pa_legam · web view(1a)‘global challenges’ mean achieving the sdgs and the objectives of the...

European Parliament2014-2019

Committee on Development

2018/0224(COD)

14.11.2018

OPINIONof the Committee on Development

for the Committee on Industry, Research and Energy

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

Rapporteur for opinion: Lola Sánchez Caldentey

AD\1168116EN.docx PE627.590v03-00

EN United in diversity EN

PA_Legam

PE627.590v03-00 2/35 AD\1168116EN.docx

EN

SHORT JUSTIFICATION

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

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

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

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

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

AMENDMENTS

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

Amendment 1

Proposal for a regulationCitation 1

Text proposed by the Commission Amendment

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

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

AD\1168116EN.docx 3/35 PE627.590v03-00

EN

Amendment 2

Proposal for a regulationRecital 1


(1) It is the Union's objective to strengthen its scientific and technological bases and encourage its competitiveness, including in its industry, while promoting all research and innovation activities to deliver on the Union's strategic priorities, which ultimately aim at promoting peace, the Union's values and the well-being of its peoples.

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

Justification

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

Amendment 3



(2) To deliver scientific, economic and societal impact in pursuit of this general objective, the Union should invest in research and innovation through Horizon Europe - a Framework Programme for Research and Innovation 2021-2027 (the

(2) To deliver scientific, economic, climate and societal impact in pursuit of this general objective, the Union should invest in research and innovation through Horizon Europe - a Framework Programme for Research and Innovation 2021-2027

PE627.590v03-00 4/35 AD\1168116EN.docx

EN

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

(the ‘Programme’) to support the creation and diffusion of high-quality knowledge and technologies within and outside the Union, to strengthen the impact of research and innovation in developing, supporting and implementing Union policies and commitments, to support the uptake of innovative solutions in industry and society to improve human well-being and to address global challenges, notably the SDGs and the Paris Agreement and promote industrial competitiveness; to foster all forms of innovation, including breakthrough innovation, and strengthen market deployment of innovative solutions; and optimise the delivery of such investment for increased impact within a strengthened European Research Area.

Amendment 4

Proposal for a regulationRecital 3 a (new)


(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 regulationRecital 3 b (new)

AD\1168116EN.docx 5/35 PE627.590v03-00

EN


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

Amendment 6



(5) Open science, including open access to scientific publications and research data, has the potential to increase the quality, impact and benefits of science and to accelerate the advancement of knowledge by making it more reliable, more efficient and accurate, better understandable by society and responsive to societal challenges. Provisions should be laid down to ensure that beneficiaries provide open access to peer-reviewed scientific publications, research data and other research outputs in an open and non-discriminatory manner, free of charge and

(5) Open science, including open access to scientific publications and research data, has the potential to increase the quality, impact and benefits of science and to accelerate the advancement of knowledge by making it more reliable, more efficient and accurate, better understandable by society and responsive to societal challenges. This is particularly important for actors in developing countries, where local research capacity must be improved and whose collaboration with Union partners can help to tackle common global challenges

PE627.590v03-00 6/35 AD\1168116EN.docx

EN

as early as possible in the dissemination process, and to enable their widest possible use and re-use. More emphasis should in particular be given to the responsible management of research data, which should comply with the FAIR principles of ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’, notably through the mainstreaming of Data Management Plans. Where appropriate, beneficiaries should make use of the possibilities offered by the European Open Science Cloud and adhere to further open science principles and practices.

and contribute to Union research excellence. Provisions should be laid down to ensure that beneficiaries provide open access to peer-reviewed scientific publications, research data and other research outputs in an open and non-discriminatory manner, free of charge and as early as possible in the dissemination process, and to enable their widest possible use and re-use. More emphasis should in particular be given to the responsible management of research data, which should comply with the FAIR principles of ‘Findability’, ‘Accessibility’, ‘Interoperability’ and ‘Reusability’, notably through the mainstreaming of Data Management Plans. Where appropriate, beneficiaries should make use of the possibilities offered by the European Open Science Cloud and adhere to further open science principles and practices.

