62 Amendments of Philippe LAMBERTS related to 2011/0399(COD)
Amendment 109 #
Proposal for a regulation
Recital 2
Recital 2
(2) Horizon 2020 should be implemented with a view to contributing directly to creating citizen's welfare, economic development, environmental sustainability, industrial leadership, gprowthsperity and employment in Europe and should reflect the strategic vision of the Commission Communication of 6 October 2010 to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Region ‘Europe 2020 Flagship Initiative Innovation’ whereby the Commission engages to radically simplify access of participants.
Amendment 128 #
Proposal for a regulation
Recital 8 a (new)
Recital 8 a (new)
(8a) Rules should be defined for the establishment of public-private partnerships. The Commission will not establish any further joint undertakings under Article 187 TFEU while the establishment of public-private partnerships should be exceptional, and justified by the demonstration that no other type of financing mechanisms can deliver the same objectives.
Amendment 145 #
Proposal for a regulation
Recital 12
Recital 12
(12) It is appropriate to establish the terms and conditions for providing Union funding for participants in actions under Horizon 2020. In order to reduce the complexity of the existing funding rules and have a higher flexibility in the project implementation, a simplified cost reimbursement system should be adopted with enhanced use of lump sums, flat rates and scale of unit costs. For simplification purposes, a single reimbursement rate should be applied for each type of action with no differentiation according to the type of participant.
Amendment 155 #
Proposal for a regulation
Recital 14
Recital 14
(14) In order to maintain a level playing field for all undertakings active in the internal market, funding provided by Horizon 2020 should be designed in accordance with State aid rules so as to ensure the effectiveness of public spending and prevent market distortions such as crowding-out of private funding, creating ineffective market structures or preserving inefficient firms. In particular, the establishment of public-private partnerships should be subject to conditions that ensure that an effective competitive environment is maintained and that ensures opportunities for new entrants to join in at any stage.
Amendment 158 #
Proposal for a regulation
Recital 16
Recital 16
(16) The participant Guarantee Fund set up under Regulation No 1906/2006/EC of the European Parliament and of the Council of 18 December 2006 laying down the rules for the participation of undertakings, research centres and universitie, universities and civil society organisations in actions under the Seventh Framework Programme and for the dissemination of research results (2007- 2013) and managed by the Commission has proved to be an important safeguard mechanism which mitigates the risks associated to the amounts due and not reimbursed by defaulting participants. Therefore, a new participant Guarantee Fund (the Fund) should be established. In order to ensure a more efficient management and a better coverage of participants' risk, the Fund should cover actions under the programme set up under Decision No 1982/2006/EC, under the programme set up by Council Decision of 18 December 2006 concerning the Seventh Framework Programme of the European Atomic Energy Community (Eruratuom) for nuclear research and training activities (2007 to 2011), under the programme set up by Council Decision […] of X 2011 establishing the Framework Programme of the European Atomic Energy Community (2012-2013) as well as actions under Regulation (EU) No XX/XX [Horizon 2020] and Regulation (Euratom) No XX/XX of the Council on the Research and Training Programme of the European Atomic Energy Community (2014-2018) complementing the Horizon 2020- the Framework Programme for Research and Innovation [Euratom H2020]. Programmes managed by entities other than Union bodies should not be covered by the Fund.
Amendment 166 #
Proposal for a regulation
Recital 19
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 possibilityrules for open access to results and data ofr additional exploitationdissemination, exploitation or licensing conditions in the European strategic or public interest.
Amendment 170 #
Proposal for a regulation
Recital 19 a (new)
Recital 19 a (new)
Amendment 172 #
Proposal for a regulation
Recital 19 b (new)
Recital 19 b (new)
(19b) Additional exploitation and dissemination conditions should be laid down for results concerning technologies with potential for tackling major societal challenges, for example the development into a novel medical technology (e.g. drug, diagnostic or vaccine) or technologies for fighting climate change.
Amendment 174 #
Proposal for a regulation
Recital 19 c (new)
Recital 19 c (new)
(19c) In the process of selection of proposals, the criterion of impact should include the potential extent of dissemination and public availability of research results and data, assigning priority to projects potentially entailing a wider dissemination and exploitation of results.
Amendment 175 #
Proposal for a regulation
Recital 19 d (new)
Recital 19 d (new)
(19d) The setting up of patent pools should be encouraged in order to allow the sharing of patented scientific data and increase collaborative efforts and R&D cooperation on specific technological needs. This mechanism would be particularly suitable for technologies that are both complex and expensive allowing the avoidance of the blocking of research due to patent thicket situations.
