BETA

67 Amendments of Christian EHLER related to 2011/0399(COD)

Amendment 126 #
Proposal for a regulation
Recital 8
(8) 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 these rules should be in conformity with the measures adopted in accordance with Articles 75 and 215 TFEU and be in compliance with international law. Moreover, the implementation of these rules should duly take into account conditions for the participation of Union entities in third countries' programmes, as well as take into consideration the conditions arising from the legal frameworks of the participating third countries and international organisations.
2012/07/02
Committee: ITRE
Amendment 157 #
Proposal for a regulation
Recital 15 a (new)
(15a) In accordance with Regulation (EU) No XX/XX [Financial Regulation], these rules for the participation and dissemination should provide the basis for a wider acceptance of the usual accounting practices of the beneficiaries and to accept beneficiaries' own accounting practices in establishing eligible costs. For this purpose, the requirements of audit certificates, including the certificates on methodology, should be adapted appropriately. The Commission should establish to the greatest possible extent a single audit approach, leaving sufficient flexibility for the acknowledgement of common accounting practices, with due regard to nationally accepted accounting practices.
2012/07/02
Committee: ITRE
Amendment 164 #
Proposal for a regulation
Recital 19
(19) Rules governing the exploitation and dissemination of results should be laid down to ensure that the participants protect, exploit and disseminate those results as appropriate, in particular the possibility of additional exploitation conditions in the European strategic interest. It is necessary to place more emphasis on the widest possible use and dissemination of knowledge generated by the supported activities whilst recognising the importance of protecting intellectual property.
2012/07/02
Committee: ITRE
Amendment 186 #
Proposal for a regulation
Article 2 – paragraph 1 – point 4
(4) 'background' means any data, know- how and/or information whatever their form or nature as well as any rights such as intellectual property rights which are (i) held by participants prior to their accession to the action, (ii) needed for carrying out the indirect action or for using the results of the indirect action, and (iii) identified by the participants in accordance with Article 42;
2012/07/02
Committee: ITRE
Amendment 189 #
Proposal for a regulation
Article 2 – paragraph 1 – point 5 a (new)
(5a) 'experimental development' means the acquiring, combining, shaping and using of existing scientific, technological, business and other relevant knowledge and skills for the purpose of producing plans and arrangements or designs for new, altered or improved products, processes or services, including activities such as prototyping, experimental production, testing, demonstrating, piloting, and market replication;
2012/07/02
Committee: ITRE
Amendment 197 #
Proposal for a regulation
Article 2 – paragraph 1 – point 7
(7) 'dissemination' means the public disclosure of the results by any appropriate means (other than resulting from protecting or exploiting the results), including by publishingcations in any medium;
2012/07/02
Committee: ITRE
Amendment 213 #
Proposal for a regulation
Article 2 – paragraph 1 – point 15
(15) 'results' means any data, knowledge and, information, objects and other tangible outputs, whatever their form or nature, whether or not they can be protected, which are generated in the action as well as any attached rights, including intellectual property rights. For the purposes of this Regulation, publications shall not be considered as results;
2012/07/02
Committee: ITRE
Amendment 215 #
Proposal for a regulation
Article 2 – paragraph 1 – point 15
(15) 'results' means any artefacts and other tangible outputs, data, knowledge and information whatever their form or nature, whether or not they can be protected, which are generated in the action as well as any rights attached rightsto them, including intellectual property rights;
2012/07/02
Committee: ITRE
Amendment 227 #
Proposal for a regulation
Article 2 – paragraph 3 a (new)
3a. For the purposes of point (10), simplified rules shall apply for public authorities as regards legal personality.
2012/07/02
Committee: ITRE
Amendment 230 #
Proposal for a regulation
Article 3 – paragraph 1
Subject to the conditions established in the implementing agreements, decisions or contracts, any data, knowledge and information communicated as confidential in the frame of an action shall be kept confidential by the Union institutions and bodies and the participants in an action, taking due account of any rules regarding the protection of classified information.
2012/07/02
Committee: ITRE
Amendment 242 #
Proposal for a regulation
Article 4 a (new)
Article 4a Guidance and information for potential participants 1. The Commission shall ensure that sufficient guidance and information is made available to all potential participants, in parallel with the publication of the first annual work programme of Horizon 2020. 2. The following documents shall be drawn up in close cooperation with all relevant stakeholders and adopted by the Commission by means of implementing acts in accordance with the examination procedure referred to in Article 9(2): a) rules for submission, evaluation, selection and award; b) standard model grant agreement; c) rules on audit certification. 3. Furthermore, the following guidance and information documents shall be drawn up in close cooperation with all relevant stakeholders and disseminated by the Commission appropriately: a) guidance note on drafting proposals, including detailed information on the evaluation and selection process; b) guidance note for beneficiaries; c) guide to financial issues; d) guide to intellectual property rights (IPR); e) checklist for consortium agreement. 4. The stipulations the Commission adapts in the above mentioned documents, concerning the interpretation of the rules laid down in Regulation (EU) No XX/XX [Financial Regulation] and this Regulation, shall remain valid throughout the whole duration of the programme.
2012/07/02
Committee: ITRE
Amendment 275 #
Proposal for a regulation
Article 10 a (new)
Article 10a A simplified two-stage evaluation procedure may apply, if stated so in the work programme, provided that no prolongation of the overall evaluation period is entailed.
2012/07/02
Committee: ITRE
Amendment 283 #
Proposal for a regulation
Article 12 – paragraph 1 a (new)
1a. Where appropriate, e.g. if it is expected that there will be a high volume of applications, the Commission may decide to use a two stage application procedure, provided that the evaluation is undertaken thoroughly in the first stage (objectives, scientific approach, competences of participants, added value of scientific collaboration and overall budget) and provided that it is not at the expense of materially longer time-to- contract or grant periods;
2012/07/02
Committee: ITRE
Amendment 287 #
Proposal for a regulation
Article 12 – paragraph 2
2. Any proposal for research on human embryonic stem cells shall include, as appropriate, details of licensing and control measures that will be taken by the competent authorities of the Member States as well as details of the ethical approvals that will be provided, as appropriate. As regards the derivation of human embryonic stem cells, institutions, organisations and researchers shall be subject to strict licensing and control in accordance with the legal framework of the Member States involved.
