Proposal for a Regulation of the European Parliament and the Council establishing Horizon 2020 - The Framework Programme for Research and Innovation (2014-2020) - 4-column document - EU monitor

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Tekst

COUNCIL OF Brussels, 17 January 2013

THE EUROPEAN UNION

5447/13

Interinstitutional File: 2011/0401 (COD) i

RECH 8 COMPET 24 IND 8 MI 26 EDUC 14 TELECOM 5 ENER 9 ENV 38 REGIO 2 AGRI 23 TRANS 13 SAN 21 CODEC 102

NOTE

from: General Secretariat of the Council

to : Delegations

No. prev. doc.: 10663/12 RECH 207 COMPET 364 IND 102 MI 398 EDUC 152 TELECOM 118

ENER 233 ENV 446 REGIO 75 AGRI 362 TRANS 187 SAN 134 CODEC 1511

No. Cion prop.: 17933/11 RECH 410 COMPET 578 IND 162 MI 631 EDUC 283 TELECOM 197

ENER 389 ENV 919 REGIO 143 AGRI 826 TRANS 342 SAN 260 CODEC 2273

Subject: Proposal for a Regulation of the European Parliament and the Council establishing Horizon 2020 - The Framework Programme for Research and Innovation (2014-2020)

- 4-column document

Following the vote in Parliament's ITRE committee on 28 November, delegations will find attached

a 4-column document on the proposal on the Horizon 2020 Framework Programme for Research

and Innovation.

Please note that the section on Articles (pages 51-127) is identical in content to doc. 18048/12,

issued on 21 December 2012.

EN

In the column related to the position of the ITRE Committee, the changes to the Commission

proposal are indicated in bold italics for additions and in strikeout for deletions.

In the column related to the position of the Council (partial general approach PGA doc.10663/12),

the changes to the Commission proposal are indicated in bold for additions and in strikeout for

deletions.

When the original text was already in bold (titles and headings of specific objectives), the changes

in relation to the Commission proposal are indicated in underlined for additions.

__________________

EN

ANNEX

RECITALS

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT

(ITRE VOTE 28.11.12) 1 (PGA ADOPTED ON 31.05.12) 2

Proposal for a REGULATION OF Proposal for a REGULATION OF

THE EUROPEAN PARLIAMENT THE EUROPEAN PARLIAMENT

AND OF THE COUNCIL AND OF THE COUNCIL Regulation establishing Horizon 2020 - The of the European Parliament and the Framework Programme for Council establishing Horizon 2020 -

Research and Innovation (2014- The Framework Programme for

2020) Research and Innovation (2014-2020)

(Text with EEA relevance) (text with EEA relevance)

1 The text in this column comes from the ITRE Committee vote on 28 November 2012 (doc. A7-0427/2012).

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THE EUROPEAN PARLIAMENT

AND THE COUNCIL OF THE

EUROPEAN UNION,

Having regard to the Treaty on the

Functioning of the European Union

(TFEU), and in particular Articles

173(3) and 182(1) thereof,

Having regard to the proposal from the

European Commission,

After transmission of the draft legislative act to the national

Parliaments,

Having regard to the opinion of the

European Economic and Social

Committee 2 ,

__________________

2 OJ C , , p. .

Having regard to the opinion of the

Committee of the Regions 3 ,

__________________

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Acting in accordance with the ordinary legislative procedure,

Whereas:

AMD 1 (1) The Union has the objective of (1) The Union has the objective of strengthening its scientific and strengthening its scientific and technological bases by achieving a technological bases by achieving a European Research Area ("ERA") in European Research Area ("ERA") in which researchers, scientific which researchers, scientific knowledge and technology circulate knowledge and technology circulate freely, and encouraging the Union to freely, and encouraging the Union to become more competitive, including in become more a knowledge society and its industry. To pursue those objectives a world leading sustainable, the Union should carry out activities to competitive and resilient economy implement research, technological including in its industry. To pursue development and demonstration, those objectives the Union should promote international cooperation, carry out activities to implement disseminate and optimise results and research and innovation, technological stimulate training and mobility. development and demonstration,

promote international cooperation, disseminate and optimise results and stimulate training and mobility.

(2) The Union also has an objective to [no change] ensure that the conditions necessary for the competitiveness of the Union's industry exist. For this purpose, action should be aimed at fostering the better exploitation of the industrial potential of policies of innovation, research and technological development.

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AMD 2 (3) The Union is committed to (3) The Union is committed to

achieving the Europe 2020 strategy 4 achieving the Europe 2020 strategy,

which has set the objectives of smart, which has set the objectives of smart, sustainable and inclusive growth, sustainable and inclusive growth, highlighting the role of research and highlighting the role of research and innovation as key drivers of social and innovation as key drivers of social and economic prosperity and of economic prosperity and of environmental sustainability and environmental sustainability and setting itself the goal to increase setting itself the goal to increase public spending on Research and spending on Research and Development to reach 3 % of gross Development to reach in order to domestic product (GDP) by 2020 while attract private investment of up to two developing an innovation intensity thirds of total investments, thereby indicator. In this context, the reaching an accumulative total of 3 % Innovation Union flagship initiative of gross domestic product (GDP) by sets out a strategic and integrated 2020 while developing an innovation approach to research and innovation, intensity indicator. The Union budget setting the framework and objectives to should mirror this ambitious goal by which future Union research and making a radical shift towards innovation funding should contribute. funding future-oriented investments, __________________ such as R&D and innovation

(R&D&I), and this should be clearly

4 COM(2010) 2020 i visible in a considerable increase in

funding for Union R&D&I compared to the funding level of 2013. In this context, the Innovation Union flagship initiative sets out a strategic and integrated approach to research and innovation, setting the framework and objectives to which future Union research and innovation funding should contribute.

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Research and innovation are also key Research and innovation are also key factors for other Europe 2020 flagship factors for other Europe 2020 flagship initiatives, notably on resource initiatives and policy objectives, efficient Europe, an industrial policy notably on resource efficient Europe, for the globalisation era, and a digital an industrial policy for the agenda for Europe. Moreover, for globalisation era, climate and energy achieving the Europe 2020 objectives policy, and a digital agenda for Europe. relating to research and innovation, Moreover, for achieving the Europe Cohesion policy has a key role to play 2020 objectives relating to research through building capacity and and innovation, Cohesion policy has a providing a stairway to excellence. key role to play through building

capacity and providing a stairway to excellence.

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AMD 3 (4) At its meeting of 4 February 2011, (4) At its meeting of 4 February 2011, the European Council supported the the European Council supported the concept of the Common Strategic concept of the Common Strategic Framework for Union Research and Framework for Union Research and Innovation funding to improve the Innovation funding to improve the efficiency of research and innovation efficiency of research and innovation funding at national and Union levels funding at national and Union levels and called on the Union to rapidly and called on the Union to rapidly address remaining obstacles to address remaining obstacles to attracting talent and investment in attracting talent and investment in order to complete the ERA by 2014 order to complete the ERA by 2014 and achieve a genuine single market and achieve a genuine single market for knowledge, research and for knowledge, research and innovation innovation. This requires increasing

significantly the budget for the next seven-year period to reinforce the innovation capacity of the Union while attracting significant private sector funds for the Union's activities.

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AMD 4 (5) The European Parliament has 5) The European Parliament has called called for a radical simplification of for a radical simplification of Union Union research and innovation funding research and innovation funding in its in its Resolution of 11 November Resolution of 11 November 2010, has

2010 5 , has highlighted the importance highlighted the importance of the

of the Innovation Union to transform Innovation Union to transform Europe

Europe for post-crisis world, in its for post-crisis world, in its resolution

resolution of 12 May 2011 6 , has drawn of 12 May 2011, has drawn attention to

attention to important lessons to be important lessons to be learned learned following the interim following the interim evaluation of the evaluation of the Seventh Framework Seventh Framework Programme in its Programme in its resolution of 8 June resolution of 8 June 2011 and has

2011 7 and has supported the concept of supported the concept of a common

a common strategic framework for strategic framework for research and research and innovation funding in its innovation funding, while calling for

resolution of 27 September 2011 8 . the EU research and innovation

__________________ programmes’ budget for the next financial period to be doubled as of

5 P7 TA(2011)0401 2014 in its resolution of 27 September

2011.

6 P7 TA(2011)0236

7 P7 TA(2011)0256

8 P7 TA(2011)0401

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(6) The Council of the European Union [no change] called on 26 November 2010 for future

Union funding programmes to focus more on Europe 2020 priorities, address societal challenges and key technologies, facilitate collaborative and industry-driven research, streamline the instruments, radically simplify access, reduce time to market and further strengthen excellence

(7) The importance of a coherent [no change] strategic approach was also underlined in opinions delivered by the European

Research Area Committee on 3 June

2011 9 , the Committee of Regions on

30 June 2011 10 , and the European

Economic and Social Committee on 13

July 2011 11 .

__________________

9 ERAC 1210/11

10 CdR 67/2011

11 CESE 1163/2011

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(8) The Union Budget Review adopted [no change] by the Commission on 19 October

2010 put forward key principles which should underpin the future Union budget, namely focussing on instruments with proven Union added value, becoming more results-driven and leveraging other public and private sources of funding and it proposed to bring the full range of Union instruments for research and innovation together in a Common

Strategic Framework.

(9) The Commission Green Paper [no change]

'From Challenges to Opportunities:

Towards a Common Strategic

Framework for EU Research and

Innovation funding' 12 identified key

questions on how to achieve those ambitious objectives and launched a broad consultation, in the course of which stakeholders and Union institutions largely agreed with the ideas presented therein.

__________________

12 COM(2011) 48 i

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AMD 5 (10) In the Communication 'A Budget (10) In the Communication 'A Budget

for Europe 2020' 13 the Commission for Europe 2020', the Commission

proposed to address with a single proposed to address with a single

Common Strategic Framework for Common Strategic Framework for

Research and Innovation the areas Research and Innovation the areas covered in the period 2007-2013 under covered in the period 2007-2013 under the Seventh Framework Programme the Seventh Framework Programme for Research and the innovation part of for Research and the innovation part of the Competitiveness and Innovation the Competitiveness and Innovation Framework Programme, as well as the Framework Programme, as well as the European Institute of Innovation and European Institute of Innovation and Technology (EIT) in order to serve the Technology (EIT) in order to serve the Europe 2020 Strategy target of raising Europe 2020 Strategy target of raising spending on Research and spending on Research and Development to 3 % of GDP by 2020. Development to 3 % of GDP by 2020. In that Communication, the In that Communication, the Commission also committed to Commission also committed to mainstream climate change into Union mainstream climate change into Union spending programmes and to direct at spending programmes and to direct at least 20 % of the Union budget to least 20 % of the Union budget to climate-related objectives. Climate climate-related objectives. Climate action and resource efficiency are action and resource efficiency are mutually reinforcing objectives for mutually reinforcing objectives for achieving sustainable development. achieving sustainable development. The specific objectives relating to both The specific objectives relating to both should be complemented through the should be complemented through the other specific objectives of Horizon other specific objectives of Horizon 2020. 2020. __________________

13 COM(2011) 500 i

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As a result it is expected that at least As a result it is expected that at least

60% of the overall Horizon 2020 60% of the overall Horizon 2020 budget should be related to sustainable budget should be related to sustainable development. It is also expected that development. It is also expected that climate-related expenditure should climate-related expenditure should exceed 35% of the budget, including exceed 35% of the budget, including mutually compatible measures mutually compatible measures improving resource efficiency. The improving resource efficiency. The Commission should provide Commission should provide information on the scale and results of information on the scale and results of support to climate change objectives. support to climate change objectives. Climate-related expenditure under Climate-related expenditure under Horizon 2020 should be tracked in Horizon 2020 should be tracked in accordance with the methodology accordance with the methodology stated in that Communicaiton. stated in that Communication.