Amendment 195 #
Proposal for a regulation
Article 2 – paragraph 1 – point 7
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 publishing, in any medium, articles presenting the result of research such as scientific publications in peer-reviewed journals;
Amendment 203 #
Proposal for a regulation
Article 2 – paragraph 1 – point 7 a (new)
Article 2 – paragraph 1 – point 7 a (new)
(7a) 'exploit/exploitation' means the direct use of results for developing, creating and marketing a product or process, or for creating and providing a service;
Amendment 204 #
Proposal for a regulation
Article 2 – paragraph 1 – point 7 b (new)
Article 2 – paragraph 1 – point 7 b (new)
(7b) 'fair and reasonable conditions' means terms, including royalty-free conditions, which take into account the specific circumstances of the request for access and/or the scope, duration or other characteristics of the use envisaged;
Amendment 207 #
Proposal for a regulation
Article 2 – paragraph 1 – point 10
Article 2 – paragraph 1 – point 10
(10) 'legal entity’ means undertakings, research centres and universities, encompassing any natural person, or any legal person created under national law, Union law or international law, which has legal personality and which may, acting in its own name, exercise rights and be subject to obligations; these include non- profit and civil society organisations;
Amendment 233 #
Proposal for a regulation
Article 4 – paragraph 1 – subparagraph 1 – point a
Article 4 – paragraph 1 – subparagraph 1 – point a
(a) the information concerned is relevant to public policy objectives and the promotion of public interest;
Amendment 236 #
Proposal for a regulation
Article 4 – paragraph 1 – subparagraph 2
Article 4 – paragraph 1 – subparagraph 2
In actions under the activity ‘Secure societies’ within the specific objective ‘Inclusive, innovative and secure societies’,ies of the Societal Challenges pillar the Commission may make available to Union institutions and bodies or Member States' national authorities any useful information in its possession on results of a participant that has received Union funding.
Amendment 245 #
Proposal for a regulation
Article 6 – paragraph 2
Article 6 – paragraph 2
2. The relevant work programme mayshall restrict and exclude the participation in Horizon 2020 or parts thereof of legal entities established in third countries where conditions for the participation of legal entities from Member States in the third country's research and innovation programmes are considered prejudicial to the Union's interests.:
Amendment 247 #
Proposal for a regulation
Article 6 – paragraph 2 – point a (new)
Article 6 – paragraph 2 – point a (new)
(a) legal entities (including any affiliated entities) whose participation, by the objectives they pursue, their place of establishment, the nature or the location of their activities, would cause the European Union to recognize as lawful or render aid or assistance in maintaining a situation created by a serious breach of international law (including international humanitarian law), where such breach has been established by a resolution of the United Nations Security Council or by a judgment or advisory opinion of the International Court of Justice;
Amendment 248 #
Proposal for a regulation
Article 6 – paragraph 2 – point b (new)
Article 6 – paragraph 2 – point b (new)
(b) 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 249 #
Proposal for a regulation
Article 6 – paragraph 2 – point c (new)
Article 6 – paragraph 2 – point c (new)
(c) legal entities established in third countries where conditions for the participation of legal entities from Member States in the third country's research and innovation programmes are considered prejudicial to the Union's interests.
Amendment 273 #
Proposal for a regulation
Article 10 – paragraph 1 a (new)
Article 10 – paragraph 1 a (new)
1a. All calls for proposals in the area of security research shall be subject to an ex- ante ethical and societal impact assessment. Calls that raise substantial ethical and/or societal impact concerns must be subject to enhanced scrutiny and control.
Amendment 280 #
Proposal for a regulation
Article 12 – paragraph 1
Article 12 – paragraph 1
1. Where appropriate, proposals shall include a draft plan for the exploitation and disseminatioof the results, whenever exploitation is expected or required as part of the call, as well as a plan for dissemination, including a data management and sharing plan of the results.
Amendment 284 #
Proposal for a regulation
Article 12 – paragraph 1 a (new)
Article 12 – paragraph 1 a (new)
1a. Any proposal for research with the potential for further development into a novel medical technology (e.g. drugs, vaccines, medical diagnostics) shall include a draft plan specifying a strategy to guarantee the immediate and widest possible access to this technology, where lack of access to the technology would pose a threat to the protection of public health.