Amendment 7



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

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

AD\1168116EN.docx 7/35 PE627.590v03-00

EN

Amendment 8



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

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

Amendment 9



(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



PE627.590v03-00 8/35 AD\1168116EN.docx

EN

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

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

Amendment 11



(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 regulationRecital 12 b (new)


(12b) Major efforts to support the pursuit of the SDGs also in developing

AD\1168116EN.docx 9/35 PE627.590v03-00

EN

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



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

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

PE627.590v03-00 10/35 AD\1168116EN.docx

EN

for instance to address antimicrobial resistance and tuberculosis.

Amendment 14



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

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

Amendment 15



(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


AD\1168116EN.docx 11/35 PE627.590v03-00

EN


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

Amendment 17



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

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

PE627.590v03-00 12/35 AD\1168116EN.docx

EN

promoted in order to encourage the contribution of worldwide talent to the delivery of the programme.

Amendment 18



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

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

Amendment 19


AD\1168116EN.docx 13/35 PE627.590v03-00

EN


(28) The activities developed under the Programme should aim at eliminating gender inequalities and promoting equality between women and men in research and innovation, in compliance with Articles 2 and 3 of the Treaty on European Union and Article 8 of the TFEU. The gender dimension should be adequately integrated in research and innovation content and followed through at all stages of the research cycle.

(28) The activities developed under the Programme should aim at eliminating gender inequalities and promoting equality between women and men in research and innovation, in compliance with Articles 2 and 3 of the Treaty on European Union and Article 8 of the TFEU. The gender dimension should be adequately integrated in research and innovation content and followed through at all stages of the research cycle. The Programme should include concrete measures to counteract unintentional gender bias.

Amendment 20



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

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

PE627.590v03-00 14/35 AD\1168116EN.docx

EN

Member States.

Amendment 21



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


(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,

AD\1168116EN.docx 15/35 PE627.590v03-00

EN

effective multilateralism and the international rule of law in order to facilitate the pursuit of these objectives; global challenges are included in the notion of societal challenges - which should in turn be defined through the active involvement of civil society and citizen participation mechanisms and other innovative decision making processes, without being fully covered by this notion;

Justification

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

Amendment 23

Proposal for a regulationArticle 2 – paragraph 1 – point 4


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

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

Amendment 24

Proposal for a regulation Article 3 – paragraph 1


1. The Programme’s general objective is to deliver scientific, economic and societal impact from the Union’s investments in research and innovation so as to strengthen the scientific and technological bases of the Union and foster its competitiveness, including in its industry, deliver on the Union strategic

1. The Programme’s general objective is to deliver scientific, economic, climate and societal impact from the Union’s investments in research and innovation so as to strengthen the scientific and technological bases of the Union and foster its competitiveness, including in its industry, deliver on the Union strategic

PE627.590v03-00 16/35 AD\1168116EN.docx

EN

priorities, and contribute to tackling global challenges, including the Sustainable Development Goals.

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

Amendment 25

Proposal for a regulationArticle 3 – paragraph 2 – point a


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

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

Amendment 26

Proposal for a regulationArticle 3 – paragraph 2 – point b


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

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

Amendment 27

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


(d a) to contribute to the fulfilment of the Union's commitment under the Paris

AD\1168116EN.docx 17/35 PE627.590v03-00

EN

Agreement by investing at least 50 % of the Programme’s financial envelope in climate-related research and innovation.

Justification

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

Amendment 28

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


(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 regulationArticle 7 – paragraph 3 – point a


(a) have a clear EU-added value and contribute to reaching Union priorities;

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

Amendment 30

Proposal for a regulationArticle 7 – paragraph 3 – point a a (new)


(aa) facilitating achievement of the SDGs;

PE627.590v03-00 18/35 AD\1168116EN.docx

EN

Amendment 31

Proposal for a regulationArticle 9 – paragraph 2 a (new)


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


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

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

Amendment 33

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


(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



AD\1168116EN.docx 19/35 PE627.590v03-00

EN

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 regulationArticle 18 – paragraph 5 b (new)


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 regulationArticle 19 – paragraph 2 – introductory part


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

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

PE627.590v03-00 20/35 AD\1168116EN.docx

EN

eligible for funding in an action if:

Amendment 37

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


(ca) contribution to the implementation of the SDGs.