2012/07/02
Committee: ITRE
Amendment 299 #
Proposal for a regulation
Article 13 – paragraph 1 a (new)
1a. The Commission shall make the process of ethics review as transparent as possible to the project officers and to participants.
2012/07/02
Committee: ITRE
Amendment 300 #
Proposal for a regulation
Article 13 – paragraph 1 b (new)
1b. The Commission shall try to ensure that ethics reviews do not, where possible, result in undue delay in the start, continuation or completion of projects.
2012/07/02
Committee: ITRE
Amendment 353 #
Proposal for a regulation
Article 16 – paragraph 2
2. The grant agreement shall establish the rights and obligations of the participants, and either of the Commission or the relevant funding bodies. It shall also establish the rights and obligations of legal entities which become participants during the implementation of the action.
2012/07/02
Committee: ITRE
Amendment 370 #
Proposal for a regulation
Article 17 c (new)
Article 17c Communications 1. The ethics approval process shall be transparent to participants and to applicants, especially when this process is the source of a delay in the initiation of projects. Information that has already been submitted in the bid should not need to be re-drafted for the ethical approval. Where possible, the Commission shall use all the information that has already been submitted by the applicant(s) in the bid in order to make its approval and shall only ask for additional information where it can prove that this information is absolutely necessary. 2. Participants shall be able to communicate directly with project officers in cases where they have repeated concerns regarding the management of a project or the actions of the project coordinator. If the project officer is absent, he/she shall ensure that participants have the contact details for his/her deputy, who should be able to make decisions in the project officer's absence. Contact details for the relevant Commission officials must be made available and made known to participants. 3. At the request of participants, and to enable them to prepare for future bids, the Commission shall give feedback to applicants on unsuccessful bids including the strengths and weaknesses as considered by the independent experts referred to in Article 37 of the Regulation.
2012/07/02
Committee: ITRE
Amendment 375 #
Proposal for a regulation
Article 19 – paragraph 1 a (new)
1a. Participants may submit to the Commission clarifications or interpretations relating to the application of the rules governing participation in the Horizon 2020 framework programme. In such cases, if the Commission does not reply within two months, the participant’s position shall be deemed to have been endorsed.
2012/07/02
Committee: ITRE
Amendment 389 #
Proposal for a regulation
Article 20 – paragraph 2
2. The members of a consortium participating in an action shall conclude an internal agreement (the consortium agreement), except in duly justified cases provided for in the work programme or work plan or call for proposalsthat establishes the rights and obligations of the members in the consortium (the consortium agreement). This however shall not prevent individual members of the consortium from being able to enter into direct dialogue with the Commission or the relevant funding body, in particular when they have concerns over the actions of the coordinator.
2012/07/02
Committee: ITRE
Amendment 410 #
Proposal for a regulation
Article 22 – paragraph 3
3. A single rReimbursement rate of theof eligible costs shall be applied per action for all activities funded therein. The maximum rate shall be fixed in the work programme or work plan.based on the following fixed rates per type of activity and per type of participant, depending on the method of cost calculation chosen by the participant:
2012/07/03
Committee: ITRE
Amendment 411 #
Type of Method of cost Type of activity calculation participant University/ SME Industry RTOs/ Other Research & total eligible 100% + 20% 100% + 20% 70% + 20% Development costs + flat rate full costs 70% 70% 50% Experimental total eligible 100%+20% 70% + 20% 30% + 20% Development costs + flat rate full costs 70% 50% 35%
2012/07/03
Committee: ITRE
Amendment 419 #
Proposal for a regulation
Article 22 – paragraph 4
4. The Horizon 2020 grant may reach a maximum of 100 % of the total eligible costs, without prejudice to the co- financing principle.deleted
2012/07/03
Committee: ITRE
Amendment 430 #
Proposal for a regulation
Article 22 – paragraph 5
5. The Horizon 2020 grant shall be limited to a maximum of 70 % of the total eligible costs for the following actions: (a) actions primarily consisting of activities such as prototyping, testing, demonstrating, experimental development, piloting, market replication; (b) programme co-fund actions.deleted
2012/07/03
Committee: ITRE
Amendment 438 #
Proposal for a regulation
Article 22 – paragraph 5 – point a
(a) actions primarily consisting of activities such as prototyping, testing, demonstrating, experimental development, piloting, market replication;deleted
2012/07/03
Committee: ITRE
Amendment 468 #
Proposal for a regulation
Article 22 – paragraph 6 a (new)
6a. In cases where projects are completed under-budget or money allocated to a project has not been spent, the Commission shall provide the appropriate means to allow money to be returned to the Horizon 2020 budget.
2012/07/03
Committee: ITRE
Amendment 472 #
Proposal for a regulation
Article 23 – paragraph 1
1. Conditions for eligibility of costs are defined in Article X of Regulation (EU) No xx [the Financial Regulation/Delegated Regulation]. Costs incurred by third parties under the action may be eligible according to the provisions of this Regulation and of the grant agreement. Costs associated with the use of internal or shared facilities, equipment and services may also be eligible according to the provisions of this Regulation and of the grant agreement.
2012/07/03
Committee: ITRE
Amendment 494 #
Proposal for a regulation
Article 24 – paragraph 1 a (new)
1a. Alternatively to paragraph 1, a beneficiary may opt to determine its indirect eligible costs based on indirect costs that are actually incurred in direct relationship with the eligible costs attributed to the project, according to the beneficiary's usual cost accounting practices. In this case the reimbursement rates for full costs calculation stipulated in Article 22(3) shall apply.
2012/07/03
Committee: ITRE
Amendment 536 #
Proposal for a regulation
Article 27 – paragraph 2 – point a
(a) they are calculated on the basis of the total actual personnel costs recorded in the participant's general accounts which may be adjusted on the basis of budgeted or estimated elements according to the conditions defined by the Commission;
2012/07/03
Committee: ITRE
Amendment 551 #
Proposal for a regulation
Article 29 – paragraph 1
1. Participants that calculate and claim direct personnel costs on the basis of scale of unit costs mayor participants that claim indirect eligible costs actually incurred shall submit to the Commission a certificate on the methodology. That methodology shalle Commission shall accept such a certificate where it complyies with the conditions set out in Articles 27(2) and meet the requirements of grant agreement4 (1a) or 27(2).