Amendment 285 #
Proposal for a regulation
Article 12 – paragraph 1 b (new)
Article 12 – paragraph 1 b (new)
1b. Proposals shall examine the way responsible research and innovation dimensions as set out in Article 14a of Regulation (EU) No XX/XX [Horizon 2020] are relevant and taken into account.
Amendment 286 #
Proposal for a regulation
Article 12 – paragraph 2
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 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.
Amendment 298 #
Proposal for a regulation
Article 13 – paragraph 1 a (new)
Article 13 – paragraph 1 a (new)
1a. All calls for proposals in the area of security research shall be subject to an ex- ante ethical impact assessment. This review must extend beyond the narrow confines of privacy and data protection take into account the broader societal impacts of the underlying security R&D agenda. Calls that raise substantial ethical and/or societal impact concerns must be subject to enhanced scrutiny and control. In particular each project under that call will be subject to ethical review.
Amendment 315 #
Proposal for a regulation
Article 14 – paragraph 2 a (new)
Article 14 – paragraph 2 a (new)
2a. The criterion of impact shall include the potential extent of dissemination and public availability of research results and data, assigning priority to projects potentially entailing a wider dissemination and exploitation of results.
Amendment 360 #
Proposal for a regulation
Article 16 – paragraph 4 a (new)
Article 16 – paragraph 4 a (new)
4a. When research is conducted in a field relevant to the preservation of public health, the grant agreement shall contain provisions that foster accessibility of the results through socially responsible licensing strategies.
Amendment 361 #
Proposal for a regulation
Article 16 – paragraph 5
Article 16 – paragraph 5
5. The grant agreement shall, where appropriate and in any case for all projects in the area of security research, contain provisions ensuring the respect of ethical principles, including the establishment of an independent ethics board and the right of the Commission to carry out an ethics audit.
Amendment 424 #
Proposal for a regulation
Article 22 – paragraph 4
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, for non-profit public bodies, secondary and higher education establishments, research organisations and SMEs.
Amendment 436 #
Proposal for a regulation
Article 22 – paragraph 5 – introductory part
Article 22 – paragraph 5 – introductory part
5. The Horizon 2020 grant shall be limited to a maximum of 730 % of the total eligible costs for industry for the following actions:
Amendment 456 #
Proposal for a regulation
Article 22 – paragraph 5 a (new)
Article 22 – paragraph 5 a (new)
5a. Regarding the costs of management, dissemination and coordination activities, the coordinating participant shall receive a maximum flat rate of 7% of eligible direct costs to cover the costs of management and coordination activities. The Commission shall establish a digressive scale for those costs so that the flat rate is inversely proportionate to the total cost of the action.
Amendment 478 #
Proposal for a regulation
Article 23 – paragraph 2 a (new)
Article 23 – paragraph 2 a (new)
2a. Costs enabling a better reconciliation of private and professional live or facilitating the participation of women researchers during the project lifecycle shall be eligible without reducing the total of eligible costs.
Amendment 575 #
Proposal for a regulation
Article 36 a (new)
Article 36 a (new)
Amendment 578 #
Proposal for a regulation
Article 37 – paragraph 1 – introductory part
Article 37 – paragraph 1 – introductory part
1. The Commission and, where appropriate, funding bodies mayshall appoint independent experts to evaluate proposals or to advise on or assist with:
Amendment 589 #
Proposal for a regulation
Article 37 – paragraph 2 – subparagraph 1
Article 37 – paragraph 2 – subparagraph 1
2. Independent experts shall be chosen on the basis of skills, experience and knowledge appropriate to carry out the tasks assigned to them. Selection of experts shall take into account the need to ensure a multidisciplinary approach and reflect a wide range of knowledge and views. In cases where independent experts have to deal with classified information, the appropriate security clearance shall be required before appointment.
Amendment 596 #
Proposal for a regulation
Article 37 – paragraph 2 – subparagraph 2
Article 37 – paragraph 2 – subparagraph 2
Independent experts shall be identified and selected on the basis of calls for applications from individuals and calls addressed to relevant organisations such as national research agencies, research institutions, universities, standardisation organisations, civil society organisations, or enterprises with a view to establishing a database of candidates.
Amendment 602 #
Proposal for a regulation
Article 37 – paragraph 2 – subparagraph 4
Article 37 – paragraph 2 – subparagraph 4
Appropriate measures shall be taken to seek interest balance, gender balance and geographical diversity when appointing independent experts. In particular, the Commission shall make sure that no specific interest represents more than one third of non-governmental experts. Appropriate measures shall be taken to prevent the capture of expert groups by private and/or commercial interests.