Amendment 38

Proposal for a regulationArticle 34 – paragraph 2


2. Beneficiaries having received Union funding shall adequately protect their results if protection is possible and justified, taking into account all relevant considerations, including the prospects for commercial exploitation. When deciding on protection, beneficiaries shall also consider the legitimate interests of the other beneficiaries in the action;

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

Amendment 39



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

AD\1168116EN.docx 21/35 PE627.590v03-00

EN

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



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 regulationArticle 45 – paragraph 1


1. Indicators to report on progress of the Programme towards the achievement of the objectives established in Article 3 are set in Annex V along impact pathways.

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

Amendment 42

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

PE627.590v03-00 22/35 AD\1168116EN.docx

EN


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


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

Amendment 44

Proposal for a regulationAnnex I – point 1 – point b


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

(b) Marie Skłodowska-Curie Actions: Equipping researchers with new knowledge and skills through mobility and exposure across borders, sectors and disciplines, while preventing brain-drain from developing countries and actively supporting the build-up of R&I competence in a direct relation with local and regional needs and in coordination with the Union’s development instrument, as well as structuring and improving institutional and national recruitment, training and career development systems; in so doing, the Marie Skłodowska-Curie Actions help to lay the foundations of

AD\1168116EN.docx 23/35 PE627.590v03-00

EN

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 regulationAnnex I – point 2 – introductory part – paragraph 1


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

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

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

Amendment 46

Proposal for a regulationAnnex I – point 2 – paragraph 1 – subparagraph 1


Through the following activities, this pillar will, in line with Article 4, strengthen the impact of research and innovation in

Through the following activities, this pillar will, in line with Article 4, strengthen the impact of research and innovation in

PE627.590v03-00 24/35 AD\1168116EN.docx

EN

developing, supporting and implementing Union policies, and support the uptake of innovative solutions in industry and society to address global challenges. It will also contribute to the other Programme's specific objectives as described in Article 3.

developing, supporting and implementing Union policies, contributing to the fulfilment of the SDGs and support the uptake of innovative solutions in industry and society to address global challenges. It will also contribute to the other Programme's specific objectives as described in Article 3.

Amendment 47

Proposal for a regulationAnnex I – point 2 – paragraph 4 – point a – subparagraph 1


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

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

Amendment 48

Proposal for a regulationAnnex I – point 2 – paragraph 4 – point b – subparagraph 2


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

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

Amendment 49

Proposal for a regulationAnnex I – point 2 – paragraph 4 – point c – subparagraph 2

AD\1168116EN.docx 25/35 PE627.590v03-00

EN


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

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

Amendment 50

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


Cluster 'Climate, Energy and Mobility': Fighting climate change by better understanding its causes, evolution, risks, impacts and opportunities, and by making the energy and transport sectors more climate and environment-friendly, more efficient and competitive, smarter, safer and more resilient.

Cluster 'Climate, Energy and Mobility': Fighting climate change by better understanding its causes, evolution, risks, impacts and opportunities, and by making the energy and transport sectors more climate and environment-friendly, more efficient and affordable, smarter, safer and more resilient.

Amendment 51

Proposal for a regulationAnnex I – point 2 – paragraph 4 – point d – subparagraph 2


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

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

Amendment 52

Proposal for a regulationAnnex I – point 2 – paragraph 4 – point e – subparagraph 2


PE627.590v03-00 26/35 AD\1168116EN.docx

EN

Areas of intervention: Environmental observation; Biodiversity and natural capital; Agriculture, forestry and rural areas; Sea and oceans; Food systems; Bio-based innovation systems; Circular systems

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

Amendment 53

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


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

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

Amendment 54

Proposal for a regulationAnnex I – point 2 – paragraph 4 – point f – subparagraph 2


Areas of intervention: Health; resilience and security; digital and industry; climate, energy and mobility; food and natural resources; support to the functioning of the internal market and the economic governance of the Union; support to Member States with implementation of legislation and development of smart

Areas of intervention: Health; resilience and human security; peacebuilding and conflict prevention including early warning, digital and industry; climate, energy and mobility; food and natural resources; support to the functioning of the internal market and the economic governance of the Union; support to

AD\1168116EN.docx 27/35 PE627.590v03-00

EN

specialisation strategies; analytical tools and methods for policy making; knowledge management; knowledge and technology transfer; support to science for policy platforms.