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AMD6 (10a) In its White Paper entitled ‘Roadmap to a Single European Transport Area - Towards a competitive and resource-efficient

transport system’ 1 , the Commission

takes the view that research and innovation policy in the field of transport should provide growing and consistent support for the development of key technologies with a view to transforming the European transport system into a modern, efficient, sustainable and accessible service. The White Paper establishes the objective of achieving by 2050 a 60% reduction in the 1990 level of greenhouse gas emissions.

1 COM(2011)0144 i

AMD 7 (11) Horizon 2020 - the Framework (11) Horizon 2020 - the Framework Programme for Research and Programme for Research and Innovation in the European Union Innovation in the European Union (hereinafter 'Horizon 2020'), focuses (hereinafter 'Horizon 2020'), focuses on three priorities, namely generating on three priorities, namely generating excellent science in order to strengthen excellent science in order to strengthen the Union's world-class excellence in the Union's world-class excellence in science, fostering industrial leadership science, fostering industrial leadership to support business, including small to support business, including small and medium-sized enterprises (SME) and medium-sized enterprises (SME) and innovation and tackling societal and innovation and tackling societal challenges, in order to respond directly challenges, in order to respond directly to the challenges identified in the to the challenges identified in the Europe 2020 strategy by supporting Europe 2020 strategy by supporting activities covering the entire spectrum activities covering the entire spectrum from research to market. from research to market.

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While the Union added value lies mainly in funding pre-competitive, transnational, collaborative research, which should attain in Horizon 2020 at least the levels of the Seven Framework Programme, it is also necessary to place special emphasis on funding innovation within Horizon 2020. Horizon 2020 also aims to satisfy the research needs of a broad spectrum of Union policies by placing emphasis on the widest possible use and dissemination of knowledge generated by the supported activities up to its commercial exploitation.

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Horizon 2020 should support all stages Therefore, Horizon 2020 should in the innovation chain, especially support ensure all stages in the activities closer to the market including research and innovation chain, innovative financial instruments, as especially activities closer to the well as non-technological and social market including innovative financial innovation, and aims to satisfy the instruments, as well as nonresearch needs of a broad spectrum of technological and social innovation, Union policies by placing emphasis on and aims to satisfy the research needs the widest possible use and of a broad spectrum of Union policies dissemination of knowledge generated by placing emphasis on the widest by the supported activities up to its possible use and dissemination of commercial exploitation. The priorities knowledge generated by the supported of Horizon 2020 should also be activities up to its commercial supported through a programme under exploitation including frontier and the Euratom Treaty on nuclear research applied research, knowledge transfer and training. and closer to the market activities,

innovative financial instruments, as well as non-technological and social innovation. Horizon 2020 should apply a differentiated scale, whereby the closer to the market the supported activity comes, the smaller the part should be that will be funded by Horizon 2020, and the bigger the part that should attract funding from other sources, such as the Structural Funds, national/regional funding or the private sector. The priorities of Horizon 2020 should also be supported through a programme under the Euratom Treaty on nuclear research and training.

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(12) The Joint Research Centre (JRC) [no change] should provide customer-driven scientific and technical support to

Union policies while flexibly responding to new policy demands

AMD 8 (12a) It is important to emphasise that all Horizon 2020 activities should be open to new participants with a view to ensuring there is extensive cooperation with partners throughout the Union and establishing an integrated ERA.

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AMD 9 (13) In the context of the knowledge (13) In the context of the knowledge triangle of research, education and triangle of research, education and innovation, the Knowledge and innovation, the Knowledge and Innovation Communities under the Innovation Communities (KICs) under European Institute of Innovation and the European Institute of Innovation Technology should strongly contribute EIT should strongly contribute to to addressing the objectives of Horizon addressing the objectives of Horizon 2020, including the societal challenges, 2020, including the societal challenges, notably by integrating research, notably by integrating research, education and innovation. In order to education and innovation. In order to ensure complementarities across ensure complementarities across Horizon 2020 and the adequate Horizon 2020 and the adequate absorption of funds, the financial absorption of funds, the financial contribution to the European Institute contribution to the European Institute of Innovation and Technology should of Innovation and Technology should be made in two allocations, with the be made in two allocations, with the second subject to a review. second subject to a review. The EIT is

the main instrument within the Horizon 2020 framework to have a strong emphasis on the educational dimension of the knowledge triangle, and aims at tackling the 'European paradox through entrepreneurial education that will lead to the creation of innovative knowledgebased start-ups and spin-offs.

(14) Horizon 2020 should contribute to [no change] the aims of the European Innovation

Partnerships in line with the flagship initiative Innovation Union, bringing together all relevant actors across the whole research and innovation chain in view of streamlining, simplifying and better coordinating instruments and initiatives.

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AMD 10 (15) Simplification is a central aim of (15) Simplification is a central aim of Horizon 2020 which should be fully Horizon 2020 which should be fully reflected in its design, rules, financial reflected in its design, rules, financial management and implementation. management and implementation. Horizon 2020 should aim to attract the Horizon 2020 should aim to attract the strong participation of universities, strong participation of universities, research centres, industry and research centres, industry and specifically SMEs and be open to new specifically SMEs – too few of which participants, as it brings together the are involved in research programmes, full range of research and innovation despite the measures already in place support in one common strategic and should be open to new framework, including a streamlined set participants, as it notably from civil of forms of support and uses rules for society. Horizon 2020 brings together participation with principles applicable the full range of research and to all actions under the programme. innovation support in one common Simpler funding rules should reduce strategic framework, including a the administrative costs for streamlined set of forms of support and participation and will contribute to a uses rules for participation with reduction of financial errors. principles applicable to all actions

under the programme. Simpler funding rules should reduce the administrative costs for participation and will contribute to a the prevention and the reduction of financial errors.

If steps towards a further externalisation of the Union's research and innovation funding were to be taken (such as Joint Technology Initiatives, Public-Private Partnerships or Research Executive Agencies), the method and the extent of externalisation should be determined according to the results of an independent impact assessment.

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AMD 11 (15a) In order to achieve appropriate balance between consensus-based and more disruptive R&D&I, the use of open calls - following a bottom-up logic - with accelerated procedures should be fostered to ensure fast realisation of innovative projects. Furthermore, the right balance should be struck within the societal challenges and the enabling and industrial technologies between smaller and bigger projects, taking into account the specific sector structure, type of activity, technology and research landscape. AMD 12

(16) In accordance with Article 182(1) (16) In accordance with Article 182(1)

TFEU, the framework programme of the Treaty on the Functioning of fixes the maximum overall amount and the European Union (TFEU), the the detailed rules for Union financial framework programme fixes the participation in the framework maximum overall amount and the programme and the respective shares detailed rules for Union financial in each of the activities provided for. participation in the framework

programme and the respective shares in each of the activities provided for in Article 180 TFEU.

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(17) This Regulation should lay down, [no change] for the entire duration of Horizon

2020, a financial envelope constituting the prime reference, within the meaning of point [] of the

Interinstitutional Agreement of

XX/201Z between the European

Parliament, the Council and the

Commission on cooperation in budgetary matters and on sound financial management, for the budgetary authority during the annual budgetary procedure.

AMD 13 (17a) In order for the European Parliament to be able to exercise its function of political control and to ensure transparency and accountability, as stipulated in the Treaties, the Commission should duly and regularly inform the European Parliament of all relevant aspects of the implementation of Horizon 2020, including the preparation and drawing-up of the work programmes, the execution and possible need for adjustment of the budgetary breakdown, and the development of the performance indicators in terms of objectives pursued and expected results.

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AMD 14 (18) It is appropriate to ensure a (18) It is appropriate to ensure a correct closure of Horizon 2020 and its correct closure of Horizon 2020 and its predecessor programmes, in particular predecessor programmes, in particular regarding the continuation of multiregarding the continuation of multiannual arrangements for their annual arrangements for their management, such as the financing of management, such as the financing of technical and administrative assistance. strictly necessary technical and

administrative assistance. AMD 15

(19) The implementation of Horizon (19) The implementation of Horizon

2020 may give rise to supplementary 2020 may give rise - under specific programmes involving the and transparent conditions and on a participation of certain Member States case-by-case basis - to supplementary only, the participation of the Union in programmes involving the programmes undertaken by several participation of certain Member States Member States, or the setting up of only, the participation of the Union in joint undertakings or other programmes undertaken by several arrangements within the meaning of Member States, or the setting up of Articles 184, 185 and 187 TFEU. joint undertakings or other

arrangements within the meaning of Articles 184, 185 and 187 TFEU. These supplementary programmes or arrangements should have a clear Union added value, be based on genuine partnerships, complement other activities under Horizon 2020, have demonstrated that no other type of financing mechanisms can deliver the same objectives, and be as inclusive as possible in terms of participation.

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AMD 16 (20) With the aim of deepening the (20) With the aim of deepening the relationship between science and relationship between science and society and reinforcing public society and reinforcing public confidence in science, Horizon 2020 confidence in science, Horizon 2020 should favour an informed engagement should: of citizens and civil society on research - favour an promote active and innovation matters by promoting participation and informed science education, by making scientific engagement of citizens and civil knowledge more accessible, by society on in the research and developing responsible research and innovation matters process; innovation agendas that meet citizens' - ensure due consideration of the and civil society's concerns and gender dimension; expectations and by facilitating their - promote excellent science education; participation in Horizon 2020 - increase the accessibility and re-use activities. of the results of publicly funded

research, in particular scientific publications and data, namely through the creation of a repository for research results; - close the digital, research and innovation divide; - by promoting science education, by making scientific knowledge more accessible, by developing develop responsible research and innovation and governance framework agendas that meet citizens' and civil society's concerns and expectations and by facilitating reinforce their participation in the setting of research priorities of Horizon 2020 activities. The engagement of citizens and civil society should be coupled by public outreach activities to generate and sustain public support to the programme.

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AMD 17 (20a) Any documents issued by the Commission in relation to Horizon 2020 shall be provided upon request in accessible formats , including large print, Braille, easy-to-read text, audio, video, and electronic format.

AMD 18 (20b) Horizon 2020 should be used to promote, in addition to research diversity, linguistic diversity in academic and scientific publishing, including as part of cooperation with third countries, as well as to ensure that the principles of independent research and peer validation of publications are adhered to.

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AMD 19 (21) The implementation of Horizon (21) The implementation of Horizon 2020 should respond to the evolving 2020 should respond to the evolving opportunities and needs from science opportunities and needs from science and technology, industry, policies and and technology, industry, policies and society. As such, the agendas should society. As such, the agendas should be set in close liaison with be set in close liaison with stakeholders from all sectors stakeholders from all sectors concerned, and sufficient flexibility concerned, and sufficient flexibility should be allowed for new should be allowed for new developments. External advice should developments. Therefore balanced be sought on a continuous basis during external advice should be sought on a Horizon 2020, also making use of continuous basis during Horizon 2020, relevant structures such as European also making use. In particular, the Technology Platforms, Joint cross- and transdisciplinary nature of Programming Initiatives and the the societal challenges, as well as the European Innovation Partnerships. need for cross-cutting linkages and

interfaces within Horizon 2020, requires the setting up of dedicated strategic scientific panels. The input of relevant structures such as European Technology Platforms, Joint Programming Initiatives and the European Innovation Partnerships should be taken into account where possible in the process of identifying the research needs.

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AMD 20 (21a) In order to ensure a transparent and efficient implementation process, multiannual indicative roadmaps should be set at the beginning of the programming for each specific objective and cross-cutting theme and a short and transparent drafting process of the annual work programmes should be strived at. The Commission, when preparing and drawing-up the roadmaps and work programmes should involve and inform the European Parliament and the Council in a timely and appropriate manner. External advice should be sought on a continuous basis during Horizon 2020, also making use of relevant structures such as sectoral advisory boards, the newly established Steering Boards, European Technology Platforms, Joint Programming Initiatives and the European Innovation Partnerships.