2012/07/03
Committee: ITRE
Amendment 557 #
Proposal for a regulation
Article 30 – paragraph 2
2. The Commission and the Court of Auditors shall accept the certificates referred to in paragraph 1, unless there is reasonable doubt regarding their integrity. Upon request by the Commission, the Court of Auditors or the European Anti- fraud Office (OLAF), the auditor who delivers the certificate on the financial statements and on the methodology shall grant access to the supporting documents and audit working papers on the basis of which a certificate on the financial statements was issued.
2012/07/03
Committee: ITRE
Amendment 560 #
Proposal for a regulation
Article 34
Article 34 Prizes Union funding may take the form of prizes as defined in Title VII of Regulation (EU) No XX/XX [Financial Regulation].deleted
2012/07/03
Committee: ITRE
Amendment 561 #
Proposal for a regulation
Article 35
Article 35 Procurement, pre-commercial procurement and public procurement of innovative solutions 1. Any procurement carried out by the Commission on its own behalf or jointly with Member States shall be subject to the rules on public procurement as set out in Regulation (EU) No xx/2012 [Financial Regulation] and Regulation (EU) No XX/XX [the Delegated Regulation]. 2. Union funding may take the form of pre- commercial procurement or procurement of innovative solutions carried out by the Commission or the relevant funding body on its own behalf or jointly with contracting authorities from Member States and associated countries. The procurement procedures: (a) shall comply with the principles of transparency, non-discrimination, equal treatment, sound financial management, proportionality, and with competition rules and, where applicable, with Directives 2004/17/EC, 2004/18/EC and 2009/81/EC, or, where the Commission acts on its own behalf, with Regulation (EU) No XX/2012 [the Financial Regulation]; (b) may provide for specific conditions such as the place of performance of the procured activities being limited for pre- commercial procurement to the territory of the Member States and of countries associated to Horizon 2020 where duly justified by the objectives of the actions; (c) may authorise the award of multiple contracts within the same procedure (multiple sourcing); (d) shall provide for the award of the contracts to the tender(s) offering best value for money.deleted
2012/07/03
Committee: ITRE
Amendment 562 #
Proposal for a regulation
Article 35 – paragraph 1
1. Any procurement carried out by the Commission on its own behalf or jointly with Member States shall be subject to the rules on public procurement as set out in Regulation (EU) No xx/2012 [Financial Regulation] and Regulation (EU) No XX/XX [the Delegated Regulation].deleted
2012/07/03
Committee: ITRE
Amendment 563 #
Proposal for a regulation
Article 35 – paragraph 2 – subparagraph 1
Union funding may take the form of pre- commercial procurement or procurement of innovative solutions carried out by the Commission or the relevant funding body on its own behalf or jointly with contracting authorities from Member States and associated countries.deleted
2012/07/03
Committee: ITRE
Amendment 564 #
Proposal for a regulation
Article 35 – paragraph 2 – subparagraph 2
The procurement procedures: (a) shall comply with the principles of transparency, non-discrimination, equal treatment, sound financial management, proportionality, and with competition rules and, where applicable, with Directives 2004/17/EC, 2004/18/EC and 2009/81/EC, or, where the Commission acts on its own behalf, with Regulation (EU) No XX/2012 [the Financial Regulation]; (b) may provide for specific conditions such as the place of performance of the procured activities being limited for pre- commercial procurement to the territory of the Member States and of countries associated to Horizon 2020 where duly justified by the objectives of the actions; (c) may authorise the award of multiple contracts within the same procedure (multiple sourcing); (d) shall provide for the award of the contracts to the tender(s) offering best value for money.deleted
2012/07/03
Committee: ITRE
Amendment 565 #
Proposal for a regulation
Article 35 – paragraph 2 – subparagraph 2 – point a
(a) shall comply with the principles of transparency, non-discrimination, equal treatment, sound financial management, proportionality, and with competition rules and, where applicable, with Directives 2004/17/EC, 2004/18/EC and 2009/81/EC, or, where the Commission acts on its own behalf, with Regulation (EU) No XX/2012 [the Financial Regulation];deleted
2012/07/03
Committee: ITRE
Amendment 567 #
Proposal for a regulation
Article 35 – paragraph 2 – subparagraph 2 – point b
(b) may provide for specific conditions such as the place of performance of the procured activities being limited for pre- commercial procurement to the territory of the Member States and of countries associated to Horizon 2020 where duly justified by the objectives of the actions;deleted
2012/07/03
Committee: ITRE
Amendment 568 #
Proposal for a regulation
Article 35 – paragraph 2 – subparagraph 2 – point c
(c) may authorise the award of multiple contracts within the same procedure (multiple sourcing);deleted
2012/07/03
Committee: ITRE
Amendment 569 #
Proposal for a regulation
Article 35 – paragraph 2 – subparagraph 2 – point d
(d) shall provide for the award of the contracts to the tender(s) offering best value for money.deleted
2012/07/03
Committee: ITRE
Amendment 570 #
Proposal for a regulation
Article 36
Article 36 Financial instruments 1. Financial instruments may take any of the forms referred to in and shall be implemented in accordance with [Title VIII] of Regulation (EU) No XX/XX [the Financial Regulation] and may be combined with grants funded under the Union budget, including under Horizon 2020. 2. In accordance with Article [18(2)] of Regulation (EU) No XX/XX [the Financial Regulation], revenues and repayments generated by a financial instrument set up under Regulation (EU) No XX/XX [Horizon 2020] shall be assigned to that financial instrument. 3. Revenues and repayments generated by the Risk-Sharing Finance facility set up under Decision No 1982/2006/EC and the early stage part of the High-Growth and Innovative SME Facility (GIF1) set up under the Decision No 1639/2006/EC of the European Parliament and of the Council24 , shall be assigned to the succeeding financial instruments under Regulation (EU) No XX/XX [Horizon 2020].deleted
2012/07/03
Committee: ITRE
Amendment 571 #
Proposal for a regulation
Article 36 – paragraph 1
1. Financial instruments may take any of the forms referred to in and shall be implemented in accordance with [Title VIII] of Regulation (EU) No XX/XX [the Financial Regulation] and may be combined with grants funded under the Union budget, including under Horizon 2020.deleted
2012/07/03
Committee: ITRE
Amendment 573 #
Proposal for a regulation
Article 36 – paragraph 3
3. Revenues and repayments generated by the Risk-Sharing Finance facility set up under Decision No 1982/2006/EC and the early stage part of the High-Growth and Innovative SME Facility (GIF1) set up under the Decision No 1639/2006/EC of the European Parliament and of the Council24 , shall be assigned to the succeeding financial instruments under Regulation (EU) No XX/XX [Horizon 2020].deleted
2012/07/03
Committee: ITRE
Amendment 638 #
Proposal for a regulation
Article 39 – paragraph 1
1. Where results are capable or may reasonably be expected to be capable of commercial or industrial application, the participant owning these results shall examine the possibility for protection and, if possible and justified given the circumstances, shall adequately protect them for an appropriate period of time and with an appropriate territorial coverage, having due regard to its legitimate interests and the legitimate interests, particularly the commercial interests, of the other participants in the action.
