28 Amendments of Judith SARGENTINI related to 2011/0399(COD)
Amendment 45 #
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)14 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 (Euratom) for nuclear research and training activities (2007 to 2011)15 , 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]16 . Programmes managed by entities other than Union bodies should not be covered by the Fund.
Amendment 46 #
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 exploitation, dissemination or licensing conditions in the European strategic interest, or where predominant global public interests are at stake.
Amendment 48 #
Proposal for a regulation
Recital 19 a (new)
Recital 19 a (new)
(19 a) Specific licensing models based on social obligations that are linked to taxpayer-funded research should be promoted 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 50 #
Proposal for a regulation
Recital 19 b (new)
Recital 19 b (new)
(19 b) In the selection process of proposals, the impact criterion 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 51 #
Proposal for a regulation
Recital 19 c (new)
Recital 19 c (new)
(19 c) 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, particularly in the context of European or global societal challenges. This mechanism would be particularly suitable for technologies that are both complex and expensive, allowing to avoid the blocking of research brought about by patent thicket situations.
Amendment 52 #
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 53 #
Proposal for a regulation
Article 2 – paragraph 1 – point 7 a (new)
Article 2 – paragraph 1 – point 7 a (new)
Amendment 54 #
Proposal for a regulation
Article 2 – paragraph 1 – point 7 b (new)
Article 2 – paragraph 1 – point 7 b (new)
(7 b) '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 55 #
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, including non-profit and civil society organisations;
Amendment 56 #
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 57 #
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 58 #
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 Union to recognize as lawful, or would 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 59 #
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 where that third country promotes itself as an off-shore financial centre or in which there are no or only nominal taxes, where there is a lack of effective exchange of information with foreign tax authorities, where there is a lack of transparency in regard to legislative, judicial or administrative provisions, or where there is no requirement for a substantive local presence;
Amendment 60 #
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 that third country's research and innovation programmes are considered prejudicial to the Union's interests.
Amendment 61 #
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 dissemination of the resultsof the results, whenever exploitation is expected or required as part of the call, as well as a plan for the dissemination of the results, including a data management and sharing plan.
Amendment 62 #
Proposal for a regulation
Article 14 – paragraph 2 a (new)
Article 14 – paragraph 2 a (new)
2 a. The impact criterion 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 63 #
Proposal for a regulation
Article 37 – paragraph 2 – subparagraph 4
Article 37 – paragraph 2 – subparagraph 4
Appropriate measures shall be taken to seek a balance between all interests involved and to seek gender balance and geographical diversity when appointing independent experts. In particular, the Commission shall ensure that no special 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 64 #
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 through 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 65 #
Proposal for a regulation
Article 38 – paragraph 2 – subparagraph 2 – point b
Article 38 – paragraph 2 – subparagraph 2 – point b
(b) compensation shall be fair and reasonable, if compensation shall be provided to the ois requested from the joint owners for granting non- exclusive licences to third parties to exploit ther jointly ownerd results.
Amendment 67 #
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 appropriat reasonable 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 68 #
Proposal for a regulation
Article 39 – paragraph 2 – subparagraph 1
Article 39 – paragraph 2 – subparagraph 1
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 70 #
Proposal for a regulation
Article 40 – paragraph 2 – subparagraph 1
Article 40 – paragraph 2 – subparagraph 1
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, thereby fostering global accessibility.
Amendment 72 #
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 a 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 73 #
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 plan and a plan on sharing 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 74 #
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, these reports shall be made publicly available.
Amendment 75 #
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 shall not conflict with the objective of maximum dissemination and exploitation of results. The conditions for such licenses shall be laid down in the grant agreement.
Amendment 82 #
Proposal for a regulation
Article 47 – paragraph 3 a (new)
Article 47 – paragraph 3 a (new)
3 a. 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 83 #
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.