account of long term drivers to open new sustainable avenues for business, services and value chains in support of rural communities, promoting new partnerships between producers, processors, retailers and society.

Amendment 3

Proposal for a regulation Recital 2 b (new)

Text proposed by the Commission Amendment

(2 b) R&I activities in relation to food and nutrition security are essential. Horizon Europe should look for food system approaches to tackle the inherent links between ecosystems, food production, the food chain and consumer health and wellbeing.

Amendment 4

Proposal for a regulation

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Recital 8

Text proposed by the Commission Amendment

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

Justification

Amendment 5

Proposal for a regulation Recital 10 a (new)

Text proposed by the Commission Amendment

(10 a) The importance of agriculture should be stressed, with its interrelationship between the environment and human health.

Amendment 6

Proposal for a regulation Recital 11

Text proposed by the Commission Amendment

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(11) Full engagement of industry in the (11) Full engagement of industry in the Programme, at all levels from the Programme, at all levels from the individual entrepreneur and small and individual entrepreneur and small and medium-sized enterprises to large scale medium-sized enterprises to large scale enterprises, should constitute one of the enterprises and producer groups, should main channels through which the constitute one of the main channels Programme's objectives are to be realised, through which the Programme's objectives specifically towards the creation of are to be realised, specifically towards the sustainable jobs and growth. Industry creation of sustainable jobs and growth. should contribute to the perspectives and Industry should contribute to the priorities established through the strategic perspectives and priorities established planning process which should support the through the strategic planning process development of work programmes. Such which should support the development of engagement by industry should see its work programmes. Such engagement by participation in the actions supported at industry should see its participation in the levels at least commensurate with those actions supported at levels at least under the previous framework programme commensurate with those under the Horizon 2020 established by Regulation previous framework programme Horizon (EU) No 1291/2013 of the European 2020 established by Regulation (EU) No Parliament and the Council 1291/2013 of the European Parliament and the Council ('Horizon 2020').

Amendment 7

Proposal for a regulation Recital 23

Text proposed by the Commission Amendment

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start-ups emerging from EIT KICs should should benefit to EIC beneficiaries, while have access to EIC actions. While the start-ups emerging from EIT KICs should EIT’s focus on innovation ecosystems have access to EIC actions. While the should make it naturally fit within the pillar EIT’s focus on innovation ecosystems 'Open Innovation', the planning of its KICs should make it naturally fit within the pillar should be aligned through the strategic 'Open Innovation', the planning of its KICs planning process with the pillar 'Global should be aligned through the strategic Challenges and Industrial planning process with the pillar 'Global Competitiveness'. Challenges and Industrial Competitiveness'.

Amendment 8

Proposal for a regulation Recital 26

Text proposed by the Commission Amendment

(26) With the aim of deepening the (26) With the aim of deepening the relationship between science and society relationship between science and society and maximising benefits of their and maximising benefits of their interactions, the Programme should engage interactions, the Programme should and involve citizens and civil society actively and systematically engage and organisations in co-designing and co- involve citizens and civil society creating responsible research and organisations in co-designing and co- innovation agendas and contents, creating responsible research and promoting science education, making innovation agendas and contents, scientific knowledge publicly accessible, promoting science education, making and facilitating participation by citizens scientific knowledge publicly accessible, and civil society organisations in its and facilitating participation by citizens activities. It should do so across the and civil society organisations in its Programme and through dedicated activities. It should do so across the activities in the part 'Strengthening the Programme, through multi-actor European Research Area'. The engagement approaches, and through dedicated of citizens and civil society in research and activities in the part 'Strengthening the innovation should be coupled with public European Research Area'. The engagement outreach activities to generate and sustain of citizens and civil society in research and public support for the Programme. The innovation should be coupled with public programme should also seek to remove outreach activities to generate and sustain barriers and boost synergies between public support for the Programme. The science, technology, culture and the arts to programme should also seek to remove obtain a new quality of sustainable barriers and boost synergies between innovation. science, technology, culture and the arts to obtain a new quality of sustainable innovation;

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Amendment 9

Proposal for a regulation Article 3 – paragraph 1

Text proposed by the Commission Amendment

1. The Programme’s general objective 1. The Programme’s general objective is to deliver scientific, economic and is to deliver scientific, economic and societal impact from the Union’s societal impact from the Union’s investments in research and innovation so investments in research and innovation so as to strengthen the scientific and as to strengthen the scientific and technological bases of the Union and foster technological bases of the European its competitiveness, including in its Research Area and foster its industry, deliver on the Union strategic competitiveness, including in its industry, priorities, and contribute to tackling global research excellence and fundamental challenges, including the Sustainable research, deliver on the Union strategic Development Goals. priorities, and contribute to tackling global challenges, including the Sustainable Development Goals.

Amendment 10

Proposal for a regulation Article 3 – paragraph 2 – point a

Text proposed by the Commission Amendment

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

Amendment 11

Proposal for a regulation Article 3 – paragraph 2 – point a a (new)

Text proposed by the Commission Amendment

(a a) to achieve a territorially balanced approach all over the EU concerning tenders;

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Justification

Amendment 12

Proposal for a regulation Article 3 – paragraph 2 – point b

Text proposed by the Commission Amendment

(b) to strengthen the impact of research (b) to strengthen the role of research and innovation in developing, supporting and innovation in developing, supporting and implementing Union policies, and and implementing Union policies, and support the uptake of innovative solutions support the uptake of research outcomes in industry and society to address global and innovative solutions in industry and challenges; society to address global challenges;

Amendment 13

Proposal for a regulation Article 3 – paragraph 2 – point c

Text proposed by the Commission Amendment

(c) to foster all forms of innovation, (c) to foster all forms of innovation, including breakthrough innovation, and including breakthrough innovation, and strengthen market deployment of strengthen market deployment of innovative solutions; innovative solutions consistent with the aims of sustainable development;

Amendment 14

Proposal for a regulation Article 3 – paragraph 2 – point d a (new)

Text proposed by the Commission Amendment

(d a) to promote research excellence, researcher mobility and strengthening

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international collaboration.

Amendment 15

Proposal for a regulation Article 4 – paragraph 1 – point 1 – introductory part

Text proposed by the Commission Amendment

(1) Pillar I 'Open Science', pursuing the (1) Pillar I 'Open and Excellent specific objective set out in Article 3(2)(a) Science', pursuing the specific objective set and also supporting specific objectives set out in Article 3(2)(a) and also supporting out in Article 3(2)(b) and (c), with the specific objectives set out in Article 3(2)(b) following components: and (c), with the following components:

Amendment 16

Proposal for a regulation Article 4 – paragraph 1 – point 2 – point e

Text proposed by the Commission Amendment

(e) cluster 'Food and Natural (e) cluster 'Agriculture, Food and Resources'; Natural Resources';

Amendment 17

Proposal for a regulation Article 7 – paragraph 3 – point a

Text proposed by the Commission Amendment

(a) have a clear EU-added value and (a) have a clear EU-added value and contribute to reaching Union priorities; contribute to reaching Union priorities and the Sustainable Development Goals;

Amendment 18

Proposal for a regulation Article 7 – paragraph 3 – point d

Text proposed by the Commission Amendment

(d) be centered on ambitious but (d) be centered on ambitious,

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realistic research and innovation activities; excellence-driven and realistic research and innovation activities across all stages of development;

Amendment 19

Proposal for a regulation Article 9 – paragraph 2 – point b – point 5

Text proposed by the Commission Amendment

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

Amendment 20

Proposal for a regulation Article 10 – paragraph 1

Text proposed by the Commission Amendment

1. Open access to scientific 1. Open access to scientific publications resulting from research funded publications resulting from research funded under the Programme shall be ensured in under the Programme shall be ensured in accordance with Article 35(3). Open access accordance with Article 35(3). Open access to research data shall be ensured in line to research data underlying published with the principle 'as open as possible, as research findings shall be ensured in line closed as necessary'. Open access to other with the principle 'as open as possible, as research outputs shall be encouraged. closed as necessary'. Open access to other research outputs and other relevant research data shall be encouraged.