2012/07/03
Committee: ITRE
Amendment 640 #
Proposal for a regulation
Article 39 – paragraph 2 – subparagraph 1
2. Where a participant that has received Union funding intends not to protect results generated by it for reasons other than impossibility under Union or national law or the lack of potential for commercial exploitation, and unless the participant intends to transfer them to another legal entity established in a Member State or associated country in view of their protection, it shall inform the Commission or funding body before any dissemination relating to these results takes place. The Commission on behalf of the Union or the funding body, with the consent of the owning participant, may assume ownership of these results and take the necessary steps for their adequate protection.
2012/07/03
Committee: ITRE
Amendment 654 #
Proposal for a regulation
Article 40 – paragraph 2 – subparagraph 3
With regard to dissemination through research publications, open access shall apply under the terms and conditions laid down in the grant agreement. With regard to dissemination of other results, including research data, the grant agreement may lay down the terms and conditions under which open access to such results shall be provided, in particular in ERC frontier research or in other appropriate areasbe promoted.
2012/07/03
Committee: ITRE
Amendment 664 #
Proposal for a regulation
Article 40 – paragraph 2 – subparagraph 3 a (new)
Open access to research publications that are published after the duration of a project shall be supported through a lump sum to be paid at the end of a project.
2012/07/03
Committee: ITRE
Amendment 687 #
Proposal for a regulation
Article 41 – paragraph 2
2. Provided that any access rights to the results can be exercised and that any additional exploitation obligations are complied with by the participant who owns results, the participant who owns results may grant licences or otherwise give the right to exploit them results to any legal entity, including on an exclusive basis. Exclusive licences for results may be granted subject to written confirmation by all the other participants that they waive their access rights thereto.
2012/07/03
Committee: ITRE
Amendment 699 #
Proposal for a regulation
Article 43 – paragraph 1
1. Any request to exercise access rights or any waiving of access rights shall be made in writing. Waiving of access rights can only be done on a case-by-case basis, after the particular result or background has been generated.
2012/07/03
Committee: ITRE
Amendment 712 #
Proposal for a regulation
Article 45 – paragraph 1 – subparagraph 2
Subject toUnless otherwise agreementd, such access shall be granted under fair and reasonable conditions.
2012/07/03
Committee: ITRE
Amendment 717 #
Proposal for a regulation
Article 45 – paragraph 2 – subparagraph 2
Subject toUnless otherwise agreementd, such access shall be granted under fair and reasonable conditions.
2012/07/03
Committee: ITRE
Amendment 724 #
Proposal for a regulation
Article 46 – paragraph 1 – subparagraph 1
1. The Union institutions and bodies shall, for the purpose of developing, implementing and monitoring Union policies or programmes, enjoy access rights to the results of a participant that has received Union funding. Such access rights are limited to non-commercial and non- competitive use and do not include the right to sub-license. The Union shall provide sufficient evidence to the owning participant that the access rights will contribute to developing, implementing and monitoring Union policies or programmes.
2012/07/03
Committee: ITRE
Amendment 732 #
Proposal for a regulation
Title 3 – chapter 1 – section 3
SPECIFIC CASES Specific provisions 1. In the case of actions involving security-related activities, the grant agreement may lay down specific provisions, in particular on changes to the consortium's composition, classified information, exploitation, dissemination, transfers and licences of results. 2. In the case of actions to support existing or new research infrastructures, the grant agreement may lay down specific provisions relating to users of the infrastructure. 3. In the case of ERC frontier research actions, the grant agreement may lay down specific provisions, in particular on access rights, portability and dissemination, relating to participants, researchers and any party concerned by the action. 4. In the case of training and mobility actions, the grant agreement may lay down specific provisions on commitments relating to the researchers benefiting from the action, ownership, access rights and portability. 5. In the case of coordination and support actions, the grant agreement may lay down specific provisions, in particular on ownership, access rights, exploitation and dissemination. 6. In the case of the SME instrument and grants by funding bodies targeting SMEs, the grant agreement may lay down specific provisions, in particular on ownership, access rights, exploitation and dissemination. 7. In the case of the Knowledge and Innovation Communities of the EIT, the grant agreement may lay down specific provisions, in particular on ownership, access rights, exploitation and dissemination.deleted
2012/07/03
Committee: ITRE
Amendment 733 #
Proposal for a regulation
Article 47
Article 47 Specific provisions 1. In the case of actions involving security-related activities, the grant agreement may lay down specific provisions, in particular on changes to the consortium's composition, classified information, exploitation, dissemination, transfers and licences of results. 2. In the case of actions to support existing or new research infrastructures, the grant agreement may lay down specific provisions relating to users of the infrastructure. 3. In the case of ERC frontier research actions, the grant agreement may lay down specific provisions, in particular on access rights, portability and dissemination, relating to participants, researchers and any party concerned by the action. 4. In the case of training and mobility actions, the grant agreement may lay down specific provisions on commitments relating to the researchers benefiting from the action, ownership, access rights and portability. 5. In the case of coordination and support actions, the grant agreement may lay down specific provisions, in particular on ownership, access rights, exploitation and dissemination. 6. In the case of the SME instrument and grants by funding bodies targeting SMEs, the grant agreement may lay down specific provisions, in particular on ownership, access rights, exploitation and dissemination. 7. In the case of the Knowledge and Innovation Communities of the EIT, the grant agreement may lay down specific provisions, in particular on ownership, access rights, exploitation and dissemination.deleted
2012/07/03
Committee: ITRE
Amendment 746 #
Proposal for a regulation
Article 48
Article 48 Prizes Any prize awarded shall be conditional on the acceptance of the appropriate publicity obligations. The work programme or work plan may contain specific obligations regarding exploitation and dissemination.deleted