Amendment 613 #
Proposal for a regulation
Article 37 – paragraph 3
Article 37 – paragraph 3
3. The Commission or the relevant funding body shall take all necessary steps to ensure that the expert is not faced with a conflict of interests in relation to the matter on which the expert is required to provide an opinion, including with the publication of their full declaration of professional activities and financial interests, such as patents and shareholdings. Stakeholders or persons with conflicts of interests shall be prohibited from sitting 'in a personal capacity'.
Amendment 629 #
Proposal for a regulation
Article 38 – paragraph 2 – subparagraph 2 – introductory part
Article 38 – paragraph 2 – subparagraph 2 – introductory part
Unless otherwise agreed in the joint ownership agreement, each joint owner shall be entitled to grant non-exclusive licences to third parties to exploit the jointly owned results, without any right to sub-licence, subject to the following conditions:
Amendment 634 #
Proposal for a regulation
Article 38 – paragraph 2 – subparagraph 2 – point b
Article 38 – paragraph 2 – subparagraph 2 – point b
(b) fair and reasonable compensation shall be provided to the oif compensation is required from the joint owners for granting non-exclusive licences to third parties to exploit ther jointly ownersd results, compensation shall be fair and reasonable.
Amendment 637 #
Proposal for a regulation
Article 39 – paragraph 1
Article 39 – paragraph 1
1. Where results are capable of commercial or industrial application, the participant owning these results shallmay examine the possibility for protection and, if possible and justified given the circumstances, shallmay adequately protect them for an appropriatreasonable period of time and with an appropriate territorial coverage, having due regard to the public interest, its legitimate interests and the legitimate interests, particularly the commercial interests, of the other participants in the action.
Amendment 639 #
Proposal for a regulation
Article 39 – paragraph 2 – subparagraph 1
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 may assume ownership of these results and take the necessary steps for their adequate protection, having regard to the public interest and with a view of maximising dissemination of results.
Amendment 643 #
Proposal for a regulation
Article 39 – paragraph 2 – subparagraph 2
Article 39 – paragraph 2 – subparagraph 2
The participant may refuse consent only if it demonstrates that its legitimate interests would suffer significant harm. No dissemination relating to these results may take place until the Commission or the funding body has taken a decision or has decided thatwhether it will assume ownership or not and has taken the necessary stepssteps, as relevant, to ensure protection. The grant agreement shall lay down time-limits in this respect.
Amendment 646 #
Proposal for a regulation
Article 39 – paragraph 3
Article 39 – paragraph 3
3. Where a participant that has received Union funding intends to abandon the protection of results or not to seek extension of such protection for reasons other than the lack of potential for commercial exploitation, it shall inform the Commission or the funding body which may continue or extend protection by assuming ownership thereof. The participant may refuse consent only if it demonstrates that its legitimate interests would suffer significant harm. The grant agreement shall lay down time-limits in this respect.
Amendment 652 #
Proposal for a regulation
Article 40 – paragraph 2 – subparagraph 1
Article 40 – paragraph 2 – subparagraph 1
2. Subject to any restrictions due to the protection of intellectual property, security rules or legitimate commercial interests, each participant shall through appropriate means disseminate the results it owns as soon as possible. The grant agreement may lay down time-limits in this respect. In the field of major societal challenges (health, climate, biodiversity), licensing of results to third parties shall by default take place on non- exclusive terms so as to enable immediate competition and thereby to foster global accessibility.
Amendment 657 #
Proposal for a regulation
Article 40 – paragraph 2 – subparagraph 3
Article 40 – paragraph 2 – subparagraph 3
With regard to dissemination through research publications, open access shall apply as default policy with the aim of free of charge, on-line public access to Union funded research publications as soon as possible, and in any event within six months of publication, in a peer- reviewed scientific journal and under the terms and conditions laid down in the grant agreement. With regard to dissemination of other results, including research data, the grant agreement mayshall 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 areaspublic interest areas such as public health, environment or other major societal interest.
Amendment 663 #
Proposal for a regulation
Article 40 – paragraph 2 – subparagraph 3 a (new)
Article 40 – paragraph 2 – subparagraph 3 a (new)
Proposals shall contain a management and sharing plan of data and other results to ensure that they are made available as widely and freely as possible, while acknowledging the possible need for a limited period of exclusive use of the research results.