Amendment 21

Proposal for a regulation Article 29 – paragraph 3

Text proposed by the Commission Amendment

3. The action may also be terminated 3. Following consultation with where expected results have lost their independent experts and provided relevance for the Union due to scientific, sufficient notice is given to beneficiaries, technological or economic reasons, the action may also be terminated where including in the case of EIC and missions, expected results have lost their relevance their relevance as part of a portfolio of for the Union due to scientific,

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actions. technological or economic reasons, including in the case of EIC and missions, their relevance as part of a portfolio of actions.

Amendment 22

Proposal for a regulation Article 44 – paragraph 1

Text proposed by the Commission Amendment

1. By derogation from Article 237(3) 1. By derogation from Article 237(3) of the Financial Regulation, external of the Financial Regulation, external experts may be selected without a call for experts may be selected without a call for expressions of interest, if justified and the expressions of interest, only if a call for selection is carried out in a transparent expressions of interest has not identified manner. suitable external experts. Any selection of external experts without a call for expressions of interest must be duly justified and the selection is carried out in a transparent manner.

Amendment 23

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

Text proposed by the Commission Amendment

Areas of intervention: Environmental Areas of intervention: Environmental observation; Biodiversity and natural observation; Biodiversity and natural capital; Agriculture, forestry and rural capital; Agriculture, forestry and rural areas; Sea and oceans; Food systems; Bio- areas; fishing, aquaculture, sea and based innovation systems; Circular systems oceans; Food systems; Bio-based innovation systems; Circular systems

Amendment 24

Proposal for a regulation Annex III – paragraph 1 – point 1 – point e – introductory part

Text proposed by the Commission Amendment

(e) Ex-ante demonstration of the (e) Ex-ante demonstration of the partners’ long term commitment, including partners’ long term commitment, including

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a minimum share of public and/or private a minimum share of public and/or private investments; contributions;

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PROCEDURE – COMMITTEE ASKED FOR OPINION

Opinion by AGRI Date announced in plenary 14.6.2018

Rapporteur Elsi Katainen Date appointed 4.7.2018 Date adopted 22.10.2018

Result of final vote +: 32 –: 1 0: 8

Members present for the final vote John Stuart Agnew, Clara Eugenia Aguilera García, Eric Andrieu, Daniel Buda, Nicola Caputo, Matt Carthy, Michel Dantin, Paolo De Castro, Albert Deß, Diane Dodds, Jørn Dohrmann, Herbert Dorfmann, Norbert Erdős, Luke Ming Flanagan, Martin Häusling, Anja Hazekamp, Esther Herranz García, Peter Jahr, Jarosław Kalinowski, Zbigniew Kuźmiuk, Norbert Lins, Philippe Loiseau, Nuno Melo, Giulia Moi, Ulrike Müller, James Nicholson, Maria Noichl, Marijana Petir, Bronis Ropė, Maria Lidia Senra Rodríguez, Ricardo Serrão Santos, Czesław Adam Siekierski, Marc Tarabella, Maria Gabriela Zoană, Marco Zullo Substitutes present for the final vote Franc Bogovič, Othmar Karas, Elsi Katainen, Anthea McIntyre, Momchil Nekov, Sofia Ribeiro Substitutes under Rule 200(2) present John Flack for the final vote

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FINAL VOTE BY ROLL CALL IN COMMITTEE ASKED FOR OPINION

32 +

ALDE Elsi Katainen, Ulrike Müller

ECR Zbigniew Kuźmiuk

EFDD Giulia Moi, Marco Zullo

ENF Philippe Loiseau

GUE/NGL Matt Carthy, Luke Ming Flanagan, Maria Lidia Senra Rodríguez

PPE Franc Bogovič, Daniel Buda, Albert Deß, Herbert Dorfmann, Norbert Erdős, Esther Herranz García, Peter Jahr, Jarosław Kalinowski, Norbert Lins, Nuno Melo, Marijana Petir, Sofia Ribeiro, Czesław Adam Siekierski

S&D Clara Eugenia Aguilera García, Eric Andrieu, Nicola Caputo, Paolo De Castro, Karin Kadenbach, Momchil Nekov, Maria Noichl, Ricardo Serrão Santos, Marc Tarabella, Maria Gabriela Zoană

1 -

EFDD John Stuart Agnew

8 0

ECR Jørn Dohrmann, John Flack, Anthea McIntyre, James Nicholson

GUE/NGL Anja Hazekamp

NI Diane Dodds

Verts/ALE Martin Häusling, Bronis Ropė

Key to symbols: + : in favour - : against 0 : abstention

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12.10.2018

OPINION OF THE COMMITTEE ON CULTURE AND EDUCATION

for the Committee on Industry, Research and Energy

Rapporteur for opinion: Luigi Morgano

SHORT JUSTIFICATION

Horizon Europe, the new programme for European research and innovation for 2021-2027 is certainly a crucial programme for Europe’s future.

The aim of this new flagship programme is to improve quality of life for millions of European citizens by strengthening the EU’s scientific and technological foundations and promoting and supporting research and innovation activities that are able to boost sustainable growth and industrial competitiveness.

Your rapporteur welcomes the three-pillar structure of the programme and, while recognising that the budget has been increased compared to the previous programme, Horizon 2020, takes the view that its overall budget is not ambitious enough to achieve the goals it has set itself and should thus be increased, particularly as regards the first pillar on ‘Open Science’ and, more specifically, for the Marie Skłodowska-Curie actions (MSCA) and research infrastructure. Indeed, the establishment of a true European Research Area, providing for better links between research, scientific excellence, innovation and universities in Europe, should be at the centre of Horizon Europe, across all pillars.

As regards the second pillar on ‘Global Challenges and Industrial Competitiveness’, your rapporteur welcomes the fact that, among the policy areas in the thematic cluster ‘inclusive and secure society’, the role of European tangible and intangible cultural heritage, which fosters a European sense of belonging, has been recognised. He takes the view, however, that the planned budget for this cluster, in view of the new intervention areas called for, should be at least doubled.

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Indeed, in this cluster, greater emphasis should be placed on the strategic and motivating role played by culture and creativity, which bring people together across the board, helping to achieve an educated, creative and genuinely inclusive society.

Therefore, explicit reference should be made to the strategic potential of the cultural and creative industries (CCI), including in the context of digital innovation, in view of their specific dual nature: as an important driver of economic development and a tool for preserving and protecting European linguistic and cultural diversity.

It is thus vital to provide for measures to make these goods and services accessible to people with disabilities. Technological innovation, such as the Internet of Things, assistive technologies or augmented reality – whether they apply to a book or to an archaeological site – can in fact facilitate access to and enjoyment of culture and creativity, providing a tangible contribution to the social and cultural integration of these individuals.

In order to help analyse and identify solutions to the global challenges Europe is facing, such as that of migration, Horizon Europe should also support research in Social Sciences and Humanities (SSH) through basic and applied research.