2012/07/03
Committee: ITRE
Amendment 752 #
Proposal for a regulation
Article 49
Article 49 Procurement, pre-commercial procurement and public procurement of innovative solutions 1. Unless otherwise stipulated in the call for tenders, results generated by procurement carried out by the Commission shall be owned by the Union. 2. Specific provisions regarding ownership, access rights and licensing shall be laid down in the contracts regarding pre-commercial procurement to ensure maximum uptake of the results and to avoid any unfair advantage. The contractor generating results in pre- commercial procurement shall own at least the attached intellectual property rights. The contracting authorities shall enjoy at least royalty-free access rights to the results for their own use as well as the right to grant, or require the participating contractors to grant, non-exclusive licences to third parties to exploit the results under fair and reasonable conditions without any right to sub- licence. If a contractor fails to commercially exploit the results within a given period after the pre-commercial procurement as identified in the contract, it shall transfer any ownership of the results to the contracting authorities. 3. Specific provisions regarding ownership, access rights and licensing may be laid down in the contracts regarding public procurement of innovative solutions to ensure maximum uptake of the results and to avoid any unfair advantage.deleted
2012/07/03
Committee: ITRE
Amendment 756 #
Proposal for a regulation
Title III a (new)
Title IIIa Specific provisions
2012/07/03
Committee: ITRE
Amendment 757 #
Proposal for a regulation
Article 49 a (new)
Article 49a Procurement, pre-commercial procurement and procurement of innovative solutions Procurement, pre-commercial procurement and procurement of innovative solutions 1. Any procurement carried out by the Commission jointly with Member States shall be subject to the rules on public procurement set out in Regulation (EU) No XX/XX [the Financial Regulation] and Regulation (EU) No XX/XX [the Delegated Regulation]. 2. Union funding may take the form of pre-commercial procurement or procurement of innovative solutions carried out by the Commission jointly with contracting authorities from Member States and associated countries. The procurement procedures: (a) shall comply with the principles of transparency, non-discrimination, equal treatment, sound financial management, proportionality, and with competition rules and, where applicable, with Directives 2004/17/EC, 2004/18/EC and 2009/81/EC. (b) may provide for specific conditions such as the place of performance of the procured activities being limited for pre- commercial procurement to the territory of the Member States and of countries associated to Horizon 2020 where duly justified by the objectives of the actions; (c) may authorise the award of multiple contracts within the same procedure (multiple sourcing); (d) shall provide for the award of the contracts to the tender(s) which are the most economically advantageous. The most economically advantageous tender from the point of view of the contracting authority shall be identified on the basis of criteria linked to the subject-matter of the public contract in question. Those criteria shall include, in addition to the price or costs, other criteria linked to the subject-matter of the public contract in question, such as: quality, including technical merit, aesthetic and functional characteristics, accessibility, design for all users, environmental characteristics and innovative character, including inter alia additional innovative solutions that are in addition to minimum requirements laid down in the contract notice, the descriptive document or the invitation to confirm interest; 3. Specific provisions regarding ownership, access rights and licensing shall be laid down in the contracts regarding pre-commercial procurement to ensure maximum uptake of the results and to avoid any unfair advantage. The contractor generating results in pre- commercial procurement shall own at least the attached intellectual property rights. The contracting authorities shall enjoy at least royalty-free access rights to the results for their own use as well as the right to grant, or require the participating contractors to grant, non-exclusive licences to third parties to exploit the results under fair and reasonable conditions without any right to sub- license. If a contractor fails to commercially exploit the results within a given period after the pre-commercial procurement as identified in the contract, it shall transfer any ownership of the results to the contracting authorities. 4. Specific provisions regarding ownership, access rights and licensing may be laid down in the contracts regarding public procurement of innovative solutions to ensure maximum uptake of the results and to avoid any unfair advantage.
2012/07/03
Committee: ITRE
Amendment 758 #
Proposal for a regulation
Article 49 a (new)
Article 49a Prizes 1. Union funding may take the form of prizes as defined in [Title VII] of Regulation (EU) No XX/XX [the Financial Regulation]. The use of prizes shall be encouraged but not as a substitute for properly structured funding. 2. The rules of the contest shall be stipulated in the work programme. 3. The rules of the contest shall at least lay down the conditions for participation, the award criteria, including the deadline for proposals and the deadline for award, the amount of the prize and the payment arrangements. Prizes may not be awarded directly without a contest and shall be published annually. 4. Entries in a contest shall be evaluated by a panel of experts on the basis of the published rules of the contest. Prizes shall then be awarded by the authorising officer responsible on the basis of the evaluation provided by the panel of experts who are free to decide whether or not to recommend the award of prizes, depending on their appraisal of the quality of the entries. 5. The amount of the prize shall not be linked to the costs incurred by the recipient. 6. Where implementation of an action or work programme requires prizes to be given to third parties by a beneficiary of a Union grant, this beneficiary may give such prizes provided that the minimum content of the rules of the contest is strictly defined in the grant decision or agreement between the beneficiary and the Commission, with no margin for discretion. 7. Regarding the dissemination of results, Title III of this Regulation shall apply. Any additional obligations for dissemination or exploitation of results shall be stipulated in the rules of the contest. 8. Where a prize is not awarded within the deadline set out in the rules of the contest, the funds allocated to the contest shall be reassigned within the same objective under Regulation (EU) No XX/XX [Horizon 2020].