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AMD 21 (21b) In order to be able to compete globally, to effectively address the grand societal challenges, and to attain the goals of the Union 2020 Strategy, the Union should make full use of its human resources. Horizon 2020 should be a catalyser and a powerful stimulus for completing the ERA by supporting across the line activities that attract, retain, train and develop research and innovation talent. To reach this aim and to enhance the knowledge transfer and the quantity and quality of researchers human capital building activities, including those focused specifically at young people and women, should be a standard element in all research and innovation activities funded by the Union.

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AMD 22 (21c) In order to allow for sufficient flexibility over the life-time of Horizon 2020 to address new needs and developments and to take stock and possibly adjust the interaction and cross-cutting between and within the different priorities, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission in repect of reviewing the amounts for the specific objectives and priorities and transferring appropriations between them on the basis of the mid-term review of Horizon 2020. . It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level. The Commission, when preparing and drawing-up delegated acts, should ensure a simultaneous, timely and appropriate transmission of relevant documents to the European Parliament and to the Council.

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AMD 23 (22) Horizon 2020 should contribute to (22) Horizon 2020 should contribute to the attractiveness of the research the attractiveness of the research profession in the Union. Adequate profession in the Union, promoting attention should be paid to the adequate working conditions for European Charter for Researchers and researchers. Full Adequate attention Code of Conduct for the Recruitment should be paid to the European Charter

of Researchers 14 , together with other for Researchers and Code of Conduct

relevant reference frameworks defined for the Recruitment of Researchers, in the context of the European together with other relevant reference Research Area, while respecting their frameworks defined in the context of voluntary nature. the European Research Area, while __________________ respecting their voluntary nature in

order to tackle the continuing

14 C(2005) 576 final, 11.3.2005 phenomenon of brain drain and

convert it into a brain gain.

AMD 24 (22a) Horizon 2020 should contribute to achieving the ERA, help European researchers to remain in Europe, attract researchers from the whole world and make Europe a more attractive destination for the best researchers. The compatibility of grants as a funding instrument for mobile researchers should be guaranteed in the interests of mobility within Europe. Tax-related issues should be resolved and adequate social protection of European scientists be promoted.

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AMD 25 (22b) A glass ceiling still exists for women who wish to pursue a career in science and research, women are significantly underrepresented in some disciplines, such as engineering and technologies, and there is no decreasing trend in the gender pay gap. Horizon 2020 should therefore correct the imbalances in the participation of female scientists at all stages of research careers and in various fields of research.

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AMD 26 (23) The activities developed under (23) The activities developed under Horizon 2020 should aim at promoting Horizon 2020 should aim at promoting equality between men and women in promote equality between men and research and innovation, by addressing women in research and innovation, by in particular the underlying causes of addressing in particular the underlying gender imbalance, by exploiting the identifying and eliminating the full potential of both female and male principal causes of gender imbalance, researchers, and by integrating the by exploiting so as to exploit the full gender dimension into the content of potential and qualifications of both projects in order to improve the quality female and male researchers, and by of research and stimulate innovation. integrating. Furthermore Horizon Activities should also aim at the 2020 should ensure that the gender implementation of the principles dimension into is integrated in the relating to the equality between women content of projects research and and men as laid down in Articles 2 and innovation activities at all stages of 3 of the Treaty on European Union and the process in order to improve the Article 8 TFEU. quality of research and stimulate

innovation. Activities should also aim at the implementation of the principles relating to the equality between women and men as laid down in Articles 2 and 3 of the Treaty on European Union and Article 8 TFEU, as well as in Article 23 of the EU Charter of Fundamental Rights.

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AMD 27 (23a) Horizon 2020 should encourage women’s participation in all European research, projects and scientific disciplines, not only for advisory groups and among evaluators but also for all structures related to Horizon 2020 (EIT, European Research Council (ERC), JRC, Steering Groups, High-Level Groups, Expert Groups, etc.) as well as in universities and research institutions. AMD 28 (23b) Research and innovation build on the capacity of scientists, research institutions, businesses and citizens to access, share and use scientific information. To increase the circulation and exploitation of knowledge, open access to scientific publications should be mandatory if a decision to publish is taken for scientific publications which receive public funding from Horizon 2020. Furthermore, Horizon 2020 should promote open access to scientific data resulting from publicly funded research under Horizon 2020, taking into account constraints pertaining to privacy, national security or intellectual property rights.

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AMD 29 (23c) Horizon 2020 will encourage and support activities towards exploiting Europe's leadership in the race to develop new processes and technologies promoting sustainable development, in a broad sense, and combating climate change. Such horizontal approach, fully integrated in all Horizon 2020 priorities, will help the Union to prosper in a lowcarbon, resource constrained world while building a resource efficient, sustainable and competitive economy. AMD 30 (23d) Each participant that has received Union funding should make its best efforts to exploit the results it owns in further research or commercially, or to have them exploited by another legal entity for these purposes, in particular through transfer and licensing of results in accordance with Article 41 of Regulation (EU) o xxxx/2012 [Rules for Participation]

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AMD 31 (24) Research and innovation activities (24) Research and innovation activities supported by Horizon 2020 should supported by Horizon 2020 should respect fundamental ethical principles. respect fundamental ethical principles The opinions of the European Group and human rights. The reasoned and on Ethics in Science and New updated opinions of the European Technologies should be taken into Group on Ethics (EGE) in Science and account. Research activities should New Technologies should be taken also take into account Article 13 TFEU into account as well as the opinion of and reduce the use of animals in the EU Agency for Fundamental research and testing, with a view Rights and the EU Data Protection ultimately to replacing animal use. All Supervisor where relevant. Horizon activities should be carried out 2020 funding should respect the ensuring a high level of human health legislative and administrative protection in accordance with Article provisions of the Member States. 168 TFEU. Research activities should also take

into account be carried out in accordance with Article 13 TFEU and respect the obligation to replace or reduce the use of animals in research and testing, with a view ultimately to replacing animal use for scientific purposes or improve the conditions under which this takes place. All activities should be carried out ensuring a high level of human health protection in accordance with Article 168 TFEU.

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AMD 32 (25) The European Commission does (25) The European Commission does not explicitly solicit the use of human not explicitly solicit the use of human embryonic stem cells. The use of embryonic stem cells. The use of human stem cells, be they adult or human stem cells, be they adult or embryonic, if any, depends on the embryonic, if any, depends on the judgement of the scientists in view of judgement of the scientists in view of the objectives they want to achieve and the objectives they want to achieve and is subject to stringent Ethics Review. is subject to stringent Ethics Review. No project involving the use of human No project involving the use of human embryonic stem cells should be funded embryonic stem cells should be funded that does not obtain the necessary that does not obtain the necessary approvals from the Member States. No approvals from under the law of the activity should be funded that is Member States concerned. No activity forbidden in all Member States. No should be funded that is forbidden in activity should be funded in a Member all Member States. No activity should State where such activity is forbidden. be funded in a Member State where

such activity is forbidden.

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AMD 33 (26) To achieve maximum impact, (26) To achieve maximum impact, Horizon 2020 should develop close Horizon 2020 should develop close synergies with other Union synergies with other Union programmes in areas such as programmes in areas such as education, space, environment, education, space, environment, energy, competitiveness and SMEs, the agriculture and fisheries, internal security, culture and media competitiveness and SMEs, the and with the Cohesion Policy funds internal security, culture and media and Rural Development Policy, which and with the Cohesion Policy funds can specifically help to strengthen and Rural Development Policy, which national and regional research and can specifically help to strengthen innovation capabilities in the context national and regional research and of smart specialisation strategies. innovation capabilities in the context

of smart specialisation strategies.

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AMD 34 (26a) Both Horizon 2020 and the cohesion policy seek a more comprehensive alignment with the Europe 2020 objectives of smart, sustainable and inclusive growth through their respective Common Strategic Frameworks (CSF). This new strategic direction calls for an increased and systematised cooperation of both CSF in order to fully mobilise the research and innovation potential at regional, national and European level. Therefore, an appropriate articulation of Horizon 2020 with the cohesion policy will help reduce the research and innovation gap in the Union, by fostering the "stairway to excellence" taking into account of the specific characteristics of the regions referred to in Articles 274, 349 and 355 TFEU. Moreover, Structural funds should be deployed to their full extent to support capacity and R&D infrastructure building in the regions; support actions such as ERC, Marie Curie or collaborative actions that have been positively evaluated, but for which no Horizon 2020 funding is available.

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AMD 35 (26b) European local and regional authorities have an important role to play in implementing the ERA and in ensuring an efficient coordination of the Union financial instruments, in particular in fostering linkages between Horizon 2020 and the Structural Funds, within the framework of regional innovation strategies based on smart specialisation. Regions also have a role in the dissemination and implementation of Horizon 2020 results and in offering complementary funding instruments, including public procurement. AMD 36 (26c) Horizon 2020 should aim at spreading and promoting excellent research throughout all the European regions as a precondition for a geographically balanced growth and innovation strategy of the Union. It should also aim at fostering the mobility of researchers as a means for preventing forms of brain-drain among the Member States.

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AMD 37 (27) SMEs constitute a significant (27) SMEs constitute a significant an source of innovation and growth in essential source of innovation, and Europe. Therefore a strong growth and jobs in Europe. Therefore participation of SMEs, as defined in a strong participation of SMEs, as Commission Recommendation defined in Commission

2003/361/EC of 6 May 2003 15 , is Recommendation 2003/361/EC of 6

needed in Horizon 2020. This should May 2003, is needed in Horizon 2020. support the aims of the Small Business This should support the aims of the

Act 16 . Small Business Act. Constituting more

__________________ than 95% of all enterprises in the

Union, there are, however, significant

15 OJ L 124, 30.05.2003 p.36 differences between SMEs and a

16 flexible approach is required. COM(2008) 394 i Therefore, Horizon 2020 should

provide for a tool-box of different instruments to support the research and innovation activities and capacities of SMEs along the different stages of the innovation cycle. Horizon 2020 should allocate at least 20% of priority 2.1 and 3 for SMEs. In particular, at least 4,0% of the Horizon 2020 budget should be delivered through a dedicated SME instrument which should be managed and implemented by a single dedicated administrative structure.

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AMD 38 (27a) The economic significance of public procurement in the Union, which the Commission puts at 19.4% of GDP in its working document 'Public procurement indicators 2009', makes the public procurement market a strategic instrument in the economic and social policy of which it forms part. Moreover, the immediate aim of public procurement is to equip administrations with solutions that will enable them to provide better services to citizens, and there is no doubt that innovation is one means of improving and expanding the provision of conventional products, works and services, and that it makes management processes more efficient. evertheless, only a very small part of the total amount involved in public contracts in the Union goes to innovative products and services, and this represents a serious lost opportunity.

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AMD 39 (27b) In order to maximize the impact of Horizon 2020 special consideration should be given to multidisciplinary and interdisciplinary approaches as necessary elements for major scientific progress. Breakthroughs in science take often place at the boundaries or intersections of disciplines. Furthermore, the complexity of the problems and challenges that Europe is facing requires solutions that can only be tackled from several disciplines working together.

AMD 40 (27c) The implementation of Horizon 2020 should fully recognise the fundamental role that Universities play within the scientific and technological base of the Union as basic institutions of excellence, both in training and research, having an essential role of linking the implementation of the European Higher Education Area to the ERA. Research and technology organisations bring together different players across the whole innovation chain, from fundamental to technological research, from product and process development to prototyping and demonstration, and on to full-scale implementation in the public and private sectors.