Furthermore, your rapporteur welcomes the opportunity to exploit synergies between science, technology, culture and the arts in order to achieve quality sustainable innovation; accordingly, in view of what has already been stated, the list of possible Union programmes with which Horizon Europe can interact should also include Creative Europe.

Unfortunately, the albeit noteworthy simplification effort made by the Commission does not justify – especially in a regulation that is directly applicable – a legal text that is so vague, particularly with regard to the procedure, the appeal criteria and how the synergies and complementarity between the various programmes will actually work in practice. For this reason, your rapporteur is of the opinion that, in keeping with its prerogatives, the role of Parliament should under no circumstances be bypassed, in particular when determining the multiannual strategic plan that will underpin the implementation of this fundamental programme for EU citizens.

AMENDMENTS

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

Amendment 1

Proposal for a regulation Recital 1

Text proposed by the Commission Amendment

(1) It is the Union's objective to (1) It is the Union's objective to strengthen its scientific and technological strengthen its scientific and technological

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bases and encourage its competitiveness, bases and encourage its competitiveness, including in its industry, while promoting including in its industry, while promoting all research and innovation activities to all research and innovation activities to deliver on the Union's strategic priorities, deliver on the Union's strategic priorities, which ultimately aim at promoting peace, which ultimately aim at promoting peace, the Union's values and the well-being of its the Union's values and the well-being of its peoples. citizens, in particular the most disadvantaged ones.

Amendment 2

Proposal for a regulation Recital 2

Text proposed by the Commission Amendment

(2) To deliver scientific, economic and (2) To deliver scientific, economic, societal impact in pursuit of this general educational, cultural and societal impact objective, the Union should invest in in pursuit of this general objective, the research and innovation through Horizon Union should invest in research and Europe - a Framework Programme for innovation through Horizon Europe - Research and Innovation 2021-2027 (the framework Programme for Research and ‘Programme’) to support the creation and Innovation 2021-2027 (the ‘Programme’) diffusion of high-quality knowledge and to support the creation and diffusion of technologies, to strengthen the impact of high-quality knowledge and technologies, research and innovation in developing, to strengthen the impact of research and supporting and implementing Union innovation in developing, supporting and policies, to support the uptake of implementing Union policies, to support innovative solutions in industry and the uptake of innovative solutions in society to address global challenges and industry whilst achieving the goal of promote industrial competitiveness; to establishing a more inclusive, educated, foster all forms of innovation, including creative and (sustainable society, to breakthrough innovation, and strengthen address global challenges and promote market deployment of innovative solutions; industrial and SME’s competitiveness; to and optimise the delivery of such foster all forms of innovation, including investment for increased impact within a breakthrough innovation, and strengthen strengthened European Research Area. market deployment of innovative solutions; to optimise the delivery of such investment for increased impact within a strengthened European Research Area.

Amendment 3

Proposal for a regulation Recital 2 a (new)

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Text proposed by the Commission Amendment

(2a) Cultural and creative sectors, mostly made of SMEs, have a clear strategic potential, especially within the context of digital innovation, in view of their specific dual nature: as an important driver of economic and employment development and a tool for preserving and protecting European linguistic and cultural diversity.

Amendment 4

Proposal for a regulation Recital 5

Text proposed by the Commission Amendment

(5) Open science, including open (5) Open science, including open access to scientific publications and access to scientific publications and research data, has the potential to increase research data, has the potential to increase the quality, impact and benefits of science the quality, impact and benefits of science and to accelerate the advancement of and to accelerate the advancement of knowledge by making it more reliable, knowledge by making it more reliable, more efficient and accurate, better more efficient and accurate, better understandable by society and responsive understandable by citizens and responsive to societal challenges. Provisions should be to societal challenges. Provisions should be laid down to ensure that beneficiaries laid down to ensure that beneficiaries provide open access to peer-reviewed provide open access to peer-reviewed scientific publications, research data and scientific publications, research data and other research outputs in an open and non- other research outputs in an open and non- discriminatory manner, free of charge and discriminatory manner, free of charge and as early as possible in the dissemination as early as possible in the dissemination process, and to enable their widest possible process, and to enable their widest possible use and re-use. More emphasis should in use and re-use. More emphasis should in particular be given to the responsible particular be given to the responsible management of research data, which management of authorship and research should comply with the FAIR principles of data, which should comply with the FAIR ‘Findability’, ‘Accessibility’, principles of ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’, ‘Interoperability’, ‘Reusability’ and safety notably through the mainstreaming of Data measures in accordance with relevant Management Plans. Where appropriate, data protection legislation, notably beneficiaries should make use of the through the mainstreaming of Data possibilities offered by the European Open Management Plans. Where appropriate, Science Cloud and adhere to further open beneficiaries should make use of the science principles and practices. possibilities offered by the European Open Science Cloud and adhere to further open

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science principles and practices.

Amendment 5

Proposal for a regulation Recital 5 a (new)

Text proposed by the Commission Amendment

(5a) The Programme should be implemented in full respect of the international and Union’s framework of intellectual property, protection and enforcement. The effective protection of intellectual property plays a key role in innovation and thus is necessary for the effective implementation of the Programme.

Amendment 6

Proposal for a regulation Recital 8 a (new)

Text proposed by the Commission Amendment

(8a) Universities, higher education institutions play a fundamental role within the fields of the humanities, sciences and technologies by fulfilling and promoting excellence, in both training and research.

Amendment 7

Proposal for a regulation Recital 9

Text proposed by the Commission Amendment

(9) Research activities carried out (9) Research activities carried out under the pillar 'Open Science' should be under the pillar 'Open Science' should be determined according to the needs and determined according to the needs and opportunities of science. The research opportunities of science and based on agenda should be set in close liaison with curiosity-driven knowledge. The research the scientific community. Research should agenda should be set in close liaison with

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be funded on the basis of excellence. the scientific community. Research should be funded on the basis of excellence.

Amendment 8

Proposal for a regulation Recital 11

Text proposed by the Commission Amendment

(11) Full engagement of industry in the (11) Full engagement of industry in the Programme, at all levels from the Programme, at all levels from the individual entrepreneur and small and individual entrepreneur and small and medium-sized enterprises to large scale medium-sized enterprises to large scale enterprises, should constitute one of the enterprises, should constitute one of the main channels through which the main channels through which the Programme's objectives are to be realised, Programme's objectives are to be realised, specifically towards the creation of specifically towards the creation of sustainable jobs and growth. Industry sustainable and quality jobs and growth. should contribute to the perspectives and Industry should contribute to the priorities established through the strategic perspectives and priorities established planning process which should support the through the strategic planning process development of work programmes. Such which should support the development of engagement by industry should see its work programmes. Such engagement by participation in the actions supported at industry should see its participation in the levels at least commensurate with those actions supported at levels at least under the previous framework programme commensurate with those under the Horizon 2020 established by Regulation previous framework programme Horizon (EU) No 1291/2013 of the European 2020 established by Regulation (EU) No Parliament and the Council13 ('Horizon 1291/2013 of the European Parliament and 2020'). the Council13 ('Horizon 2020'). ______13 13

Amendment 9

Proposal for a regulation Recital 12

Text proposed by the Commission Amendment

(12) It is important to support industry (12) It is important to support industry to stay or become world leader in to stay or become world leader in innovation, digitisation and innovation, digitisation and decarbonisation, notably through decarbonisation, notably through investments in key enabling technologies investments in key enabling technologies

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that will underpin tomorrow's business. that will underpin tomorrow's business as The Programme's actions should be used to well as the well-being of Union citizens. address market failures or sub-optimal The Programme's actions should be used to investment situations, in a proportionate address market failures or sub-optimal manner, without duplicating or crowding investment situations, in a proportionate out private financing and have a clear manner, without duplicating or crowding European added value. This will ensure out private financing and have a clear consistency between the actions of the European added value. This will ensure programme and EU State aid rules, consistency between the actions of the avoiding undue distortions of competition programme and EU State aid rules, in the internal market. avoiding undue distortions of competition in the internal market.