2012/07/03
Committee: ITRE
Amendment 759 #
Proposal for a regulation
Article 49 b (new)
Article 49b Procurement, pre-commercial procurement and procurement of innovative solutions 1. Any procurement carried out by the Commission jointly with Member States shall be subject to the rules on public procurement set out in Regulation (EU) No XX/XX [the Financial Regulation] and Regulation (EU) No XX/XX [the Delegated Regulation]. 2.Union funding may take the form of pre-commercial procurement or procurement of innovative solutions carried out by the Commission jointly with contracting authorities from Member States and associated countries or by Union agencies jointly with contracting authorities from Member States and associated countries. The procurement procedures: (a) shall comply with the principles of transparency, non-discrimination, equal treatment, sound financial management, proportionality, and with competition rules and, where applicable, with Directives 2004/17/EC, 2004/18/EC and 2009/81/EC. (b) may provide for specific conditions such as the place of performance of the procured activities being limited for pre- commercial procurement to the territory of the Member States and of countries associated to Horizon 2020 where duly justified by the objectives of the actions; (c) may authorise the award of multiple contracts within the same procedure (multiple sourcing); (d) shall provide for the award of the contracts to the tender(s) offering best value for money. 3. Specific provisions regarding ownership, access rights and licensing shall be laid down in the contracts regarding pre-commercial procurement to ensure maximum uptake of the results and to avoid any unfair advantage. The contractor generating results in pre- commercial procurement shall own at least the attached intellectual property rights. The contracting authorities shall enjoy at least royalty-free access rights to the results for their own use as well as the right to grant, or require the participating contractors to grant, non-exclusive licences to third parties to exploit the results under fair and reasonable conditions without any right to sub- license. If a contractor fails to commercially exploit the results within a given period after the pre-commercial procurement as identified in the contract, it shall transfer any ownership of the results to the contracting authorities. 4. Specific provisions regarding ownership, access rights and licensing may be laid down in the contracts regarding public procurement of innovative solutions to ensure maximum uptake of the results and to avoid any unfair advantage.
2012/07/03
Committee: ITRE
Amendment 760 #
Proposal for a regulation
Article 49 c (new)
Article 49c Financial Instruments 1. Financial instruments may take any of the forms referred to in, and shall be implemented in accordance with, [Title VIII] of Regulation (EU) No XX/XX [the Financial Regulation] and may be combined with each other and with other grants funded under the Union budget, including under Horizon 2020. 2. In accordance with Article [54] of Regulation (EU) No XX/XX [the Financial Regulation], the Commission may delegate implementation tasks and management of the financial instruments to the EIB, EIF and other financial institutions. 3. In accordance with Article [18(2)] of Regulation (EU) No XX/XX [the Financial Regulation], revenues and repayments generated by a financial instrument set up under Regulation (EU) No XX/XX [Horizon 2020] shall be assigned to that financial instrument. 4. Revenues and repayments generated by the Risk-Sharing Finance facility set up under Decision No 1982/2006/EC and the early stage part of the High-Growth and Innovative SME Facility (GIF1) set up under the Decision No 1639/2006/EC of the European Parliament and of the Council, shall be assigned to the succeeding financial instruments under Regulation (EU) No XX/XX [Horizon 2020]. 5. The Commission shall ensure that all types of financial intermediaries, including national and regional public banks as well as regional investment banks, are adequately involved in the implementation of the financial instruments.
2012/07/03
Committee: ITRE
Amendment 761 #
Proposal for a regulation
Article 49 d (new)
Article 49d Public-private Partnerships 1. In accordance with Article 19 of Regulation (EU) No XX/XX [Horizon 2020] Horizon 2020 may be implemented through public-private partnerships, provided all partners concerned commit to support the development and implementation of Horizon 2020. 2. Public-private partnerships shall be identified in an open and transparent way, based on the evaluation of independent experts in accordance with Article 37 of this Regulation. This evaluation shall be based on all of the following criteria: (a) the added value of action at Union level and the added value of the instrument of a public-private partnership; (b) the scale of impact on industrial competitiveness, sustainable growth and socio-economic issues. 3. The Commission may entrust budget implementation tasks to a public-private partnerships, provided the following criteria are fulfilled and laid down in a contractual agreement: (a) the long-term commitment from all partners based on a shared vision and clearly defined objectives; (b) the scale of the resources involved and the ability to leverage additional investments in research and innovation; (c) a clear definition of roles for each of the partners and agreed key performance indicators over the period chosen. 4. The rules for participation and dissemination of public-private partnerships created and funded under Horizon 2020 shall fully comply with the Regulation (EU) No XX/XX [the Financial Regulation], as well as the rules laid down in this Regulation, except where their specific needs so require. The rules of public-private partnerships may deviate from the Union Staff Regulations insofar as the acts establishing these bodies according to Article 1a(2) of the Staff Regulations do not provide for an application of the Staff Regulations. 5. Deviations from the rules referred to in paragraph 2 and the specific reasons for such deviations shall be communicated to the European Parliament and the Council in a working document annually. The working document shall also set out the progress towards the completion of the purpose for which the individual entities were set up, and the relevance of the aforementioned deviations for the progress achieved. 6. Involvement of the Union in those partnerships may take one of the following forms: (a) financial contributions from the Union to joint undertakings established on the basis of Article 187 TFEU under the Seventh Framework Programme, subject o the amendment of their basic acts; to new public-private partnerships set up on the basis of Article 187 TFEU; and to other funding bodies referred to in Article [55(1)(b)(v) or (vii)] of Regulation (EU) No XX/XX [the Financial Regulation]. This form of partnerships shall only be implemented where the scope of the objectives pursued and the scale of the resources required justify it; (b) entering a contractual agreement between the partners referred to in paragraph 1, which specifies the objectives of the partnership, respective commitments of the partners, key performance indicators, and outputs to be delivered including the identification of research and innovation activities that require support from Horizon 2020.