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AMD 41 (28) With the aim to achieve the (28) With the aim to achieve the greatest possible impact of Union greatest possible impact of Union funding, Horizon 2020 is to develop funding, Horizon 2020 is to develop closer synergies, which may also take closer synergies, which may also take the form of public-public partnerships, the form of public-public partnerships, with national and regional programmes with international, national and that support research and innovation. regional programmes that support

research and innovation. The coordination and monitoring carried out as part of Horizon 2020 should guarantee the optimum use of resources and avoid unnecessary duplications of expenditure, regardless of what sources of funding are involved. AMD 42 (28a) The Commission should encourage regional stakeholders to formulate regional strategies reflecting the specific needs of the regions so as to combine existing forms of public or private funding at Union level. The activities under Horizon 2020 should be adapted to these strategies, since closer involvement of regional and local authorities in the design and implementation of the funds and research and innovation programmes is of crucial importance in view of the impossibility of applying the same development strategies in all regions.

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AMD 43 (29) A greater impact should also be (29) A greater impact should also be achieved by combining Horizon 2020 achieved by combining Horizon 2020 and private sector funds within publicand private sector funds within publicprivate partnerships in key areas where private partnerships in key areas where research and innovation could research and innovation could contribute to Europe's wider contribute to Europe's wider competitiveness goals and help tackle competitiveness goals, unlock private societal challenges. The public-private funds and help tackle societal partnerships in the form of Joint challenges. These partnerships should Technology Initiatives launched under be based on a real partnership, Decision No 1982/2006/EC of the including in terms of commitments European Parliament and of the and contributions from the private Council of 18 December 2006 sector, be accountable to concrete concerning the Seventh Framework targets to be reached, and be aligned programme of the European with the rest of the Horizon 2020 in Community for research, technological terms of its Rules of Participation and development and demonstration the Union's R&D&I strategic agenda.

activities (2007-13) 17 may be Their governance and functioning

continued using more fit-for-purpose should ensure open, transparent, structures. effective and efficient functioning and __________________ give the opportunity to a wide range

of stakeholder active in their specific

17 OJ L 412, 30.12.2006, p.1 areas to participate. The existing

public-private partnerships in the form of Joint Technology Initiatives launched under Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework programme of the European Community for research, technological development and demonstration activities (2007-13) may be continued using more fit-forpurpose structures and respecting the above mentioned principles.

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AMD 44 (30) Horizon 2020 should promote (30) Horizon 2020 should promote cooperation with third countries based cooperation with third countries based on common interest and mutual on common interest, and mutual benefit. International cooperation in benefit and reciprocity, where science, technology and innovation appropriate, in coherence with Union should be targeted to contribute to foreign and development policies. achieving the Europe 2020 objectives International cooperation in science, to strengthen competitiveness, technology and innovation should be contribute to tackling societal targeted to contribute to achieving the challenges and support Union external Europe 2020 objectives to strengthen and development policies, including by competitiveness, contribute to tackling developing synergies with external societal challenges and support Union programmes and contributing to the external and development Union's international commitments collaborative international research such as the achievement of Millennium networks and policies, including by Development Goals. developing synergies with external

programmes and contributing to the Union's international commitments such as the achievement of Millennium Development Goals and the RIO+20 targets. Account should be taken, in international cooperation, of the capabilities and potential role of the outermost regions of the Union and the overseas countries and territories associated with the Union within their respective areas of the world.

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AMD 45 (30a) It should be contemplated to encourage the participation of research teams in different projects in order to reinforce the research and innovation (R&I) quality and to increase the possibility of international co-operation. AMD 46

(31) In order to maintain a level (31) In order to maintain a level playing field for all undertakings active playing field for all undertakings active in the internal market, funding in the internal market, funding provided by Horizon 2020 should be provided by Horizon 2020 should be designed in accordance with state aid designed in accordance with state aid rules so as to ensure the effectiveness rules, including the Community of public spending and prevent market framework for state aid for research

distortions such as crowding-out of and development and innovation 1 and

private funding, creating ineffective taking into account its current review, market structures or preserving so as to ensure the effectiveness of inefficient firms. public spending and prevent market

distortions such as crowding-out of private funding, creating ineffective market structures or preserving inefficient firms.

1 OJ C 323, 30.12.2006 p. 1

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AMD 47 (31a) The spending of Union and Member States’ funds on research and innovation should be better coordinated in order to assure complementarity, better efficiency and visibility, as well as to achieve better synergies. In the context of the evaluation process foreseen in this Regulation, the Commission should provide concrete evidence, if available of the complementarity and synergies achieved between the Union budget and the Members States budgets in achieving the Europe 2020 R&D target as well as the Europe 2020 innovation headline indicator.

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AMD 48 (32) The need for a new approach to (32) The need for a new approach to control and risk management in Union control and develop an evidence-based research funding was recognised by the risk management in Union strategy as European Council of 4 February 2011, part of the Union's research funding asking for a new balance between trust strategy was recognised by the and control and between risk-taking European Council of 4 February 2011, and risk avoidance. The European asking. At that time the Council asked Parliament, in its Resolution of 11 for a new balance between trust and November 2010 on simplifying the control and between risk-taking and implementation of the Research risk avoidance. The European Framework Programmes, called for a Parliament, in its Resolution of 11 pragmatic shift towards administrative November 2010 on simplifying the and financial simplification and states implementation of the Research that the management of European Framework Programmes, called for a research funding should be more trustpragmatic shift towards administrative based and risk-tolerant towards and financial simplification and states participants. The interim evaluation that the management of European report of the Seventh Framework research funding should be more trust Programme for Research (2007-2013) based and risk-tolerant towards concludes that a more radical approach participants researchers. The interim is needed to attain a quantum leap in evaluation report of the Seventh simplification, and that the risk-trust Framework Programme for Research balance needs to be redressed. (2007-2013) concludes that a more

radical approach is needed to attain a quantum leap in simplification, and that the risk-trust balance needs to be redressed toward simplified procedures that demonstrate the Union's trust in researchers and encourage them to take the risks needed for accelerated progress in science and technology.

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AMD 49 (32a) Horizon 2020 should ensure utmost transparency, accountability and democratic scrutiny of innovative financial instruments and mechanisms that involve the Union budget, especially as regards their contribution, both expected and achieved, to reaching Union objectives.

(33) The financial interests of the [no change]

Union should be protected through proportionate measures throughout the expenditure cycle, including the prevention, detection and investigation of irregularities, the recovery of funds lost, wrongly paid or incorrectly used and, where appropriate, penalties. A revised control strategy, shifting focus from minimisation of error rates towards risk-based control and fraud detection, should reduce the control burden for participants.

(34) It is important to ensure sound [no change] financial management of Horizon 2020 and its implementation in the most effective and user-friendly manner possible, while also ensuring legal certainty and the accessibility of the programme to all participants. It is necessary to ensure compliance with

Regulation (EU) No XXXX/2012 [new financial regulation] and with the requirements of simplification and better regulation.

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AMD 50 (35) Effective performance (35) Effective performance management, including evaluation and management, including evaluation and monitoring, requires development of monitoring, requires development of specific performance indicators which specific common European can be measured over time; are both performance indicators which can be realistic and reflect the logic of the measured over time; are both realistic intervention; and relevant to the and reflect the logic of the appropriate hierarchy of objectives and intervention; and relevant to the activities. Appropriate coordination appropriate hierarchy of objectives and mechanisms should be put in place activities. Appropriate coordination between the implementation and mechanisms should be put in place monitoring of Horizon 2020, and the between the implementation and monitoring of progress, achievements monitoring of Horizon 2020, and the and functioning of the ERA. monitoring of progress, achievements

and functioning of the ERA. AMD 51 (35a) By 2017, the Commission should undertake a comprehensive assessment and review of the different types of public-private partnerships established under its research and innovation programmes (including KICs, JTIs and PPPs), with a view to rationalising and simplifying the landscape in the future framework programme, and to identifying the most effective, open and transparent governance that will enable the widest participation of stakeholders while avoiding conflict of interests.

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(36) Since the objectives of Horizon [no change]

2020 cannot be sufficiently achieved by Member States in strengthening the overall research and innovation framework and coordinating efforts across the Union, and can therefore, by reason of avoiding duplication, retaining critical mass in key areas and ensuring public financing is used in an optimal way, be better achieved at

Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in

Article 5 of the Treaty on European

Union. In accordance with the principle of proportionality, as set out in that Article, Horizon 2020 does not go beyond what is necessary in order to achieve those objectives.

(37) For reasons of legal certainty and [no change] clarity, Decision No 1982/2006/EC should be repealed,

HAVE ADOPTED THIS

REGULATION:

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Art.1

TITLE 1: ESTABLISHMENT

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 1 Article 1 Article 1 Subject Matter Subject Matter Subject Matter

AMD 52 This Regulation establishes Horizon This Regulation establishes Horizon This Regulation establishes Horizon 2020 - the Framework Programme for 2020 - the Framework Programme for 2020 - the Framework Programme for Research and Innovation (2014-2020) Research and Innovation (2014-2020) Research and Innovation (2014-2020) ("Horizon 2020") and determines the ("Horizon 2020") and determines the ("Horizon 2020") and determines the framework governing Union support to framework governing Union support to framework governing Union support to research and innovation activities and research and innovation activities, research and innovation activities, fostering better exploitation of the strengthening the European scientific strengthening European scientific industrial potential of policies of and technological base and fostering and technological base and fostering innovation, research and technological better exploitation of the societal, benefits for society as well as better development. economic and industrial potential of exploitation of the industrial potential

policies of innovation, research and of policies of innovation, research and technological development. technological development.

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Art 2

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 2 Article 2 Article 2 Definitions Definitions Definitions For the purposes of this Regulation the [no change] [no change] following definitions apply:

AMD 53 (a) 'research and innovation activities' (a) 'research and innovation activities' [no change] means the whole spectrum of activities means the whole spectrum of activities of research, technological development, of research, technological development, demonstration and innovation, demonstration and innovation, including the promotion of cooperation including the promotion of cooperation with third countries and international with third countries and international organisations, dissemination and organisations, dissemination and optimisation of results and stimulation optimisation of results and stimulation of the training and mobility of of the high quality, targeted training researchers in the Union; and mobility of researchers in the

Union; (b). 'direct actions' mean research and [no change] [no change] innovation activities undertaken by the

Commission through its Joint Research

Centre;

(c). 'indirect actions' mean research and [no change] [no change] innovation activities to which the

Union provides financial support and which are undertaken by participants;

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(d). 'public-private partnership' means (d) 'public-private partnership' means a (d) 'public-private partnership' means a

a partnership where private sector partnership where between private partnership where private sector partners, the Union and, where sector partners and public sectors partners, the Union and, where appropriate, other partners, commit to partners such as universities, research appropriate, other partners, such as jointly support the development and organisations and other public public sector bodies, commit to jointly implementation of a research and institutions including the Union where support the development and innovation programme or activities ; appropriate, supported jointly by the implementation of a research and

Union and , where appropriate, other its innovation programme or activities;

partners, commit to jointly support the development and implementation of a research and innovation programme or activities;

(e). 'public-public partnership' means a (e) 'public-public partnership' means a [no change] partnership where public sector bodies partnership where public sector bodies or bodies with a public service mission or bodies with a public service mission at regional, national or international at local, regional, national or level commit with the Union to jointly international level commit with the support the development and Union to jointly support the implementation of a research and development and implementation of a innovation programme or activities. research and innovation programme or

activities.

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(ea) 'research infrastructures' (RI) means facilities, resources, organisational systems and services that are used by the research communities to conduct research and innovation in their fields. Where relevant, they may be used beyond research, e.g. for education or public services. RI includes: major scientific equipment (or sets of instruments); knowledge-based resources such as collections, archives or scientific data; e-infrastructures, such as data, computing and software systems, communication networks and systems to promote openness and digital trust; any other infrastructure of a unique nature essential to achieve excellence in research and innovation;

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(eb) 'smart specialisation' means the concept underpinning for the development of the Union's R&D&I policy, the objective of which is to promote efficient and effective use of public investment using synergies among countries and regions and strengthening their innovation capacity.

(ec) "smart specialisation strategy" means a strategy comprised of a multiannual strategy programme whose goal is to develop a functional national or regional research innovation system.