Amendment 10

Proposal for a regulation Recital 13

Text proposed by the Commission Amendment

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

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replication. replication.

Amendment 11

Proposal for a regulation Recital 15

Text proposed by the Commission Amendment

(15) The Programme should seek (15) The Programme should seek synergies with other Union programmes, synergies with other Union programmes, from their design and strategic planning, to from their design and strategic planning, project selection, management, application and reporting forms to project communication, dissemination and selection, management, communication, exploitation of results, to monitoring, dissemination and exploitation of results, auditing and governance. With a view to to monitoring, auditing and governance, as avoiding overlaps and duplication and well as ensuring interoperability with a increasing the leverage of Union funding, view to avoiding overlaps and duplication transfers from other Union programmes and increasing the leverage of Union to Horizon Europe activities can take funding, as well as decreasing place. In such cases they will follow administrative burden for the applicants Horizon Europe rules. and beneficiaries.

Amendment 12

Proposal for a regulation Recital 15 a (new)

Text proposed by the Commission Amendment

(15a) The programme, in line with the European Year of Cultural Heritage objectives and the accompanying action plan (which highlighted the valuable contribution to scientific and social innovation in Europe that could be made to by the cultural, artistic, creative and audiovisual sectors), should promote partnerships and research projects between research institutes, universities and cultural, artistic, creative and audiovisual organizations (in particular museums, academies, conservatories, theatres and cinemas) and, together with the Creative Europe and Digital Europe programmes, should promote and support the development of digital technologies

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that facilitate and the conservation of cultural, artistic, creative and audiovisual content and services (for example augmented and virtual reality and the human-machine interface) and access thereto on a wider scale.

Amendment 13

Proposal for a regulation Recital 15 b (new)

Text proposed by the Commission Amendment

(15b) In the educational field, the programme should provide for interaction with the European universities network to promote cooperation between higher education and research facilities at European and transnational level, also with a view to encouraging university twinning and joint doctorates both within Europe and with third countries participating in the programme. The programme should also provide for interaction with upper secondary schools.

Amendment 14

Proposal for a regulation Recital 15 c (new)

Text proposed by the Commission Amendment

(15c) The programme should provide adequate support and funding to ensure individual mobility for researchers and graduate students, especially in the medium and long term, and simplify the authorisation formalities.

Amendment 15

Proposal for a regulation Recital 16

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Text proposed by the Commission Amendment

(16) In order to achieve the greatest (16) In order to achieve the greatest possible impact of Union funding and the possible impact of Union funding and the most effective contribution to the Union's most effective contribution to the Union's policy objectives, the Programme should policy objectives, the Programme should enter into European Partnerships with enter into European Partnerships with private and/or public sector partners. Such private and/or public sector partners. Such partners include industry, research partners include industry, research organisations, bodies with a public service organisations, bodies with a public service mission at local, regional, national or mission at local, regional, national or international level, and civil society international level, and civil society organisations such as foundations that organisations such as foundations that support and/or carry out research and support and/or carry out research and innovation, provided that desired impacts innovation, provided that desired societal can be achieved more effectively in impacts can be achieved more effectively partnership than by the Union alone. in partnership than by the Union alone.

Amendment 16

Proposal for a regulation Recital 16 a (new)

Text proposed by the Commission Amendment

(16a) Horizon Europe should support new technologies such as assistive technologies applied to cultural and creative goods and services, which contribute to overcoming obstacles which prevent the access and the full participation of persons with disabilities in culture, education and in all cultural ecosystems and which consequently restrain the development of a truly inclusive, educated, and creative society.

Amendment 17

Proposal for a regulation Recital 22 a (new)

Text proposed by the Commission Amendment

(22a) Given the close link between creativity and innovation, the Programme should adopt the paradigm STEAM

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(Science, Technology, Engineering, Arts and Maths), encourage synergies between the creative and cultural sectors and science sectors, support research in human and social sciences and also in the field of art, culture, educational science, intercultural studies, digital education, as well as support the social integration of migrants into countries of arrival.

Amendment 18

Proposal for a regulation Recital 23

Text proposed by the Commission Amendment

(23) The EIT, primarily through its (23) The EIT, primarily through its Knowledge and Innovation Communities Knowledge and Innovation Communities (KICs), should aim at strengthening (KICs), should aim at strengthening innovation ecosystems that tackle global innovation ecosystems that tackle global challenges, by fostering the integration of challenges, by fostering the integration of business, research, higher education and business, research, higher education and entrepreneurship. The EIT should foster entrepreneurship, including social innovation in its activities and should entrepreneurship. The EIT should foster support the integration of higher education innovation in its activities and should within the innovation ecosystem, in support the integration of higher education particular by: stimulating entrepreneurial within the innovation ecosystem, in education, fostering strong non- particular by: stimulating entrepreneurial disciplinary collaborations between education; fostering strong non- industry and academia; and identifying disciplinary collaborations between prospective skills for future innovators to industry and academia; and identifying address global challenges, which includes prospective skills for future innovators to advanced digital and innovation skills. address global challenges, which includes Support schemes provided by the EIT advanced digital and innovation skills. should benefit to EIC beneficiaries, while Support schemes provided by the EIT start-ups emerging from EIT KICs should should benefit EIC beneficiaries, while have access to EIC actions. While the start-ups emerging from EIT KICs should EIT’s focus on innovation ecosystems have access to EIC actions. While the should make it naturally fit within the EIT’s focus on innovation ecosystems pillar 'Open Innovation', the planning of its should make it naturally fit within the KICs should be aligned through the 'Open Innovation' pillar, the planning of its strategic planning process with the pillar KICs should be aligned through the 'Global Challenges and Industrial strategic planning process with the 'Global Competitiveness'. Challenges and Industrial Competitiveness' pillar. Cooperation with Pillar II and the missions under development is also important; the development of a smoothly-

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functioning distribution of tasks and coordination between the EIC (European Innovation Council) and the EIT is also important if overlapping is to be avoided.

Amendment 19

Proposal for a regulation Recital 23 a (new)

Text proposed by the Commission Amendment

(23a) Europe is the cradle of humanistic tradition. Horizon Europe should therefore support research in the field of social sciences and human disciplines (SSH), providing at least one intervention area in all clusters of the second pillar, especially for those that produce knowledge through basic and applied research and that contribute to the development of new fields of interdisciplinary research thanks to new material evidence or new methodologies. Such focus will help to create new jobs, to contribute to a deeper analysis and better understanding of the migration phenomenon, the challenges it entails as well as to reinforce the preservation of the tangible and intangible cultural heritage, in accordance with the objective of creating inclusive, educated and creative societies.