2012/07/03
Committee: ITRE
Amendment 762 #
Proposal for a regulation
Article 49 e (new)
Article 49e Public-public Partnerships 1. The rules laid down in this Regulation shall also apply to public-public partnerships as referred to in article [20] of Regulation (EU) No XX/XX [Horizon 2020]. 2. Public-public partnerships funded through the ERA-NET instrument may be eligible for co-funding under Horizon 2020, provided the following conditions are fulfilled: (a) a significant level of prior financial commitments of the participating entities to the joint calls and actions (b) harmonised rules and implementation modalities of the joint calls and actions Public-public partnerships may be supported either within, or across, the priorities set out in Article 5(2), in particular through: 3. Joint Programming Initiatives in accordance with Article 185 TFEU may be eligible for co-funding under Horizon 2020, provided the following conditions are fulfilled: (a) an existing need for a dedicated implementation structure based on Article 185 TFEU; (b) a high level of commitment of the participating countries to integration at scientific, management and financial levels; (c) the added value of action at Union level; (d) the critical mass, with regard to the size and the number of programmes involved, the similarity of activities and the share of relevant research they cover; 4. The Commission may entrust budget implementation tasks to a Joint Programming Initiative, provided the following criteria are fulfilled and laid down in an agreement: (a) a clear definition of the objective to be pursued and its relevance to the objectives of Horizon 2020 and broader Union policy objectives; (b) clear financial commitments of the participating countries, including prior commitments to pool national and/or regional investments for transnational research and innovation;
2012/07/03
Committee: ITRE
Amendment 763 #
Proposal for a regulation
Article 49 f (new)
Article 49f SME Instrument 1. Only SMEs may apply for calls for proposals issued under the dedicated SME instrument referred to in Article [18] of Regulation (EU) No XX/XX [Horizon 2020]. They shall be encouraged to participate jointly with other companies, research organisations and universities. Once a company has been validated as an SME this legal status shall be assumed to prevail for the entire duration of the project, even in cases where the company, due to its growth, later on exceeds the ceilings foreseen within the SME definition. 2. Calls for proposals under the SME instruments shall be open calls, taking a bottom-up approach towards the topic to the greatest possible extent. A simplified two-stage evaluation procedure may apply, if stated so in the work programme, provided that no prolongation of the overall evaluation period is entailed. 3. In accordance with Article 17a, the 'time-to-contract' under the SME instrument may not exceed six months. 3. In accordance with this Regulation, the grant agreement concluded under the SME instrument may lay down specific provisions, in particular on subcontracting, ownership, access rights, exploitation and dissemination of results. 4. Where revision of the grant agreement concluded under the SME instrument is necessary during the implementation of an action, in particular with regards to changes in the composition of the consortium, a simplified revision procedure shall apply. 5. The Commission shall ensure sufficient complementarities between the SME instrument under Horizon 2020 and the Financial Instruments under Horizon 2020 and COSME as well as schemes and instruments set up jointly with Member States, such as the Eurostars Joint Programme.
2012/07/03
Committee: ITRE
Amendment 764 #
Proposal for a regulation
Article 49 g (new)
Article 49g Fast Track to Innovation 1. Any legal entity that is allowed to participate in activities covered by part II ('Industrial Leadership') and part III ('Societal Challenges') of the Specific Programme (Regulation (EU) xy/2012) shall be allowed to submit proposals to be considered under the Fast Track 2 Innovation Instrument. Within part II ('Industrial Leadership'), proposals may be submitted under every technology field identified under the specific objective 'Leadership in enabling and industrial technologies' in the [Specific Programme], without restriction to the topic of research. Within part III ('Societal Challenges'), proposals may be submitted under every societal challenge, without restriction to the technology field. 2. Proposals may be submitted at any time. The Commission shall initiate an evaluation period twice a year, at a fixed period of time. Time between the start of an evaluation period and the award of a grant shall not exceed six months. 3. Firstly, proposals shall be ranked according to the award criteria "impact" and "quality and efficiency of the implementation". Secondly, "excellence" as the crucial award criterion shall determine the final ranking leading to the grant decision. 4. Being implemented as a fast track, no more than five legal entities shall participate in an action. 3. The Horizon 2020 grant shall be determined in accordance with Article 22 (3a (new)).
2012/07/03
Committee: ITRE
Amendment 765 #
Proposal for a regulation
Article 49 h (new)
Article 49h Other specific provisions 1. In the case of actions involving security-related activities, the grant agreement may lay down specific provisions, in particular on pre- commercial public procurement, procurement of innovative solutions, changes to the consortium's composition, classified information, open access to research publications, exploitation, dissemination, transfers and licences of results. 2. For security-related research and technological development activities, funding may reach a maximum of 100% of total eligible costs plus an additional flat rate of 20% to cover the indirect costs of the action, or 70% of total eligible costs when actual indirect costs are declared, in specific cases that concern the development of capabilities in domains with very limited market size and a risk of 'market failure' or accelerated equipment development in response to new threats, when provided for in the work programme. 3. In the case of actions to support existing or new research infrastructures, the grant agreement may lay down specific provisions relating to the use of the infrastructure. 4. In the case of ERC frontier research actions, the grant agreement may lay down specific provisions, in particular on access rights, portability and dissemination, relating to participants, researchers and any party concerned by the action. 5. In the case of training and mobility actions, the grant agreement may lay down specific provisions on commitments relating to the researchers benefiting from the action, ownership, access rights and portability. 6. In the case of coordination and support actions, the grant agreement may lay down specific provisions, in particular on ownership, access rights, exploitation and dissemination of results.