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Art. 3, 4

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 3 Article 3 Article 3 Establishment of Horizon 2020 Establishment of Horizon 2020 Establishment of Horizon 2020 Horizon 2020 is hereby established for [no change] [no change] the period from 1 January 2014 to 31

December 2020.

Article 4 Article 4 Article 4 Union added value Union added value Union added value

AMD 54 Horizon 2020 shall play a central role Horizon 2020 shall play a central role Horizon 2020 shall play a central role in the delivery of the Europe 2020 in the delivery of the Europe 2020 in the delivery of the Europe 2020 strategy for smart, sustainable and strategy for smart, sustainable and strategy for smart, sustainable and inclusive growth by providing a inclusive growth by providing a inclusive growth by providing a

common strategic framework for the common strategic framework for the common strategic framework for the

Union's research and innovation Union's funding excellent research Union's research and innovation funding, thus acting as a vehicle for and innovation funding in the Union, funding, thus acting as a vehicle for leveraging private investment, creating thus acting as a vehicle for leveraging leveraging private and public new job opportunities and ensuring public and private investment, creating investment, creating new job Europe's long-term sustainable growth new job opportunities and ensuring opportunities and ensuring Europe's and competitiveness. Europe's long-term sustainability, long-term sustainable growth and

economic development, social competitiveness. as well as addressing

inclusion and industrial sustainable societal challenges across the Union.

growth and competitiveness. Support

under Horizon 2020 shall be targeted towards activities where intervention at Union level brings added value compared to intervention at national or regional level.

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Art. 5

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 5 Article 5 Article 5 General objective, priorities and General objective, priorities and General objective, priorities and

specific objectives specific objectives specific objectives AMD 55

  • 1. 
    Horizon 2020 shall contribute to 1. Horizon 2020 shall contribute to 1. Horizon 2020 shall contribute to

building an economy based on building an economy based on a building a society and an economy knowledge and innovation across the knowledge and innovation based based on knowledge and innovation whole Union by leveraging sufficient economy across the whole Union by across the whole Union by leveraging additional research, development and leveraging sufficient additional sufficient additional research, innovation funding. Thereby, it shall research, development and innovation development and innovation funding. support the implementation of the funding and thus shall contribute to Thereby, it shall support the Europe 2020 strategy and other Union attaining the target of 3% of GDP implementation of the Europe 2020 policies, as well as the achievement and funding for research and development strategy and other Union policies, as functioning of the European Research across the Union by 2020. Thereby, it well as the achievement and Area (ERA). The relevant performance shall support the implementation of the functioning of the European Research indicators are set out in the introduction Europe 2020 strategy and other Union Area (ERA). The first set of relevant of Annex I. policies, as well as the achievement and performance indicators are set out in

functioning of the European Research the introduction of Annex I. Area (ERA). The relevant performance indicators are set out in the introduction of Annex I. through

specific and exemplary actions fostering structural changes in European research and innovation systems.

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  • 2. 
    This general objective shall be [no change] [no change] pursued through three mutually reinforcing priorities dedicated to:

(a) excellent science; [no change] [no change]

(b) industrial leadership; [no change] [no change]

(c) societal challenges. [no change] [no change]

The specific objectives corresponding [no change] [no change] to each of those three priorities are set out in Parts I to III of Annex I, together with the broad lines of the activities.

  • 3. 
    The Joint Research Centre shall 3. The Joint Research Centre shall 3. The Joint Research Centre shall contribute to the general objective and contribute to the general objective and contribute to the general objective and priorities set out in paragraphs 1 and 2 priorities set out in paragraphs 1 and 2 priorities set out in paragraphs 1 and 2 by providing scientific and technical by providing scientific and technical by providing scientific and technical

support to Union policies. The broad support to Union policies. The broad support to Union policies. in

lines of the activities are set out in Part lines of the activities are set out in Part collaboration with relevant

IV of Annex I. IV of Annex I. In addition, the Joint

Research Centre shall provide support national and regional research to national and regional authorities in stakeholders, where appropriate. the development of their smart The broad lines of the activities are set specialisation strategies. out in Part IV of Annex I.

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Council 18 shall contribute to the general Council 181 shall contribute to the

objective and priorities set out in general objective and priorities set out paragraphs 1 and 2 with the specific in paragraphs 1 and 2 with the specific objective of integrating the knowledge objective of integrating the knowledge triangle of research, innovation and triangle of research, innovation and education. The relevant performance higher education. The relevant indicators for the European Institute of performance indicators for the Innovation and Technology are set out European Institute of Innovation and in the introduction of Annex I and the Technology EIT are set out in the broad lines of that specific objective introduction of Annex I and the broad and the activities are set out in Part V lines of that specific objective and the of Annex I. activities are set out in Part V of Annex __________________ I.

__________________

18 OJ L 97, 9.4.2008, p. 1.

181 OJ L 97, 9.4.2008, p. 1.

  • 5. 
    Within the priorities and broad lines 5. Within the priorities and broad lines 5. Within the priorities and broad lines referred to in paragraph 2, account may referred to in paragraph 2, account may referred to in paragraph 2, account may be taken of new and unforeseen needs be taken of new and unforeseen needs be taken of new and unforeseen needs that arise during the period of that arise during the period of that arise during the period of implementation of Horizon 2020. This implementation of Horizon 2020. This implementation of Horizon 2020. This may include responses to emerging may include responses to emerging may, if duly justified, include opportunities, crises and threats, to opportunities, crises and threats, to responses to emerging opportunities, needs relating to the development of needs relating to the development of crises and threats, to needs relating to new Union policies, and to the piloting new Union policies, and to the piloting the development of new Union of actions foreseen for support under of actions foreseen for support under policies, and to the piloting of actions future programmes. future programmes. foreseen for support under future

    programmes.

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Art. 6

C OMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 6 Article 6 Article 6 Budget Budget Budget AMD 56

  • 1. 
    The financial envelope for the 1. The financial envelope for the [nota bene: the Council has not implementation of Horizon 2020 shall implementation of Horizon 2020 shall discussed Article 6 (1) and (2), pending be EUR 87740 million, of which a be EUR 87740 xxx million, of which a the discussions on the MFF] maximum of EUR 86198 million shall maximum of EUR 86198 million be allocated to activities under Title 98,2% shall be allocated to activities

XIX of the Treaty on the Functioning under Title XIX of the Treaty on the of the European Union (TFEU). Functioning of the European Union

(TFEU). 2. The amount for activities under Title [no change] XIX TFEU shall be distributed among the priorities set out in Article 5(2) as follows:

(a) Excellent science, EUR 27818 (a) Excellent science, EUR 27818 million; million 32,6% of the total budget;

(b) Industrial leadership, EUR 20280 (b) Industrial leadership, EUR 20280 million; million 24,3% of the total budget;

(c) Societal challenges, EUR 35888 (c) Societal challenges, EUR 35888 million. million 37,5% of the total budget;

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The maximum overall amount for the The maximum overall amount for the

Union financial contribution from Union financial contribution from

Horizon 2020 to the non-nuclear direct Horizon 2020 to the non-nuclear direct actions of the Joint Research Centre actions of the Joint Research Centre

shall be EUR 2212 million . shall be EUR 2212 million 2,4% of the

total Horizon 2020 budget.

The indicative breakdown for the The indicative breakdown for the specific objectives within the priorities specific objectives within the priorities and the maximum overall amount of and the maximum overall amount of the contribution to the non-nuclear the contribution to the non-nuclear direct actions of the Joint Research direct actions of the Joint Research Centre are set out in Annex II. Centre are set out in Annex II.

The Commission shall set aside an appropriate amount of money to allocate to calls which receive more bids evaluated to be of a high standard of excellence than anticipated in order to fund more than one project where appropriate.

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  • 3. 
    The European Institute of Innovation 3. The European Institute of Innovation 3. The European Institute of Innovation and Technology shall be financed and Technology shall be financed and Technology EIT shall be financed through a maximum contribution from through a maximum contribution from through a maximum contribution from

Horizon 2020 of EUR 3194 million as Horizon 2020 of EUR 3194 million Horizon 2020 of [EUR 3194 million] set out in Annex II. A first allocation of 3,3% of the total budget as set out in as set out in Annex II. A first allocation EUR 1542 million shall be provided to Annex II. A first allocation of EUR of [EUR 1542 million] shall be the European Institute of Innovation 1542 million shall be provided to the provided to the European Institute of and Technology for activities under European Institute of Innovation and Innovation and Technology EIT for Title XVII of the Treaty on the Technology for activities under Title activities under Title XVII of the Functioning of the European Union. A XVII of the Treaty on the Functioning Treaty on the Functioning of the second allocation of up to EUR 1652 of the European Union. A second European Union.TFEU. A second million shall be provided, subject to the allocation of up to EUR 1652 million allocation of up to [EUR 1652 million] review set out in Article 26 (1). This shall be provided, subject to the review shall may be provided, subject to a additional amount shall be provided on set out in Article 26 (1). This additional positive result of the review set out in a pro-rata basis, as indicated in Annex amount shall be provided on a pro-rata Article 26 (1). This additional amount II, from the amount for the specific basis, as indicated in Annex II, from shall may be provided on a pro-rata objective "Leadership in enabling and the amount for the specific objective basis, as indicated in Annex II, from industrial technologies" within the ‘Leadership in enabling and industrial the amount for the specific objective priority on industrial leadership set out technologies’ within the priority on "Leadership in enabling and industrial in paragraph 2(b) and from the amount industrial leadership set out in technologies" within the priority on for the priority on societal challenges paragraph 2(b) and from the amount for industrial leadership set out in set out in 2(c). the priority on societal challenges set paragraph 2(b) and from the amount for

out in 2(c). the priority on societal challenges set

out in paragraph 2(c).

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This funding in two multiannual This funding in two multiannual This funding in two multiannual allocations shall cover: allocations shall cover: allocations shall cover be as follows: (a) in the first allocation, the ongoing (a) in the first allocation, the ongoing (a) in the first allocation, shall cover developments of the current developments of the current the ongoing developments of the Knowledge and Innovation Knowledge and Innovation current Knowledge and Innovation Communities (hereinafter KICs) and Communities (hereinafter KICs) and Communities (hereinafter KICs) and seed money for the launch of the seed money for the launch of the seed money for the launch of the second wave of three new KICs second wave of three new KICs second wave of three new KICs;

(b) in the second allocation, the (b) in the second allocation, the (b) in the second allocation, may cover ongoing developments of the KICs ongoing developments of the KICs the ongoing developments of the KICs already launched and the seed money already launched and the seed money already launched and the seed money for the launch of the third wave of three for the launch of the third wave of three for the launch of the third wave of three new KICs new KICs new KICs.

The second allocation shall be made The second allocation shall be made The second allocation shall may be available following the review set out available following the review set out made available following subject to in Article 26(1) taking into account in in Article 26(1) taking into account in the positive result of the review set out particular: particular: in Article 26(1) taking into account in

particular: (a) the agreed timing of the creation of (a) the agreed timing of the creation of (a) the agreed timing of the creation of the third wave of KICs; the third wave of KICs; the third wave of new KICs;

(b) the programmed financial needs of (b) the programmed financial needs of [no change] the existing ones according to their the existing ones according to their specific development; specific development;

(c) the contribution of the European (c) the contribution of the European (c) the contribution of the European

Institute of Innovation and Technology Institute of Innovation and Technology Institute of Innovation and Technology and its KICs to the Horizon 2020 and its KICs to the Horizon 2020 and its KICs to the Horizon 2020 objectives. objectives. objectives.