Amendment 20

Proposal for a regulation Recital 26

Text proposed by the Commission Amendment

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creating responsible research and creating responsible research and innovation agendas and contents, innovation agendas and disseminating promoting science education, making their findings, promoting science, scientific knowledge publicly accessible, technology, engineering, arts, social and and facilitating participation by citizens humanistic education and and civil society organisations in its entrepreneurship, making scientific activities. It should do so across the knowledge publicly accessible, and Programme and through dedicated facilitating participation by citizens and activities in the part 'Strengthening the civil society organisations in its activities. European Research Area'. The engagement It should do so across the Programme and of citizens and civil society in research and through dedicated activities in the part innovation should be coupled with public 'Strengthening the European Research outreach activities to generate and sustain Area'. The engagement of citizens and civil public support for the Programme. The society in research and innovation should programme should also seek to remove be coupled with public outreach activities barriers and boost synergies between to generate and sustain public support for science, technology, culture and the arts to the Programme. The programme should obtain a new quality of sustainable also seek to remove barriers and boost innovation. synergies between science, technology, culture and the arts to obtain a new quality of sustainable innovation, for example through appropriate interaction with the Creative Europe programme.

Amendment 21

Proposal for a regulation Recital 28

Text proposed by the Commission Amendment

(28) The activities developed under the (28) The activities developed under the Programme should aim at eliminating Programme should aim at eliminating gender inequalities and promoting equality gender inequalities, enhancing between women and men in research and family/work life balance, promoting innovation, in compliance with Articles 2 equality between women and men in, as and 3 of the Treaty on European Union and well as ensuring accessibility of Article 8 of the TFEU. The gender researchers with disabilities to, research dimension should be adequately integrated and innovation, as well as access to the in research and innovation content and scientific community and decision-making followed through at all stages of the positions in the field of research, in research cycle. compliance with Articles 2 and 3 of the Treaty on European Union and Article 8 of the TFEU. These dimensions should be adequately integrated in research and innovation content and followed through at all stages of the research cycle.

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Amendment 22

Proposal for a regulation Recital 37 a (new)

Text proposed by the Commission Amendment

(37a) As regards impact, serious consideration should also be given to socio-economic exploitation and openness in the broadest sense, and the composition of the evaluator panels must be as balanced as possible, including from a geographical perspective.

Amendment 23

Proposal for a regulation Article 1 – paragraph 1 a (new)

Text proposed by the Commission Amendment

1a. The Programme shall be implemented for the period from 1 January 2021 to 31 December 2027.

Amendment 24

Proposal for a regulation Article 3 – paragraph 1

Text proposed by the Commission Amendment

1. The Programme’s general 1. The general objective of the objective is to deliver scientific, economic Programme shall be to deliver scientific, and societal impact from the Union’s economic, cultural and societal impact investments in research and innovation so from the Union’s investments in research as to strengthen the scientific and and innovation so as to strengthen the technological bases of the Union and foster scientific and technological bases of the its competitiveness, including in its Union and foster its competitiveness, industry, deliver on the Union strategic including in its industry, deliver on the priorities, and contribute to tackling global Union strategic priorities, and contribute to challenges, including the Sustainable tackling global challenges, including the Development Goals. Sustainable Development Goals.

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Amendment 25

Proposal for a regulation Article 3 – paragraph 2 – introductory part

Text proposed by the Commission Amendment

2. The Programme has the following 2. The specific objectives of the specific objectives: Programme shall be :

Amendment 26

Proposal for a regulation Article 3 – paragraph 2 – point d a (new)

Text proposed by the Commission Amendment

(da) to support actors in the Union's research area in their efforts and encourage good cooperation.

Amendment 27

Proposal for a regulation Article 4 – paragraph 1 – introductory part

Text proposed by the Commission Amendment

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

Amendment 28

Proposal for a regulation Article 4 – paragraph 1 – point 2 – point b

Text proposed by the Commission Amendment

(b) cluster 'Inclusive and Secure (b) cluster 'Inclusive, Educated and Society'; Creative Society';

Amendment 29

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Proposal for a regulation Article 6 – paragraph 9

Text proposed by the Commission Amendment

9. The Programme shall ensure the 9. The Programme shall ensure the effective promotion of gender equality and effective promotion of gender equality, the gender dimension in research and inter alia through enabling a better innovation content. Particular attention family/work life balance, and the gender shall be paid to ensuring gender balance, dimension in research and innovation subject to the situation in the field of content. Particular attention shall be paid to research and innovation concerned, in ensuring accessibility and gender balance, evaluation panels and in bodies such as subject to the situation in the field of expert groups. research and innovation concerned, across the various parts of the Programme, and notably in evaluation panels and in bodies such as expert groups.

Amendment 30

Proposal for a regulation Article 7 – paragraph 3 – point f a (new)

Text proposed by the Commission Amendment

(fa) promote where relevant territorial innovation ecosystems in order to ensure positive effects on the territories and citizens of the Union.

Amendment 31

Proposal for a regulation Article 8 – paragraph 2 – subparagraph 1 – point b

Text proposed by the Commission Amendment

(b) Adhere to the principles of Union (b) Adhere to the principles of Union added value, transparency, openness, added value, transparency, openness, impact, leverage effect, long-term financial impact, leverage effect, long-term financial commitment of all the involved parties, commitment of all the involved parties, flexibility, coherence and complementarity flexibility, coherence, data protection and with Union, local, regional national and complementarity with Union, local, international initiatives; regional national and international initiatives;

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Amendment 32

Proposal for a regulation Article 9 – paragraph 1

Text proposed by the Commission Amendment

1. The financial envelope for the 1. The financial envelope for the implementation of the Framework implementation of the Framework Programme for the period 2021 – 2027 Programme for the period 2021 – 2027 shall be EUR 94 100 000 000 in current shall be EUR 120 000 000 000 in constant prices for the specific programme referred prices for the specific programme referred to in Article 1(3)(a) and, in addition, the to in Article 1(3)(a) and, in addition, the amount for the specific programme amount for the specific programme referred to in Article 1(3)(b), as laid down referred to in Article 1(3)(b), as laid down in Regulation…. establishing the European in Regulation…. establishing the European Defence Fund. Defence Fund.

Amendment 33

Proposal for a regulation Article 9 – paragraph 2 – point a – point 1

Text proposed by the Commission Amendment

(1) EUR 16 600 000 000 for the (1) EUR 20 400 000 000 for the European Research Council; European Research Council;

Amendment 34

Proposal for a regulation Article 9 – paragraph 2 – point a – point 2

Text proposed by the Commission Amendment

(2) EUR 6 800 000 000 for Marie (2) EUR 11 300 000 000 for Marie Skłodowska-Curie Actions; Skłodowska-Curie Actions;

Amendment 35

Proposal for a regulation Article 9 – paragraph 2 – point a – point 3

Text proposed by the Commission Amendment

(3) EUR 2 400 000 000 for research (3) EUR 3 900 000 000 for research

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infrastructures; infrastructures;

Amendment 36

Proposal for a regulation Article 9 – paragraph 2 – point b – point 2

Text proposed by the Commission Amendment

(2) EUR 2 800 000 000 for cluster (2) EUR 3 300 000 000 for cluster 'Inclusive and Secure Society'; 'Inclusive, Educated and Creative Society';

Amendment 37

Proposal for a regulation Article 10 – paragraph 2

Text proposed by the Commission Amendment

2. Responsible management of 2. Responsible management of research data shall be ensured in line with research data shall be ensured in line with the principles ‘Findability’, ‘Accessibility’, the principles ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’ ‘Interoperability’, ‘Reusability’ (FAIR) (FAIR). and with regard to all relevant Union legislation on data protection.