2012/07/03
Committee: ITRE
Amendment 766 #
Proposal for a regulation
Annex 0 (new)
ANNEX 0 Commission Code of Best Practice The Commission, including agencies and bodies acting on behalf of the Commission, shall respect the following principles in relation to all Horizon 2020 projects: Time to Bid Shortening time periods for deciding on successful bids is a priority. However, depending on the nature of any specific call, due consideration should also be given to the following: Clear and transparent mechanisms to develop calls on specific topics will enable a level playing field and the inclusion and growth of participation. This should, where possible, be consistent across programmes and themes. Reasonable advance notice of upcoming calls can allow potential participants to form bidding consortia in advance of publication of calls and thus result in higher quality bids. Maintaining a reasonable time period between the publication of a call and the deadline for submitting bids can result in higher quality bids and a more level playing field between participants with different degrees of administrative capacity, experience of participation in Union funded programmes, different languages and varying levels of English language skills. Call deadlines should be scheduled taking into account the full scope of EU calls and the academic and business calendar of potential participants. Time to Grant The average time to grant shall be six months from the date of the negotiation offer. The cumulative time taken by the Commission to complete their internal process including preparation of all relevant information and documentation, evaluation and signature of grant agreements shall be no more than 60 working days. Participants shall be given no less than 60 working days cumulatively to prepare all relevant information and documentation required. Where appropriate to the nature of any specific call, due consideration should be given to a two stage evaluation procedure in order to reduce the costs of preparing proposals which are unsuccessful. For two stage procedures the average time to grant shall be nine months. There should be consistency in the format of the outline of proposals where a two stage process is used and applicants must have sufficient time to prepare stage two of the bid. The Commission shall endeavour to make decisions or requests for information as promptly as reasonably practical. The Commission shall avoid obliging participants to re-draft or re-negotiate parts of an initial successful bid, unless there is a reasonable and justified reason for doing so. Participants shall be given reasonable amounts of time to prepare information and documentation required for projects. When designing the application documents and setting time limits, the Commission shall be sensitive to the fact that SMEs and university academics in particular typically have little, if any, specific capacity to deal with the preparation of administrative documents. Repetitive elements of the application, grant agreement or supporting documents should be avoided. The Commission shall refrain from asking participants for information which is already available within the administration, unless it needs to be updated. In this respect, the Commission shall apply the "only once" principle whereby information submitted once to the administration should not be asked for again by another service of the administration i.e. enterprises should not be obliged to provide information all over again that authorities have already received by another route. The Commission shall seek, where possible, to avoid timing calls such that they will require potential participants to submit documentation during standard academic and business vacation periods. The Commission shall aim to limit the time it takes to prepare the necessary paperwork once a grant agreement has been made to 15 working days. In appropriate cases, such as for SMEs, the Commission may usefully be allowed to waive the obligation for participants to submit part or all of the documentary evidence required if such evidence has already been submitted to them recently for another procedure and provided the relevant documents were issued within a fixed reasonable time period and are still valid. In such cases, the participant concerned could be invited to declare on his honour that the documentary evidence has already been provided in a previous procedure - to be specified - and to confirm that there has been no change in the situation. The Commission shall not be allowed to request participants to provide facts or data which the Commission can verify easily and free of charge in an authenticated, electronically accessible database (e.g. company data). The Commission shall not set targets on the level of subscription for individual calls. Time to Pay Participants who have delivered the work which they were contracted to do, should be paid in a timely fashion. The Commission shall ensure that participants receive money owed to them within 30 days of the necessary paperwork being submitted to the Commission. The Commission shall notify the Project Coordinator and participants of any irregularities or additional paperwork within 2 weeks of information being submitted to the Commission. If no such notification is received the Commission shall be liable to the pay amounts owed. The Commission shall put in place measures to ensure that Project Coordinators distribute project money promptly as well as fairly and proportionally in accordance with the grant agreement and that money is shared among partners in proportion to what is owed to each partner. Unless agreed between all participants, Project Coordinators shall not withhold or phase pre-financing payments without the approval of the Project Officer, in particular for SMEs. Such arrangements should be made clear in consortium agreements and have the approval of the Project Officer. Once a payment has been made to the Project Coordinator, the Commission shall notify the participants of the amount that has been paid and the date on which the payment was made. If one or more partner(s) have not completed the work they have been contracted to do or they have not submitted the required information or documentation to the project Coordinator or the Commission, it shall not prevent the Project Coordinator from submitting documentation to the Commission on behalf of other partner(s) or the Commission from issuing payment to other partner(s). In cases where new partners enter into a project after the grant agreement has been negotiated, this shall not alter the amount of funding allocated to the original partners unless agreed by the original partners or unless the amount of work required by them will be significantly different. The Commission shall implement a hierarchical auditing process where they will ensure the beneficiaries' auditors are to an approved standard and comply to the auditing requirements of Horizon 2020. This will avoid the need for multiple audits, making the administrative process clearer and easier for participants. The Commission shall refrain from asking for extra information once an audit has already been submitted. The EU will be required to report on its payment performance by producing bi- annual statistics that present payment times for completed work pieces. Payment times shall be defined as the time from final sign-off of the completed project by both the Project Coordinator and Project Officer (this time period itself to be no longer than 1 month from project completion date) to the availability of cleared funds in the participant's bank account. At the request of the Participant, grant agreements shall respect the academic and business calendar. For example, this will especially apply to projects which need to recruit PhD students and who are not likely to be available during the middle of the academic calendar. Redress The Commission shall set up a formal complaints procedure for participants, which may include appointing an ombudsman specifically dedicated to research and innovation projects under Horizon 2020. The Commission shall ensure that participants are aware of all complaints/redress procedures available to them by publishing details of the redress/complaints procedures on all correspondence with participants or applicants. The procedure shall be transparent and the results and decision- making process shall be made available to participants. Participants shall be allowed to register complaints concerning any area of their involvement in Horizon 2020. The complaints procedure shall not be limited to procedural aspects of the evaluation of proposals. The Commission shall respond to complaints within 30 days of receiving them with a preliminary decision. In line with Directive 2008/52/EC and European Parliament resolution of 13 September 2011 on the implementation of the directive on mediation in the Member States, its impact on mediation and its take-up by the courts (2011/2026(INI)), when a complaint cannot satisfactorily be solved through the Commission's internal formal complaint handling procedure (the ombudsman or equivalent body), the European Commission and the participants may agree to attempt to resolve the dispute through a mediation process in accordance with the rules of a Mediation Centre procedure. The Mediation Centre shall be agreed beforehand by the Commission and the participant(s) or with a list of mediation centres accepted by the Commission. The Commission shall set aside 0.5% of the Horizon 2020 budget for projects which are initially unsuccessful and which, following the redress procedure, are positively evaluated. Communications The ethics approval process shall be transparent to participants and to applicants, especially when this process is the source of a delay in the initiation of projects. Information that has already been submitted in the bid should not need to be re-drafted for the ethical approval. Where possible, the Commission shall use all the information that has already been submitted by the applicant(s) in the bid in order to make its approval and shall only ask for additional information where it can prove that this information is absolutely necessary. Participants shall be able to communicate directly with Project Officers in cases where they have repeated concerns regarding the management of a project or the actions of the Project Coordinator. If the Project Officer is absent, he/she shall ensure that participants have the contact details for his/her deputy, who should be able to make decisions in the Project Officer's absence. Contact details for the relevant Commission officials must be made available and made known to participants. At the request of participants, and to enable them to prepare for future bids, the Commission shall give feedback to applicants on unsuccessful bids including the strengths and weaknesses as considered by the independent experts referred to in Article 37 of the Rules for Participation and Dissemination.
2012/07/03
Committee: ITRE