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  • 4. 
    The financial envelope of Horizon 4. The financial envelope of Horizon [no change]

2020 may cover expenses pertaining to 2020 may cover expenses pertaining to preparatory, monitoring, control, audit preparatory, monitoring, control, audit and evaluation activities which are and evaluation activities which are required for the management of required for the management of

Horizon 2020 and the achievement of Horizon 2020 and the achievement of its objectives, in particular studies and its objectives, in particular studies and meetings of experts, as far as they are meetings of experts, as far as they are related to the objectives of Horizon related to the objectives of Horizon

2020, expenses linked to information 2020, expenses linked to information technology networks focusing on technology networks focusing on information processing and exchange, information processing and exchange, together with all other technical and together with all other technical and administrative assistance expenses administrative assistance expenses incurred by the Commission for the incurred by the Commission for the management of Horizon 2020. management of Horizon 2020.

Where necessary, appropriations may Where necessary, appropriations may Where necessary and duly justified, be entered in the budget beyond 2020 be entered in the budget beyond 2020 appropriations may be entered in the to cover technical and administrative to cover technical and This Regulation budget beyond 2020 to cover technical assistance expenses, in order to enable shall not fund the Commission's and administrative assistance expenses, the management of actions not yet administrative assistance expenses, in in order to enable the management of completed by 31 December 2020. order to enable the management of actions not yet completed by 31

actions not yet completed by 31 December 2020. December 2020 expenditure to execute Horizon 2020, nor the construction nor the operation of large European infrastructural projects, such as Galileo, GMES or ITER.

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  • 5. 
    In order to respond to unforeseen 5. In order to respond to unforeseen 5. In order to respond to unforeseen situations or new developments and situations or new developments and situations or new developments and needs, and to take into account the needs, and to take into account the needs, and to take into account the provisions of paragraph 3 of this provisions of paragraph 3 of this provisions of paragraph 3 of this article, the Commission may, following article, the evolving nature of science, Article, the Commission may, the interim evaluation of Horizon 2020 technology and innovation and to following the interim evaluation of as referred to in Article 26(1)(a) of this adapt Horizon 2020 to new Horizon 2020 as referred to in Article Regulation, within the annual developments and needs as necessary, 26(1)(a) of this Regulation, within the budgetary procedure review the the Commission may, without annual budgetary procedure review the amounts set out for the priorities in prejudice to the annual budgetary amounts set out for the priorities in paragraph 2 and the indicative procedure, following the interim paragraph 2 and the indicative breakdown by specific objectives evaluation of Horizon 2020 as referred breakdown by specific objectives within these priorities set out in Annex to mid-term review set out in Article within these priorities set out in Annex II and transfer appropriations between 26(1) (b), (a) of this Regulation, within II and transfer appropriations between the priorities and specific objectives up the annual budgetary procedure review the priorities and specific objectives up to 10 % of the total initial allocation of the amounts set out for the priorities in to 10 a maximum of 7.5% of the total each priority and up to 10 % of the paragraph 2 and the indicative adopt initial allocation of each priority and up initial indicative breakdown of each delegated acts in accordance with to 10 a maximum of 7.5% of the initial specific objective. This does not Articles 26a to modify the breakdown indicative breakdown of each specific concern the amount set out for the by specific objectives within these objective. This does not concern the direct actions of the Joint Research priorities set out in Annex II and amount set out for the direct actions of Centre in paragraph 2 or the transfer appropriations between the the Joint Research Centre in paragraph contribution to the European Institute priorities and specific objectives by up 2 or the contribution to the European of Innovation and Technology set out to 10 15% of the total initial allocation Institute of Innovation and Technology

in paragraph 3 . of for each priority and up to 10 % of EIT set out in paragraph 3 .

the initial indicative breakdown of each specific objective and, where relevant, the specific objective. This does not concern the amount set out for the direct actions of the Joint Research Centre in paragraph 2 or the contribution to the European Institute of Innovation and Technology set out in paragraph 3. in Annex I.

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In modifying Annexes I and II, the Commission shall in particular take into account:

(a) the contribution of the different parts of Horizon 2020 to its objectives;

(b) the development of the key indicators for assessing results and impacts of the different parts of Horizon 2020 as specified in Annex II of the specific programme referred to in Article 8 of this Regulation;

(c) the envisaged future financial needs of the different parts and instruments of Horizon 2020.

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Art. 7

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 7 Article 7 Article 7 Association of third countries Association of third countries Association of third countries 1. Horizon 2020 shall be open to the [no change] [no change] association of:

(a). acceding countries, candidate [no change] [no change] countries and potential candidates, in accordance with the general principles and general terms and conditions for the participation of those countries in

Union programmes established in the respective framework agreements and decisions of association councils or similar agreements;

AMD 57 (b) selected third countries that fulfil all (b) selected third countries that fulfil all [no change] of the following criteria: of the following criteria: (i) have a good capacity in science, [no change] [no change] technology and innovation;

(ii) have a good track record of [no change] [no change] participation in Union research and innovation programmes;

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(iii) have close economic and (iii) have close economic and [no change] geographical links to the Union; geographical links to the Union or

maintain special historical and cultural ties with Member States;

(iv) are European Free Trade (iv) are European Free Trade

Association (EFTA) members or Association (EFTA) members or [no change]

countries or territories listed in the countries or territories listed in the

Annex to Regulation (EU) No Annex to Regulation (EU) No

XX/2012 of the European Parliament XX/2012 of the European Parliament and the Council establishing a and the Council establishing a

European Neighbourhood Instrument 19 . European Neighbourhood Instrument.

__________________ The terms and conditions regarding

19 OJ L [], [], p. [] the participation of the EFTA States

that are party to the EEA Agreement shall be in accordance with the provisions of that Agreement.

Horizon 2020 shall be open to participation by the overseas countries and territories referred to in Council Decision 2001/822/EC i of 27 ovember 2001 on the association of the overseas countries and territories with the European Community

('Overseas Association Decision') 1

subject to the specific conditions laid down therein.

__________________

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(v) have fair and equitable treatment of Intellectual Property Rights. (c) countries or territories associated to the Seventh Framework

Programme .

  • 2. 
    Specific terms and conditions [no change] 2. Specific terms and conditions regarding the participation of regarding the participation of associated countries in Horizon 2020, associated countries in Horizon 2020, including the financial contribution, including the financial contribution, based on the gross domestic product of based on the gross domestic product of the associated country shall be the associated country shall be determined by international agreements determined by international agreements between the Union and the associated between the Union and the associated countries. countries.

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Art. 8

TITLE II: IMPLEMENTATION

CHAPTER I: IMPLEMENTATION, MANAGEMENT AND FORMS OF SUPPORT

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 8 Article 8 Article 8 Implementation by means of a specific Implementation by means of a specific Implementation by means of a specific

programme and the contribution to programme and the contribution to programme and the contribution to the European Institute of Innovation the European Institute of Innovation the European Institute of Innovation

and Technology and Technology and Technology Horizon 2020 shall be implemented [no change] Horizon 2020 shall be implemented through a consolidated specific through a consolidated specific programme and a financial contribution programme and a financial contribution to the European Institute of Innovation to the European Institute of Innovation and Technology. and Technology.. This programme

shall specify the objectives and the detailed rules for implementation. Horizon 2020 shall also be implemented through a financial contribution to the EIT.

The specific programme shall set out [no change] [no change] one Part for each of the three priorities set out in Article 5(2) and one Part for the non-nuclear direct actions of the

Joint Research Centre.

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Art. 8, 9

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 58 Effective coordination between the Effective coordination between the three main pillars of Horizon 2020 three main priorities of Horizon 2020 shall be ensured. shall be required.

Article 9 Article 9 Article 9 Management Management Management 1. Horizon 2020 shall be implemented [no change] [no change] by the Commission in accordance with

Regulation (EU) No XXXX/2012

[New Financial Regulation].

  • 2. 
    The Commission may also entrust [no change] [no change] part of the implementation of Horizon

2020 to the funding bodies referred to in Article [55(1)(b)] of Regulation

(EU) No XXXX/2012 [New Financial

Regulation].

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Art. 10

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 10 Article 10 Article 10 Forms of Union support Forms of Union support Forms of Union support

AMD 59 1. Horizon 2020 shall support indirect 1. Horizon 2020 shall support indirect 1. Horizon 2020 shall support indirect actions through one or several of the actions through one or several of the actions through one or several of the forms of funding provided for by forms of funding provided for by forms of funding provided for by Regulation (EU) No XX/2012 [New Regulation (EU, Euratom) o Regulation (EU) No XX/2012 [New Financial Regulation] in particular 966/2012 in particular grants, prizes, Financial Regulation], in particular grants, prizes, procurement and procurement and financial instruments. grants, prizes, procurement and financial instruments. The latter shall be the predominant financial instruments.

form of funding for activities close to market, supported under Horizon 2020.

  • 2. 
    Horizon 2020 shall also support [no change] [no change] direct actions undertaken by the Joint

Research Centre.

  • 3. 
    Where the Joint Research Centre [no change] 3. Where the Joint Research Centre direct actions contribute to initiatives direct actions undertaken by the Joint established under Article 185 or Article Research Centre contribute to 187 TFEU, this contribution shall not initiatives established under Article 185 be considered as part of the financial or Article 187 TFEU, this contribution contribution allocated to these shall not be considered as part of the initiatives. financial contribution allocated to these

    initiatives.

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Art. 11, 11a (new)

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 11 Article 11 Article 11 Rules for participation and Rules for participation and Rules for participation and

dissemination of results dissemination of results dissemination of results The rules for participation and [no change] [no change] dissemination of results laid down in

Regulation (EU) No XX/2012 [Rules for participation and dissemination] shall apply to indirect actions.

AMD 60 Article 11a (new) Strategic Advice and Coordination Strategic advice and coordination of research and innovation aiming at common objectives and requiring synergies across Horizon 2020 shall be pursued.

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Art. 12

CHAPTER II: PROGRAMMING

SECTION I: GENERAL PRINCIPLES

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 12 Article 12 Article 12 External advice and societal External advice and societal External advice and societal

engagement engagement engagement AMD 61

  • 1. 
    For the implementation of Horizon 1. For the implementation of Horizon 1. For the implementation of Horizon

2020, account shall be taken of advice 2020, account shall be taken of advice 2020, account shall be taken of advice and inputs provided by: advisory and inputs provided by: advisory and inputs provided by: advisory groups of independent, high level groups of independent, high level groups of independent, high level experts set up by the Commission; experts set up by the Commission, experts set up by the Commission; dialogue structures created under from a wide variety of sectors, dialogue structures created under international science and technology disciplines and backgrounds, and in international science and technology agreements; forward looking activities; which input from civil society agreements; forward looking activities; targeted public consultations; and organisations is included; dialogue targeted public consultations transparent and interactive processes structures created under international (including, where appropriate, that ensure responsible research and science and technology agreements; national and regional authorities or innovation is supported. forward looking activities; targeted stakeholders); and transparent and

public consultations; and transparent interactive processes that ensure and interactive processes that ensure responsible research and innovation is responsible research and innovation is supported. supported through a streamlined set of measures that avoids duplication and overlapping of funding structures.

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Advice on the identification and design of strategic priorities by the European Research Area Committee (ERAC), other ERA-related Groups and the Enterprise Policy Group (EPG) shall, where appropriate, also be taken into consideration.

1a. In drawing up the work programmes stipulated in Article 5 of Council Decision o XX/XX/EU of ... [Specific Programme H2020], the Commission shall take account of the widest advice and input provided by the stakeholders, the Member States, the European Parliament and the Council. The Committee responsible in the European Parliament may invite representatives of the Commission to present to the Committee the draft work programmes.

AMD 62 2. Full account shall also be taken of 2. Full account shall also be taken of 2. Full account shall also be taken of relevant aspects of the research and relevant aspects of the research and relevant aspects of the research and innovation agendas established by innovation agendas established by the innovation agendas established by, European Technology Platforms, Joint EIT and the KICs, European inter alia, European Technology Programming Initiatives and European Technology Platforms, Joint Platforms, Joint Programming

Innovation Partnerships. Programming Initiatives and , European Initiatives and European Innovation

Innovation Partnerships, and European Partnerships. international research organisations, provided those agendas have been drafted in consultation with a wide range of experts and stakeholders.