Amendment 38

Proposal for a regulation Article 15 – paragraph 5 – subparagraph 2

Text proposed by the Commission Amendment

Ethics checks shall be carried out with the Ethics checks shall be carried out with the support of ethics experts. support of independent and specifically for this purpose appointed ethics experts.

Amendment 39

Proposal for a regulation Article 35 – paragraph 1 – subparagraph 1

Text proposed by the Commission Amendment

Beneficiaries having received Union Beneficiaries having received Union

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funding shall use their best efforts to funding shall exploit their results, exploit their results, in particular in the substantially in the Union. Such Union. Exploitation may be done directly exploitation may be done directly by the by the beneficiaries or indirectly in beneficiaries or indirectly in particular particular through the transfer and through the transfer and licensing of results licensing of results in accordance with in accordance with Article 36. Article 36.

Amendment 40

Proposal for a regulation Article 35 – paragraph 1 – subparagraph 3

Text proposed by the Commission Amendment

If despite a beneficiary's best efforts to If despite a beneficiary's best efforts to exploit its results directly or indirectly no exploit its results directly or indirectly no exploitation takes place within a given exploitation takes place within a given period as identified in the grant agreement, period as identified in the grant agreement, the beneficiary shall use an appropriate the beneficiary shall use an appropriate online platform as identified in the grant online platform as identified in the grant agreement to find interested parties to agreement to find interested parties to exploit those results. If justified on the exploit those results. If duly justified on the basis of a request of the beneficiary, this basis of a request of the beneficiary, this obligation may be waived. obligation may be waived.

Amendment 41

Proposal for a regulation Article 35 – paragraph 4 – subparagraph 2

Text proposed by the Commission Amendment

The work programme may provide for The work programme may provide for additional obligations to use the European additional obligations to use the European Open Science Cloud for storing and giving Open Science Cloud for storing and giving access to research data. access to research data, subject to all relevant Union legislation on data protection.

Amendment 42

Proposal for a regulation Article 35 – paragraph 6 – subparagraph 1

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Text proposed by the Commission Amendment

Amendment 43

Proposal for a regulation Article 44 – paragraph 1

Text proposed by the Commission Amendment

1. By derogation from Article 237(3) 1. By derogation from Article 237(3) of the Financial Regulation, external of the Financial Regulation, external experts may be selected without a call for experts may exceptionally be selected expressions of interest, if justified and the without a call for expressions of interest selection is carried out in a transparent by an ad hoc panel representing all manner. involved parties and if justified and the selection is carried out in a transparent and unanimous manner.

Amendment 44

Proposal for a regulation Article 45 – paragraph 2

Text proposed by the Commission Amendment

2. The Commission is empowered to 2. The Commission is empowered to adopt delegated acts in accordance with adopt delegated acts in accordance with Article 50 concerning amendments to Article 50 concerning amendments to Annex V to supplement or amend the Annex V to supplement or amend the impact pathway indicators, where impact pathway indicators. considered necessary, and set baselines and targets.

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Amendment 45

Proposal for a regulation Article 45 – paragraph 3

Text proposed by the Commission Amendment

3. The performance reporting system 3. The performance reporting system shall ensure that data for monitoring shall ensure that data for monitoring programme implementation and results are programme implementation and results are collected efficiently, effectively and in a collected efficiently, effectively and in a timely manner. To that end, proportionate timely manner. To that end, proportionate reporting requirements shall be imposed on reporting requirements shall be imposed on recipients of Union funds and (where recipients of Union funds and on the relevant) Member States. Member States concerned.

Amendment 46

Proposal for a regulation Article 47 – paragraph 1

Text proposed by the Commission Amendment

1. Programme evaluations shall be 1. The Commission shall ensure carried out in a timely manner to feed into regular monitoring and external the decision-making process on the evaluation of the Programme. It shall programme, its successor and other monitor the Programme performance initiatives relevant to research and annually, tracking performance innovation. indicators in accordance with Article 45, paragraph 1.

Amendment 47

Proposal for a regulation Article 47 – paragraph 1 a (new)

Text proposed by the Commission Amendment

1a. In addition to regularly monitoring the Programme, the Commission shall establish an interim evaluation report, based on an external and independent evaluation, which builds on the coordinated evaluations of each programme part, type of actions and

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delivery mechanism according to common evaluation criteria and standard methodologies.

Amendment 48

Proposal for a regulation Article 47 – paragraph 2

Text proposed by the Commission Amendment

2. The interim evaluation of the 2. The Commission shall submit the Programme shall be carried out once interim evaluation report referred to in there is sufficient information available paragraph 1a to the European about the implementation of the Parliament, the Council, the European Programme, but no later than four years Economic and Social Committee and the after the start of the programme Committee of the Regions no later than 31 implementation. It shall include an December 2024. It shall include an assessment of the long-term impact of assessment of the long-term impact of previous Framework Programmes and previous Framework Programmes. shall form the basis to adjust programme implementation, as appropriate.

Amendment 49

Proposal for a regulation Article 47 – paragraph 3

Text proposed by the Commission Amendment

3. At the end of the implementation 3. On the basis of a final external of the Programme, but no later than four and independent evaluation, the years after the end of the period specified Commission shall establish a final in Article 1, a final evaluation of the evaluation report of the Programme, which Programme shall be completed by the assesses its longer-term impacts and its Commission. It shall include an assessment sustainability. It shall also include an of the long-term impact of previous assessment of the long-term impact of Framework Programmes. previous Framework Programmes.

Amendment 50

Proposal for a regulation Article 47 – paragraph 4

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Text proposed by the Commission Amendment

4. The Commission shall 4. The Commission shall submit the communicate the conclusions of the final evaluation report referred to in evaluations accompanied by its paragraph 3 to the European Parliament, observations, to the European Parliament, the Council, the European Economic and the Council, the European Economic and Social Committee and the Committee of Social Committee and the Committee of the Regions no later than 31 December the Regions. 2030.

Amendment 51

Proposal for a regulation Annex I – point 1 – paragraph 1 – point a – subparagraph 1

Text proposed by the Commission Amendment

(a) European Research Council: (a) European Research Council: Providing attractive and flexible funding to Providing attractive and flexible funding to enable talented and creative individual enable talented and creative individual researchers and their teams to pursue the researchers and their teams to pursue the most promising avenues at the frontier of most promising avenues at the frontier of science, on the basis of Union-wide science, on the basis of Union-wide competition. competition and full decision-making autonomy.

Amendment 52

Proposal for a regulation Annex I – point 1 – paragraph 1 – point b – subparagraph 1

Text proposed by the Commission Amendment

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

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challenges. solving current and future societal challenges.

Amendment 53

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

Text proposed by the Commission Amendment

Areas of intervention: Nurturing excellence Areas of intervention: Nurturing excellence through mobility of researchers across through mobility (including medium and borders, sectors and disciplines; fostering long-term mobility) of researchers across new skills through excellent training of borders, sectors and disciplines; fostering researchers; strengthening human capital new skills, competences and knowledge and skills development across the through excellent training of researchers; European Research Area; improving and strengthening human capital and skills facilitating synergies; promoting public development across the European Research outreach. Area; improving and facilitating synergies; promoting public outreach.

Amendment 54

Proposal for a regulation Annex I – point 2 – paragraph 3

Text proposed by the Commission Amendment

Each cluster contributes towards several Each cluster contributes towards several SDGs; and many SDGs are supported by SDGs; and many SDGs are supported by more than one cluster. more than one cluster. Each cluster shall include an intervention area which is specifically devoted to the contribution of social science and humanities studies to that cluster.