Member States with implementation of legislation and development of smart specialisation strategies; analytical tools and methods for policy making; knowledge management; knowledge and technology transfer; support to science for policy platforms

Amendment 55

Proposal for a regulationAnnex I – point 3 – paragraph 1 – point a – subparagraph 1


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

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

Amendment 56

Proposal for a regulationAnnex I – point 3 – paragraph 1 – point c – subparagraph 1


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

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

Amendment 57

Proposal for a regulationAnnex II – paragraph 2 – indent 5


– Training and mobility action: action geared towards improvement of skills, knowledge and career prospects of researchers based on mobility between

– Training and mobility action: action geared towards improvement of skills, knowledge and career prospects of researchers based on mobility between

PE627.590v03-00 28/35 AD\1168116EN.docx

EN

countries, and, if relevant, between sectors or disciplines;

countries, and, if relevant, between sectors or disciplines, while fostering collaboration with low and middle income countries;

Amendment 58

Proposal for a regulationAnnex III – point 1 – point a – subparagraph 1


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

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

Amendment 59

Proposal for a regulationAnnex III – point 1 – point c


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

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

Amendment 60

Proposal for a regulationAnnex III – point 1 – point d – indent 1

AD\1168116EN.docx 29/35 PE627.590v03-00

EN


– identification of measurable expected outcomes, deliverables and impacts within specific timeframes, including key economic value for Europe;

– identification of measurable expected outcomes, deliverables and impacts within specific timeframes, including economic value for Europe and contribution to the SDGs;

Amendment 61

Proposal for a regulationAnnex IV – point 4 – point a


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

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

Amendment 62

Proposal for a regulationAnnex IV – point 6 – point b


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

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

Amendment 63

PE627.590v03-00 30/35 AD\1168116EN.docx

EN

Proposal for a regulationAnnex IV – point 11


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

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

_________________1a TRIPS Agreement: The Agreement on Trade-Related Aspects of Intellectual Property Rights (TRIPS) Article 66.2 Article 66.2 of the TRIPS Agreement requires developed-country Members to provide incentives to enterprises and institutions in their territories for the purpose of promoting and encouraging technology transfer to least-developed country Members in order to enable them to create a sound and viable technological base.

AD\1168116EN.docx 31/35 PE627.590v03-00

EN

Amendment 64

Proposal for a regulationAnnex V – paragraph 4


The Programme is expected to have societal impact by addressing EU policy priorities through R&I, delivering benefits and impact through R&I missions and strengthening the uptake of innovation in society. Progress towards this impact will be monitored through proxy indicators set along the following four key impact pathways.

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

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

Amendment 65

Proposal for a regulationAnnex V – table 2 – column 1 – row 2


Addressing EU policy priorities through R&I

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

Amendment 66



Delivering benefits and impact through R&I missions

Delivering societal benefits and impact through R&I missions

PE627.590v03-00 32/35 AD\1168116EN.docx

EN

Amendment 67



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

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

Amendment 68



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

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

Amendment 69



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

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

AD\1168116EN.docx 33/35 PE627.590v03-00

EN

PROCEDURE – COMMITTEE ASKED FOR OPINION

Title Proposal for a regulation of the European Parliament and of the Council establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination

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

Committee responsible Date announced in plenary

ITRE14.6.2018

Opinion by Date announced in plenary

DEVE14.6.2018

Rapporteur Date appointed

Lola Sánchez Caldentey4.9.2018

Discussed in committee 8.10.2018

Date adopted 12.11.2018

Result of final vote +:–:0:

1419

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

Substitutes present for the final vote Frank Engel, Stefan Gehrold, Paul Rübig

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

Georgi Pirinski, Helmut Scholz

PE627.590v03-00 34/35 AD\1168116EN.docx

EN

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 0ECR 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- : against0 : abstention

AD\1168116EN.docx 35/35 PE627.590v03-00

EN

pa_legam · web view(1a)‘global challenges’ mean achieving the sdgs and the objectives of the...

Documents