67 Amendments of Christian EHLER related to 2011/0399(COD)
Amendment 126 #
Proposal for a regulation
Recital 8
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.
Amendment 157 #
Proposal for a regulation
Recital 15 a (new)
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.
Amendment 164 #
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 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.
Amendment 186 #
Proposal for a regulation
Article 2 – paragraph 1 – point 4
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;
Amendment 189 #
Proposal for a regulation
Article 2 – paragraph 1 – point 5 a (new)
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;
Amendment 197 #
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 publishingcations in any medium;
Amendment 213 #
Proposal for a regulation
Article 2 – paragraph 1 – point 15
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;
Amendment 215 #
Proposal for a regulation
Article 2 – paragraph 1 – point 15
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;
Amendment 227 #
Proposal for a regulation
Article 2 – paragraph 3 a (new)
Article 2 – paragraph 3 a (new)
3a. For the purposes of point (10), simplified rules shall apply for public authorities as regards legal personality.
Amendment 230 #
Proposal for a regulation
Article 3 – paragraph 1
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.
Amendment 242 #
Proposal for a regulation
Article 4 a (new)
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.
Amendment 275 #
Proposal for a regulation
Article 10 a (new)
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.
Amendment 283 #
Proposal for a regulation
Article 12 – paragraph 1 a (new)
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;
Amendment 287 #
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 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.
Amendment 299 #
Proposal for a regulation
Article 13 – paragraph 1 a (new)
Article 13 – paragraph 1 a (new)
Amendment 300 #
Proposal for a regulation
Article 13 – paragraph 1 b (new)
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.
Amendment 353 #
Proposal for a regulation
Article 16 – paragraph 2
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.
Amendment 370 #
Proposal for a regulation
Article 17 c (new)
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.
Amendment 375 #
Proposal for a regulation
Article 19 – paragraph 1 a (new)
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.
Amendment 389 #
Proposal for a regulation
Article 20 – paragraph 2
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.
Amendment 410 #
Proposal for a regulation
Article 22 – paragraph 3
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:
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%
Amendment 419 #
Proposal for a regulation
Article 22 – paragraph 4
Article 22 – paragraph 4
Amendment 430 #
Proposal for a regulation
Article 22 – paragraph 5
Article 22 – paragraph 5
Amendment 438 #
Proposal for a regulation
Article 22 – paragraph 5 – point a
Article 22 – paragraph 5 – point a
Amendment 468 #
Proposal for a regulation
Article 22 – paragraph 6 a (new)
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.
Amendment 472 #
Proposal for a regulation
Article 23 – paragraph 1
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.
Amendment 494 #
Proposal for a regulation
Article 24 – paragraph 1 a (new)
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.
Amendment 536 #
Proposal for a regulation
Article 27 – paragraph 2 – point a
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;
Amendment 551 #
Proposal for a regulation
Article 29 – paragraph 1
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).
Amendment 557 #
Proposal for a regulation
Article 30 – paragraph 2
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.
Amendment 560 #
Proposal for a regulation
Article 34
Article 34
Amendment 561 #
Proposal for a regulation
Article 35
Article 35
Amendment 562 #
Proposal for a regulation
Article 35 – paragraph 1
Article 35 – paragraph 1
Amendment 563 #
Proposal for a regulation
Article 35 – paragraph 2 – subparagraph 1
Article 35 – paragraph 2 – subparagraph 1
Amendment 564 #
Proposal for a regulation
Article 35 – paragraph 2 – subparagraph 2
Article 35 – paragraph 2 – subparagraph 2
Amendment 565 #
Proposal for a regulation
Article 35 – paragraph 2 – subparagraph 2 – point a
Article 35 – paragraph 2 – subparagraph 2 – point a
Amendment 567 #
Proposal for a regulation
Article 35 – paragraph 2 – subparagraph 2 – point b
Article 35 – paragraph 2 – subparagraph 2 – point b
Amendment 568 #
Proposal for a regulation
Article 35 – paragraph 2 – subparagraph 2 – point c
Article 35 – paragraph 2 – subparagraph 2 – point c
Amendment 569 #
Proposal for a regulation
Article 35 – paragraph 2 – subparagraph 2 – point d
Article 35 – paragraph 2 – subparagraph 2 – point d
Amendment 570 #
Proposal for a regulation
Article 36
Article 36
Amendment 571 #
Proposal for a regulation
Article 36 – paragraph 1
Article 36 – paragraph 1
Amendment 573 #
Proposal for a regulation
Article 36 – paragraph 3
Article 36 – paragraph 3
Amendment 638 #
Proposal for a regulation
Article 39 – paragraph 1
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.
Amendment 640 #
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, with the consent of the owning participant, may assume ownership of these results and take the necessary steps for their adequate protection.
Amendment 654 #
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 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.
Amendment 664 #
Proposal for a regulation
Article 40 – paragraph 2 – subparagraph 3 a (new)
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.
Amendment 687 #
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 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.
Amendment 699 #
Proposal for a regulation
Article 43 – paragraph 1
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.
Amendment 712 #
Proposal for a regulation
Article 45 – paragraph 1 – subparagraph 2
Article 45 – paragraph 1 – subparagraph 2
Amendment 717 #
Proposal for a regulation
Article 45 – paragraph 2 – subparagraph 2
Article 45 – paragraph 2 – subparagraph 2
Amendment 724 #
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 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.
Amendment 732 #
Proposal for a regulation
Title 3 – chapter 1 – section 3
Title 3 – chapter 1 – section 3
Amendment 733 #
Proposal for a regulation
Article 47
Article 47
Amendment 746 #
Proposal for a regulation
Article 48
Article 48
Amendment 752 #
Proposal for a regulation
Article 49
Article 49
Amendment 756 #
Proposal for a regulation
Title III a (new)
Title III a (new)
Title IIIa Specific provisions
Amendment 757 #
Proposal for a regulation
Article 49 a (new)
Article 49 a (new)
Amendment 758 #
Proposal for a regulation
Article 49 a (new)
Article 49 a (new)
Amendment 759 #
Proposal for a regulation
Article 49 b (new)
Article 49 b (new)
Amendment 760 #
Proposal for a regulation
Article 49 c (new)
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.
Amendment 761 #
Proposal for a regulation
Article 49 d (new)
Article 49 d (new)
Amendment 762 #
Proposal for a regulation
Article 49 e (new)
Article 49 e (new)
Amendment 763 #
Proposal for a regulation
Article 49 f (new)
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.
Amendment 764 #
Proposal for a regulation
Article 49 g (new)
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)).
Amendment 765 #
Proposal for a regulation
Article 49 h (new)
Article 49 h (new)
Amendment 766 #
Proposal for a regulation
Annex 0 (new)
Annex 0 (new)