Amendment 55

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

Text proposed by the Commission Amendment

(b) Cluster 'Inclusive and secure (b) Cluster 'Inclusive Educated and society': Strengthening European Creative Society': Strengthening European

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democratic values, including rule of law democratic values, including rule of law and fundamental rights, safeguarding our and fundamental rights, enhancing cultural heritage, and promoting socio- citizens' participation by promoting e- economic transformations that contribute democracy tools and media literacy to inclusion and growth, while responding initiatives, developing and safeguarding to the challenges arising from persistent our culture and cultural heritage, security threats, including cybercrime, as supporting in particular research and well as natural and man-made disasters. innovation activities for the development of artistic research in the digital field , of ICT technologies for the preservation and digitisation of tangible and intangible cultural heritage as well, exploring the potential of cultural and creative sectors and promoting sustainable socio-economic transformations that contribute to accessibility, inclusion and growth including research related to migration management and integration of migrants.

Amendment 56

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

Text proposed by the Commission Amendment

Areas of intervention: Democracy; Cultural Areas of intervention: Democracy, E- heritage; Social and economic Democracy and fundamental rights; transformations; Disaster-resilient Culture and Cultural heritage; Media societies; Protection and Security; literacy; education; Social and economic Cybersecurity transformations; Cultural and creative industries and sectors; Accessibility for persons with disabilities to all products and services (including education, cultural goods and services, tangible and intangible cultural heritage)

Amendment 57

Proposal for a regulation Annex I – point 2 – paragraph 4 – point c – subparagraph 1

Text proposed by the Commission Amendment

(c) Cluster 'Digital and Industry': (c) Cluster 'Digital and Industry': Reinforcing capacities and securing Reinforcing capacities and securing

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Europe's sovereignty in key enabling Europe's sovereignty in key enabling technologies for digitisation and technologies for fair and ethical production, and in space technology, to digitisation and production, and in space build a competitive, digital, low-carbon technology, to build a competitive, digital, and circular industry; ensure a sustainable low-carbon and circular industry; ensure a supply of raw materials; and provide the sustainable supply of raw materials; basis for advances and innovation in all supporting research activities that are global societal challenges. closely linked to the cultural and creative industries and sectors; and provide the basis for advances and innovation in all global societal challenges.

Amendment 58

Proposal for a regulation Annex I – point 2 – paragraph 4 – point c – subparagraph 2

Text proposed by the Commission Amendment

Areas of intervention: Manufacturing Areas of intervention: Manufacturing technologies; Digital technologies; technologies; Digital technologies; Advanced materials; Artificial intelligence Cultural and Creative industries and and robotics; Next generation internet; sectors - e.g. Augmented reality/Virtual High performance computing and Big reality, immersive environments, human Data; Circular industries; Low carbon and computer interfaces, Internet Protocol clean industry; Space and Cloud infrastructures, 5G, new media; Technological management of Intellectual Property Rights (IPRs); Advanced materials; Artificial intelligence and robotics; Blockchain; Next generation internet; High performance computing and Big Data; Circular industries; Low carbon and clean industry; Space.

Amendment 59

Proposal for a regulation Annex I – point 2 – paragraph 4 – point d – subparagraph 1

Text proposed by the Commission Amendment

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more climate and environment-friendly, especially in urban environments, climate more efficient and competitive, smarter, and environment-friendly, more efficient safer and more resilient. and competitive, smarter, safer and more resilient; enabling sustainable cultural heritage: researching into strategies and tools necessary for its safeguard whilst providing a better response to changing environment and more frequent extreme climatic events.

Amendment 60

Proposal for a regulation Annex I – point 2 – paragraph 4 – point d – subparagraph 2

Text proposed by the Commission Amendment

Areas of intervention: Climate science and Areas of intervention: Climate science and solutions; Energy supply; Energy systems solutions; Energy supply; Energy systems and grids; Buildings and industrial and grids; Buildings and industrial facilities in energy transition; Communities facilities in energy transition; Communities and cities; Industrial competitiveness in and cities; Industrial competitiveness in transport; Clean transport and mobility; transport; Clean transport and mobility; Smart mobility; Energy storage. Smart cities; Smart mobility; Energy storage; Culture and cultural heritage.

Amendment 61

Proposal for a regulation Annex I – point 2 – paragraph 4 – point e – subparagraph 1

Text proposed by the Commission Amendment

(e) Cluster 'Food and natural (e) Cluster 'Food and natural resources': Protecting, restoring, resources': Protecting, restoring, sustainably managing and using natural sustainably managing and using natural and biological resources from land and sea and biological resources from land and sea to address food and nutrition security and to address food and nutrition security and the transition to a low carbon, resource the transition to a low carbon, resource efficient circular economy. efficient circular economy, while developing awareness and educational schemes to healthy nutrition.

Amendment 62

Proposal for a regulation

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Annex I – point 4 – paragraph 1

Text proposed by the Commission Amendment

Through the following activities, this part Through the following activities, this part will, in line with Article 4, optimise the will, in line with Article 4, optimise the Programme's delivery for increased impact Programme's delivery for increased impact within a strengthened European Research within a strengthened European Research Area. It will also support the Programme's Area. It will also support the Programme's other specific objectives as described in other specific objectives as described in Article 3. While underpinning the entire Article 3. While underpinning the entire Programme, this part will support activities Programme, this part will support activities that contribute to a more knowledge-based that contribute to a more knowledge-based and innovative and gender-equal Europe, at and innovative and gender-equal Europe, at the front edge of global competition, the front edge of global competition, thereby optimising national strengths and thereby optimising national strengths and potential across Europe in a well- potential across Europe in a well- performing European Research Area performing European Research Area (ERA), where knowledge and a highly (ERA), where knowledge and a highly skilled workforce circulate freely, where skilled workforce circulate freely, where the outcomes of R&I are understood and the outcomes of R&I are understood and trusted by informed citizens and benefit trusted by informed citizens and benefit society as a whole, and where EU policy, society as a whole, and where EU policy, notably R&I policy, is based on high notably R&I policy, is based on high quality scientific evidence. quality scientific evidence. A swift link with the European Higher Education Area is ensured in order to promote results and foster common energies between all research teams.

Amendment 63

Proposal for a regulation Annex II – paragraph 2 – indent 5

Text proposed by the Commission Amendment

– Training and mobility action: action – Training and mobility action: action geared towards improvement of skills, geared towards improvement of knowledge and career prospects of competences, skills, knowledge and career researchers based on mobility between prospects of researchers based on mobility countries, and, if relevant, between sectors between countries, and, if relevant, or disciplines; between sectors or disciplines; supporting young researchers and talented young people and developing digital capabilities;

Amendment 64

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Proposal for a regulation Annex IV – point 4 – point a

Text proposed by the Commission Amendment

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

Amendment 65

Proposal for a regulation Annex IV – point 6 a (new)

Text proposed by the Commission Amendment

6a. Synergies with the Creative Europe Programme will ensure that: (a) whereas Creative Europe supports innovation in specific thematic sectors which fall within the scope of the Programme such as cultural heritage and cultural and creative industries, the type of actions to be supported, their expected outputs and their intervention logic are different and complementary; (b) efforts will be strengthened in order to achieve crossovers between the cultural and creative sectors, in particular the arts, and innovation in industry and society via the S+T+ARTS programme; (c) the combined resources of both programmes are used to support activities dedicated to strengthening and modernising cultural and creative industries.