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Art. 12a (new)

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 12a Synergies with national programmes

and joint programming 1. For the implementation of Horizon 2020, account shall be taken of the need to build appropriate synergies and complementarities between national and European research and innovation programmes, in particular in areas where coordination efforts are made through the Joint Programming Initiatives.

2. Union support to Joint Programming Initiatives maybe considered through the instruments referred to in Article 20, subject to the conditions and criteria laid down for such instruments.

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Art. 13

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 13 Article 13 Article 13 Cross-cutting actions Cross-cutting actions Cross-cutting actions issues

AMD 63 1. Linkages and interfaces shall be 1. Linkages and interfaces shall be 1. Linkages and interfaces shall be implemented across and within the implemented across and within the implemented across and within the priorities of Horizon 2020. Particular priorities of Horizon 2020. Particular priorities of Horizon 2020. Particular attention shall be paid in this respect to attention shall be paid in this respect to attention shall be paid in this respect to the development and application of key the development and application of key the development and application of key enabling and industrial technologies, to enabling and industrial technologies, to enabling and industrial technologies bridging from discovery to market bridging from discovery to market areas relating to bridging from application, to cross-disciplinary application, to cross-disciplinary to discovery to market application, to research and innovation, to social and multi-, cross-, trans- and intercross-disciplinary research and economic sciences and humanities, to disciplinary research and innovation, to innovation,; to social and economic fostering the functioning and social and economic sciences and sciences and humanities,; to climate achievement of the ERA, humanities, to climate change and change and sustainable development;

sustainable development, to fostering to fostering the functioning and the functioning and achievement of the achievement of the ERA, ERA,

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to cooperation with third countries, to to widening participation across the and of the Innovation Union; to responsible research and innovation Union and closing the research and framework conditions in support of including gender, and to enhancing the innovation divide in Europe, to the Innovation Union; to attractiveness of the research broader private sector participation, to contributing to the Digital Agenda; profession and to facilitating crossinvolving SMEs, to cooperation with to widening participation across the border and cross-sector mobility of third countries, to responsible research EU in research and innovation; to researchers. and innovation, including the gender international networks for excellent

perspective in projects, to a more researchers and innovators such as inclusive governance of research, and COST; to cooperation with third to enhancing the attractiveness of the countries,; to responsible research and research profession and to facilitating innovation including gender, and; to cross-border and cross-sector mobility SME involvement in research and of researchers. innovation and the broader private sector participation; to enhancing the attractiveness of the research profession and to facilitating crossborder and cross-sector mobility of researchers. Particular attention shall also be paid to the cross-sectoral dimension of some research and innovation areas of Horizon 2020, such as the development and application of key enabling and industrial technologies as well as future and emerging technologies.

  • 2. 
    Where an indirect action is supported [no change] [no change] which is of high relevance to several of the priorities set out in Article 5(2) or to several specific objectives within those priorities, the financial amount for that action may be combined from the amounts allocated to respectively each priority or specific objective concerned.

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Art. 14

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 14 Article 14 Article 14 Evolving nature of science, Evolving nature of science, Evolving nature of science, technology, innovation, markets and technology, innovation, markets and technology, innovation, markets

society society economies and society AMD 64

Horizon 2020 shall be implemented in Horizon 2020 shall be implemented in Horizon 2020 shall be implemented in a manner ensuring that the priorities a manner ensuring that the priorities a manner ensuring that the priorities and actions supported are relevant to and actions supported are relevant to and actions supported are relevant to changing needs and take account of the changing needs and take account of the changing needs and take account of the evolving nature of science, technology, evolving nature of science, technology, evolving nature of science, technology,

innovation, markets and society, where innovation, markets economies and innovation, markets economies and innovation includes business, society in a globalised world, where society, where innovation includes organisational and social aspects. innovation includes business, business, organisational and social

organisational and , technological, societal aspects. Proposal for changes social and environmental aspects as to the priorities and actions under well as transfer of science results to all Horizon 2020 will take into account levels of education and training. the external advice from groups

referred to in Article 12 as well as the recommendations from the interim evaluation referred to in Article 26.

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Art. 15

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT

(ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 15 Article 15 Article 15 Gender equality Gender equality Gender equality

AMD 65 Horizon 2020 shall ensure the effective Horizon 2020 shall ensure the effective [no change] promotion of gender equality and the promotion of gender equality and the gender dimension in research and gender dimension in research and innovation content. innovation content. Particular

attention shall be paid to ensuring gender balance in bodies such as selection boards, advisory groups, committees and expert groups. AMD 66 Horizon 2020 shall ensure that the gender dimension is properly considered in research and innovation content at all stages of the process, from priority setting, to definition of calls and proposals, to evaluation and monitoring of programs and projects, to negotiations and agreements.

AMD 67 In order to promote gender equality, specific measures shall be implemented to assist those who take a career break to return to work.

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Art. 15a (new) and Art. 15b (new)

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT

(ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 15b Article 15a Researchers' careers Researchers' careers AMD 69

Fostering human resources for Horizon 2020 shall be implemented science, technology and innovation in accordance with the Regulation across Europe shall be a priority in (EU) No xx/2013 [Rules for Horizon 2020. Horizon 2020 shall be Participation], which shall contribute implemented in accordance with to the reinforcement of a single Regulation (EU) o xx/2013 [Rules market for researchers and for Participation], which shall attractiveness of researchers' careers contribute to the reinforcement of a across the Union in the context of the single market for researchers and European Research Area, by taking attractiveness of researchers' careers into account the transnational across the Union in the context of the character of the majority of the ERA, by taking into account the actions supported under it. transnational character of the actions supported under it. Article 15a on-discrimination AMD 68 Horizon 2020 shall ensure the effective promotion of equal treatment and non-discrimination and properly consider that aspect in research and innovation content at all stages of the process.

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Art. 15c (new)

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT

(ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 70 Article 15c Open Access 1. Where a decision to publish is taken, open access to scientific publications resulting from publicly funded research under Horizon 2020 shall be mandatory.

2. Open access to scientific data resulting from publicly funded research under Horizon 2020 shall be promoted, taking into account constraints pertaining to privacy, national security and intellectual property rights. 3. The Commission shall evaluate, before the end of the financing period of Horizon 2020, the impact of the practice of open access to data on the circulation of scientific knowledge and the acceleration of innovation. This shall be done with a view to defining the further policy on open access and its implementation in the next Union research framework programme.

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Art. 16

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT

(ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 16 Article 16 Article 16 Ethical principles Ethical principles Ethical principles

AMD 71 1. All the research and innovation 1. All the research and innovation [no change] activities carried out under Horizon activities carried out under Horizon 2020 shall comply with ethical 2020 shall comply with ethical principles and relevant national, Union principles and relevant national, Union and international legislation, including and international legislation, including the Charter of Fundamental Rights of the Charter of Fundamental Rights of the European Union and the European the European Union and the European Convention on Human Rights and its Convention on Human Rights and its Supplementary Protocols. Supplementary Protocols. The

opinions of the European Group on Ethics in Science and ew Technologies shall be taken into account.

Particular attention shall be paid to the [no change] [no change] principle of proportionality, the right to privacy, the right to the protection of personal data, the right to the physical and mental integrity of a person, the right to non-discrimination and the need to ensure high levels of human health protection.

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  • 2. 
    Research and innovation activities [no change] [no change] carried out under Horizon 2020 shall have an exclusive focus on civil applications.
  • 3. 
    The following fields of research shall [no change] [no change] not be financed:

(a) research activity aiming at human [no change] [no change] cloning for reproductive purposes;

(b) research activity intended to modify [no change] (b) research activity intended to modify the genetic heritage of human beings the genetic heritage of human beings which could make such changes which could make such changes

heritable; heritable 3

__________________

3 Research relating to cancer

treatment of the gonads can be financed.

AMD 72 (c) research activities intended to create (c) research activities intended to create [no change] human embryos solely for the purpose human embryos solely for the purpose of research or for the purpose of stem of research or for the purpose of stem cell procurement, including by means cell procurement, including by means of somatic cell nuclear transfer. of somatic cell nuclear transfer. 4. Research on human stem cells, both [no change] [no change] adult and embryonic, may be financed, depending both on the contents of the scientific proposal and the legal framework of the Member States involved. No funding shall be granted for research activities that are prohibited in all the Member States. No activity shall be funded in a Member

State where such activity is forbidden.

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Art. 16, 17

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

  • 5. 
    The fields of research set out in [no change] [no change] paragraph 3 may be reviewed within the context of the interim evaluation set out in Article 26(1) in the light of scientific advances.

    Article 17 Article 17 Article 17 Complementarity with other Union Complementarity with other Union Complementarity with other Union

    programmes programmes programmes AMD 73

Horizon 2020 shall be implemented in Horizon 2020 shall be implemented in Horizon 2020 shall be implemented in a way which is complementary to other a way which is complementary to other a way which is complementary to other Union funding programmes, including Union funding programmes, including Union funding programmes and the Structural Funds. the Structural Funds. policies, including the Structural

Funds., the Common Agricultural Policy, the Programme for the Competitiveness of Enterprises and SMEs (COSME), Erasmus for all and Life+.

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Art. 17a (new)

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 74 Article 17a Synergies with the Structural Funds Horizon 2020 shall contribute to the closing of the research and innovation divide within the Union by enabling synergies with the Structural Funds in support of research and innovation through the implementation of complementary measures in a coordinated way. Where possible, the interoperability between Horizon 2020 and the Structural Funds shall be promoted and cumulative or combined funding shall be encouraged.

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Art. 18

SECTION II: SPECIFIC FIELDS OF ACTIONS

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 18 Article 18 Article 18 Small and medium-sized enterprises Small and medium-sized enterprises Small and medium-sized enterprises

AMD 75 1. Particular attention shall be paid to 1. Particular attention shall be paid to 1. Particular attention shall be paid to

ensuring the adequate participation of, ensuring the adequate increased ensuring the adequate participation of, and innovation impact on, small and participation of, and research and and innovation impact on, small and medium-sized enterprises (SME) in innovation impact on, small and medium-sized enterprises (SME)s) as

Horizon 2020. Quantitative and medium-sized enterprises (SME) in well as private sector in general in qualitative assessments of SME throughout the implementation of Horizon 2020. Quantitative and

participation shall be undertaken as Horizon 2020. Quantitative and qualitative assessments of SME part of the evaluation and monitoring qualitative assessments of SME participation shall be undertaken as arrangements. participation shall be undertaken as part of the evaluation and monitoring

part of the evaluation and monitoring arrangements.

arrangements.

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AMD 76 2. Specific actions shall be undertaken 2. Specific actions for SMEs shall be 2. Specific Further to the

within the specific objective undertaken within to ensure that establishment of better conditions

"Leadership in enabling and industrial SMEs are integrated within the whole for SMEs to participate in Horizon technologies" set out in Point 1 of Part value chain and get access to all 2020, specific actions shall be II of Annex I and each of the specific opportunities in Horizon 2020. Such undertaken within the specific objectives under the priority "Societal actions include those set out under objective "Leadership in enabling and challenges" set out in Points 1 to 6 of point 3.3 of part II of Annex I. These industrial technologies" set out in Point Part III of Annex I. These specific specific actions shall take the form of a 1 of Part II of Annex I and each of the actions shall take the form of a dedicated SME instrument that is specific objectives under the priority dedicated SME instrument that is targeted at all types of SMEs with an "Societal challenges" set out in Points targeted at all types of SMEs with an innovation potential and shall be 1 to 67 of Part III of Annex I. These innovation potential and shall be implemented in a consistent manner specific actions shall take the form of a implemented in a consistent manner and tailored to the needs of SMEs as dedicated SME instrument that is and tailored to the needs of SMEs as set out under the specific objective targeted at all types of SMEs with an set out under the specific objective "Innovation in SMEs" in Point 3.3.(a) innovation potential, in a broad sense, "Innovation in SMEs" in Point 3.3.(a) of Part II of Annex I. and shall be implemented in a

of Part II of Annex I. consistent manner and tailored to the

A dedicated SME instrument targeted needs of SMEs as set out under the at all types of SMEs with an specific objective "Innovation in innovation potential shall be created SMEs" in Point 3.3.(a) of Part II of under a single management body and Annex I.

shall be implemented primarily in a bottom-up manner as set out under the specific objective "Innovation in SMEs" in Point 3.3.(a) of part II of Annex I. This instrument shall thematically relate to the specific objective "Leadership in enabling and industrial technologies" set out in Point 1 of Part II of Annex I and each of the specific objectives under the priority "Societal challenges" set out in Points 1 to 6 7of Part III of Annex I.