Amendment 667 #
Proposal for a regulation
Article 40 – paragraph 2 – subparagraph 4
Article 40 – paragraph 2 – subparagraph 4
Prior notice of any dissemination activity shall be given to the other participants. Following notification, a participant may object if it demonstrates that its legitimate interests in relation to its results or background would suffer significant harm by the intended dissemination. In such cases, the dissemination activity may not take place unless appropriate steps are taken to safeguard these legitimate interests. The grant agreement mayshall lay down reasonable time-limits in this respect.
Amendment 672 #
Proposal for a regulation
Article 40 – paragraph 3
Article 40 – paragraph 3
3. Each participant shall report to the Commission or funding body on its exploitation and dissemination related activities. For the purposes of monitoring and dissemination by the Commission or funding body, participants shall provide any information and documents useful in accordance with the conditions laid down in the grant agreement. To ensure transparency, the reports shall be made publicly available.
Amendment 681 #
Proposal for a regulation
Article 41 – paragraph 1 – subparagraph 3
Article 41 – paragraph 1 – subparagraph 3
Following notification, a participant may object to the transfer of ownership if it demonstrates that the intended transfer would adversely affect the exercise of its access rights. In such case, the transfer may not take place until agreement has been reached between the participants concerned. The grant agreement mayshall lay down reasonable time-limits.
Amendment 685 #
Proposal for a regulation
Article 41 – paragraph 2
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, the participant who owns results may grant licences or otherwise give the right to exploit them to any legal entity, including on an exclusive basis. The possibility to grant licenses on an exclusive basis shall be exceptional and should not conflict with the objective of maximum dissemination and exploitation of results. Terms for its conditions shall be laid down in the grant agreement.
Amendment 691 #
Proposal for a regulation
Article 41 – paragraph 3 – subparagraph 1
Article 41 – paragraph 3 – subparagraph 1
3. With regard to results which are generated by participants that have received Union funding, the Commission or funding body may object to transfers of ownership or to grants of an exclusive licence, to third parties established within the Union or in a third country not associated to Horizon 2020, if it considers that the grant or transfer is not in accordance with the interests of developing the competitiveness of the Union economy or is inconsistent with ethical principles or security considerations.
Amendment 701 #
Proposal for a regulation
Article 43 – paragraph 2
Article 43 – paragraph 2
Amendment 705 #
Proposal for a regulation
Article 44 – paragraph 1 – subparagraph 1
Article 44 – paragraph 1 – subparagraph 1
1. A participant shall enjoy access rights to the results of another participant in the same action, if such access is needed by the former to carry out its work under the action.
Amendment 726 #
Proposal for a regulation
Article 46 – paragraph 1 – subparagraph 1
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.
Amendment 730 #
Proposal for a regulation
Article 46 – paragraph 2 – subparagraph 1
Article 46 – paragraph 2 – subparagraph 1
2. Regarding actions in the activity ‘Secure societies’ within the specific objective ‘Inclusive, innovative and secure societispecific objectives under the pillar "Societal Challenges’", the Union institutions and bodies as well as Member States' national authorities shall, for the purpose of developing, implementing and monitoring their policies or programmes in this area, enjoy access rights to the results of a participant that has received Union funding. Notwithstanding Article 43(2), such access rights shall include the right to authorise third parties to use the results in public procurement in the case of the development of capabilities in domains with very limited market size and a risk of market failure, andor where a predominant public interest exists.
Amendment 736 #
Proposal for a regulation
Article 47 – paragraph 1
Article 47 – paragraph 1
1. In the case of actions involving security-"Societal Challenges" 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.
Amendment 740 #
Proposal for a regulation
Article 47 – paragraph 3
Article 47 – paragraph 3
3. In the case of ERC frontier research actions, or research actions that address a societal challenge the grant agreement mayshall lay down specific provisions, in particular on access rights, portability and dissemination, relating to participants, researchers and any party concerned by the action.
Amendment 742 #
Proposal for a regulation
Article 47 – paragraph 3 a (new)
Article 47 – paragraph 3 a (new)
3a. 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 747 #
Proposal for a regulation
Article 48 – paragraph 1 a (new)
Article 48 – paragraph 1 a (new)
Specific provisions regarding ownership, access rights, exploitation and dissemination including licensing provisions, shall be laid down in the conditions governing a prize award, to ensure maximum uptake of the results and affordable and widespread access to the results.
Amendment 749 #
Proposal for a regulation
Article 48 – paragraph 1 b (new)
Article 48 – paragraph 1 b (new)
The contracting authority shall own the results and data generated, and grant non-exclusive licences to third parties to exploit the results under fair and reasonable conditions.