Amendment 66

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

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Text proposed by the Commission Amendment

(b) the Programme and the Erasmus (b) the Programme and the Erasmus Programme foster the integration of Programme foster the integration of education and research through facilitating education and research through facilitating higher education institutions to formulate university and higher education and set up common education, research and institutions to formulate and set up innovation strategies, to inform teaching common education, research and with the latest findings and practices of innovation strategies (university twinning research to offer active research experience for joint research doctorates), to inform to all students and higher education staff teaching and learning with the latest and in particular researchers, and to findings and practices of research to offer support other activities that integrate higher active research experience and individual education, research and innovation. mobility (including medium and long- term mobility - with adequate funding) for all students and higher education staff and in particular researchers, and to support other activities that integrate higher education, research and innovation. The programme, together with Erasmus+, also encourages interaction and cooperation between research facilities and upper secondary schools.

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PROCEDURE – COMMITTEE ASKED FOR OPINION

Opinion by CULT Date announced in plenary 5.7.2018

Rapporteur Luigi Morgano Date appointed 29.5.2018 Discussed in committee 3.9.2018 Date adopted 10.10.2018

Result of final vote +: 28 –: 0 0: 1

Members present for the final vote Isabella Adinolfi, Dominique Bilde, Nikolaos Chountis, Silvia Costa, Mircea Diaconu, Damian Drăghici, Angel Dzhambazki, Jill Evans, María Teresa Giménez Barbat, Giorgos Grammatikakis, Petra Kammerevert, Svetoslav Hristov Malinov, Rupert Matthews, Stefano Maullu, Morten Messerschmidt, Luigi Morgano, Momchil Nekov, Helga Trüpel, Sabine Verheyen, Julie Ward, Bogdan Brunon Wenta, Theodoros Zagorakis, Bogdan Andrzej Zdrojewski, Milan Zver, Krystyna Łybacka, Michaela Šojdrová Substitutes present for the final vote Norbert Erdős, Martina Michels, Remo Sernagiotto

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FINAL VOTE BY ROLL CALL IN COMMITTEE ASKED FOR OPINION

28 +

ALDE Mircea Diaconu, María Teresa Giménez Barbat

ECR Angel Dzhambazki, Rupert Matthews, Morten Messerschmidt, Remo Sernagiotto

EFDD Isabella Adinolfi

GUE/NGL Nikolaos Chountis, Martina Michels

PPE Norbert Erdős, Svetoslav Hristov Malinov, Stefano Maullu, Michaela Šojdrová, Sabine Verheyen, Bogdan Brunon Wenta, Theodoros Zagorakis, Bogdan Andrzej Zdrojewski, Milan Zver

S&D Silvia Costa, Damian Drăghici, Giorgos Grammatikakis, Petra Kammerevert, Krystyna Łybacka, Luigi Morgano, Momchil Nekov, Julie Ward

VERTS/ALE Jill Evans, Helga Trüpel

0 -

1 0

ENF Dominique Bilde

Key to symbols: + : in favour - : against 0 : abstention

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PROCEDURE – COMMITTEE RESPONSIBLE

Title Proposal for a regulation of the European Parliament and of the Council establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination References COM(2018)0435 – C8-0252/2018 – 2018/0224(COD) Date submitted to Parliament 7.6.2018 Committee responsible ITRE Date announced in plenary 14.6.2018

Committees asked for opinions AFET DEVE BUDG CONT Date announced in plenary 14.6.2018 14.6.2018 14.6.2018 5.7.2018 ENVI TRAN REGI AGRI 14.6.2018 14.6.2018 5.7.2018 14.6.2018 PECH CULT 14.6.2018 5.7.2018 Not delivering opinions AFET PECH Date of decision 20.6.2018 20.6.2018 Rapporteurs Dan Nica Date appointed 13.6.2018 Discussed in committee 10.7.2018 10.9.2018 Date adopted 21.11.2018

Result of final vote +: 60 –: 1 0: 3

Members present for the final vote Zigmantas Balčytis, Bendt Bendtsen, Xabier Benito Ziluaga, David Borrelli, Jonathan Bullock, Cristian-Silviu Buşoi, Jerzy Buzek, Angelo Ciocca, Edward Czesak, Jakop Dalunde, Pilar del Castillo Vera, Christian Ehler, Fredrick Federley, Ashley Fox, Adam Gierek, Igor Gräzin, Theresa Griffin, András Gyürk, Rebecca Harms, Eva Kaili, Barbara Kappel, Krišjānis Kariņš, Jaromír Kohlíček, Peter Kouroumbashev, Zdzisław Krasnodębski, Miapetra Kumpula-Natri, Christelle Lechevalier, Janusz Lewandowski, Edouard Martin, Tilly Metz, Angelika Mlinar, Csaba Molnár, Nadine Morano, Dan Nica, Angelika Niebler, Morten Helveg Petersen, Miroslav Poche, Carolina Punset, Paul Rübig, Massimiliano Salini, Algirdas Saudargas, Neoklis Sylikiotis, Dario Tamburrano, Patrizia Toia, Evžen Tošenovský, Vladimir Urutchev, Kathleen Van Brempt, Henna Virkkunen, Lieve Wierinck, Hermann Winkler, Anna Záborská, Flavio Zanonato, Carlos Zorrinho Substitutes present for the final vote Amjad Bashir, Soledad Cabezón Ruiz, Rosa D’Amato, Françoise Grossetête, Benedek Jávor, Werner Langen, Olle Ludvigsson, Marian- Jean Marinescu, Marisa Matias, Clare Moody, Davor Škrlec Date tabled 27.11.2018

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FINAL VOTE BY ROLL CALL IN COMMITTEE RESPONSIBLE

60 +

ALDE Fredrick Federley, Igor Gräzin, Angelika Mlinar, Morten Helveg Petersen, Carolina Punset, Lieve Wierinck

ECR Edward Czesak, Zdzisław Krasnodębski, Evžen Tošenovský

EFDD Rosa D’Amato, Dario Tamburrano

ENF Angelo Ciocca, Barbara Kappel

GUE/NGL Xabier Benito Ziluaga, Jaromír Kohlíček, Marisa Matias, Neoklis Sylikiotis

NI David Borrelli

PPE Bendt Bendtsen, Cristian-Silviu Buşoi, Jerzy Buzek, Pilar del Castillo Vera, Christian Ehler, Françoise Grossetête, András Gyürk, Krišjānis Kariņš, Werner Langen, Janusz Lewandowski, Marian-Jean Marinescu, Nadine Morano, Angelika Niebler, Paul Rübig, Massimiliano Salini, Algirdas Saudargas, Vladimir Urutchev, Henna Virkkunen, Hermann Winkler, Anna Záborská

S&D Zigmantas Balčytis, Soledad Cabezón Ruiz, Adam Gierek, Theresa Griffin, Eva Kaili, Peter Kouroumbashev, Miapetra Kumpula-Natri, Olle Ludvigsson, Edouard Martin, Csaba Molnár, Clare Moody, Dan Nica, Miroslav Poche, Patrizia Toia, Kathleen Van Brempt, Flavio Zanonato, Carlos Zorrinho

Verts/ALE Jakop Dalunde, Rebecca Harms, Benedek Jávor, Tilly Metz, Davor Škrlec

1 -

EFDD Jonathan Bullock

3 0

ECR Amjad Bashir, Ashley Fox

ENF Christelle Lechevalier

Key to symbols: + : in favour - : against 0 : abstention

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