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AMD 77 3. The integrated approach set out in 3. The integrated approach set out in 3. The integrated approach set out in paragraphs 1 and 2 is expected to lead paragraphs 1 and 2 is expected to paragraphs 1 and 2 is expected to

to around 15% of the total combined lead to around 15 an d the should lead to around 15 a minimum budget for the specific objective on simplification of the application of 20% of the total combined budget "Leadership in enabling and industrial procedures should reach at least 20% for the specific objective on technologies" and the priority "Societal of the total combined budget for the "Leadership in enabling and industrial challenges" going to SMEs. specific objective on "Leadership in technologies" and the priority "Societal

enabling and industrial technologies" challenges" going to SMEs.

and the priority "Societal challenges" going to SMEs. 3a. In accordance with paragraphs 1 and 3, the Commission shall carry out evaluations and record the rate of participation by SMEs in the research programmes. Should the target rate of 20% not be achieved, the Commission shall examine the reasons for this situation and shall propose, without delay, new measures for achieving the target. 3b. Particular attention shall also be paid to the adequate participation and representation of SMEs in the governing structures of the ERA and in particular of public-private partnerships.

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Art. 18a (new)

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 18a Collaborative projects and partnership programmes Horizon 2020 should be implemented primarily through transnational collaborative projects, delivered through calls for proposals in the Horizon 2020 Annual Work Programmes. These projects will be complemented by public-private and public-public partnerships. The partnerships will be designed with the involvement of Member States and shall develop principles for their internal management.

AMD 78 Article 18a Fast Track to Innovation 1. To accelerate the commercialisation and diffusion of innovation, a significant amount of the Union funding within the specific objective 'Leadership in enabling and industrial technologies' and in each of the 'Societal challenges' in Part III of Annex I shall be set aside for the 'Fast Track to Innovation'.

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2. The 'Fast track to innovation' is an instrument following a bottom-updriven logic that will speed up time from idea to market significantly and is expected to increase industry participation in Horizon 2020 as well as the participation of SMEs and first-time applicants from the public and non-profit research sector. Thereby it shall stimulate private sector R&D&I investment, promote research and innovation with a focus on value creation and accelerate the maturing of new technologies into innovative products being in demand, which will underpin future businesses and economic growth and employment. 3. Activities shall cover the whole innovation cycle, but shall focus on innovation-related activities, experimental and pre-commercial development, comprising the development stages from technology demonstration up to market uptake, including piloting, demonstration, test-beds, pre-normative research and standard setting, and market uptake of innovations.

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4. The 'Fast track to innovation' shall be implemented as a visible funding instrument presenting a simple and fast entry into applied collaborative research, following a special selection process as set out in Regulation (EU) o xxxx/2012 [Rules for Participation and Dissemination]. 5. While synergies between the 'Fast Track to Innovation' and the dedicated SME instrument shall be taking into account, the two instruments shall be implemented in parallel as two separate procedures, taking due account of the respective targeted participant groups, and without affecting the budget that has been ringfenced for the SME instrument.

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Art. 19

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 19 Article 19 Article 19 Public-private partnerships Public-private partnerships Public-private partnerships

AMD 79 1. Horizon 2020 may be implemented 1. Horizon 2020 may be implemented 1. Horizon 2020 may be implemented through public-private partnerships through public-private partnerships through public-private partnerships where all the partners concerned where all the partners concerned where all the partners concerned commit to support the development commit to support the development commit to support the development and implementation of research and and implementation of pre-competitive and implementation of research and innovation activities of strategic research and innovation activities of innovation activities of strategic importance to the Union's strategic importance to the Union's importance to the Union's competitiveness and industrial competitiveness and industrial competitiveness and industrial leadership or to address specific leadership or to address specific leadership or to address specific societal challenges. societal challenges. Excellence shall societal challenges. Public-private

be key in selecting the participants. partnerships shall be implemented in such a way that they do not

impede the full participation of the best European players.

  • 2. 
    Involvement of the Union in those [no change ] 2. Involvement of the Union in those partnerships may take one of the partnerships shall make use of the following forms: pre-existing and lean governance

    structures and may take one of the following forms:

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(a) financial contributions from the (a) financial contributions from the (a) financial contributions from the

Union to joint undertakings established Union to joint undertakings established Union to joint undertakings established on the basis of Article 187 TFEU on the basis of Article 187 TFEU on the basis of pursuant to Article 187 under the Seventh Framework under the Seventh Framework TFEU under the Seventh Framework Programme, subject to the amendment Programme, subject to the amendment Programme, subject to the amendment of their basic acts; to new publicof their basic acts taking full account of their basic acts; to new publicprivate partnerships set up on the basis of the results of the cost benefit private partnerships set up on the basis of Article 187 TFEU; and to other analysis to be conducted under the of established pursuant to Article 187 funding bodies referred to in Article foreseen impact assessment of this TFEU; and to other funding bodies [55(1)(b)(v) or (vii)] of Regulation instrument; to new public-private referred to in Article [55(1)(b)(v) or (EU) No XX/2012 [New Financial partnerships set up on the basis of (vii)] of Regulation (EU) No XX/2012 Regulation]. This form of partnerships Article 187 TFEU; and to other [New Financial Regulation]. This form shall only be implemented where the funding bodies referred to in Article of partnerships shall only be scope of the objectives pursued and the [55(1)(b)(v) or (vii)] of Regulation implemented where the scope of the scale of the resources required justify (EU, Euratom) o 966/2012. This objectives pursued and the scale of the it; form of partnerships shall only be resources required justify it;

implemented where the scope of the objectives pursued, the consistency with existing Union policy objectives and the scale of the resources required justify it and where other forms of partnerships will not fulfil the objectives or will not generate the necessary leverage;

(b) entering a contractual agreement [no change] [no change] 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.

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The public-private partnerships shall make public funds accessible through transparent processes and mainly through competitive calls, with rules for participation in compliance with those of Horizon 2020. Exceptions to the use of competitive calls should be duly justified.

  • 3. 
    Public-private partnerships shall be 3. Public-private partnerships shall be [no change]

identified in an open and transparent identified in an open and transparent way based on all of the following way based on all of the following

criteria : criteria: and implemented on the

criteria of openness, transparency, effectiveness and efficiency as well as the fullfilment of the criterion set out in Article X of Regulation (EU) o xxxx/2012 [Rules for participation].

(a) the added value of action at Union (a) the added value of action at Union [no change] level; level;

(b) the scale of impact on industrial (b) the scale of impact on industrial (b) the scale of impact on industrial competitiveness, sustainable growth competitiveness, sustainable growth competitiveness, job creation, and socio-economic issues; and socio-economic issues; sustainable growth and socio-economic

issues;, including societal challenges;

(c) the long-term commitment from all (c) the long-term commitment from all [no change] partners based on a shared vision and partners based on a shared vision and clearly defined objectives; clearly defined objectives;

(d) the scale of the resources involved (d) the scale of the resources involved [no change] and the ability to leverage additional and the ability to leverage additional investments in research and investments in research and innovation; innovation;

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Art. 19, 20

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

(e) a clear definition of roles for each (e) a clear definition of roles for each [no change] of the partners and agreed key of the partners and agreed key performance indicators over the period performance indicators over the period chosen. chosen.

Where appropriate, complementarity to priorities, activities and involvement of Member States shall be ensured in public-private partnerships.

3a. The research priorities covered by public-private partnerships shall also be funded through the work programmes in regular calls for proposal.

Article 20 Article 20 Article 20

Public-public partnerships Public-public partnerships Public-public partnerships

  • 1. 
    Horizon 2020 shall contribute to the [no change] 1. Horizon 2020 shall contribute to the strengthening of public-public strengthening of public-public partnerships where actions at regional, partnerships, as and when national or international level are appropriate, where actions at jointly implemented within the Union. regional, national or international level

    are jointly implemented within the Union.

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AMD 80 Particular attention shall be paid to Particular attention shall be paid to [no change] joint programming initiatives between joint programming initiatives between Member States. Member States, and such initiatives

may include regions and cities where relevant. The financial contribution of the Union shall be of a limited nature and shall always be conditional on the demonstration of transparency, large participation of Member States, the existence of a Union added value and the additionality of the resources. Top-up funding will be restricted to initiatives permanently open to participation from all Member States.

  • 2. 
    Public-public partnerships may be [no change] [no change] supported either within, or across, the priorities set out in Article 5(2), in particular through:

(a) an ERA-NET instrument using [no change] (a) an ERA-NET instrument using grants to support public-public grants to support public-public partnerships in their preparation, partnerships in their preparation, establishment of networking structures, establishment of networking structures, design, implementation and design, implementation and coordination of joint activities as well coordination of joint activities as well as topping up of individual joint calls as Union topping up of individual no and of actions of a transnational more than one joint calls call a year nature; and of actions of a transnational

nature;

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(b) Union participation in programmes (b) Union participation in programmes (b) Union participation in programmes undertaken by several Member States undertaken by several Member States undertaken by several Member States in accordance with Article 185 TFEU in accordance with Article 185 TFEU, in accordance with Article 185 TFEU

with participation of regional where it is justified by the scope of authorities where relevant. objectives pursued and the scale of resources required.

For the purposes of point (a), top-up For the purposes of point (a), top-up For the purposes of point (a), top-up funding shall be conditional on a funding shall be conditional on a funding shall be conditional on a significant level of prior financial significant level of prior financial significant level of prior indicative commitments of the participating commitments of the participating financial commitments in cash or in entities to the joint calls and actions. entities to the joint calls and actions. kind of the participating entities to the The ERA-NET instrument may include The ERA-NET instrument may include joint calls and actions. The ERA-NET an objective to harmonise rules and an objective to harmonise rules and instrument may include, where implementation modalities of the joint implementation modalities of the joint possible, an objective to harmonise calls and actions. It may also be used calls and actions. It may also be used rules and implementation modalities of in order to prepare for an initiative in order to prepare for an initiative the joint calls and actions. It may also pursuant to Article 185 TFEU. pursuant to Article 185 TFEU. be used in order to prepare for an

initiative pursuant to Article 185 TFEU.

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For the purposes of point (b) such For the purposes of point (b) such [no change] initiatives shall only be proposed in initiatives shall only be proposed in cases where there is a need for a cases where there is a need for a dedicated implementation structure and dedicated implementation structure and where there is a high level of where there is a high level of commitment of the participating commitment of the participating countries to integration at scientific, countries to integration at scientific, management and financial levels. In management and financial levels. In addition, proposals for initiatives addition, proposals for initiatives referred to in point (b) shall be referred to in point (b) shall be identified on the basis of all of the identified on the basis of all of the following criteria: following criteria:

(a) a clear definition of the objective to (a) a clear definition of the objective to [no change] be pursued and its relevance to the be pursued and its relevance to the objectives of Horizon 2020 and objectives of Horizon 2020 and broader Union policy objectives; broader Union policy objectives;

(b) clear financial commitments of the (b) clear financial commitments of the (b) clear indicative financial participating countries, including prior participating countries, including prior commitments of the participating commitments to pool national and/or commitments to pool national and/or countries, in cash or in kind including regional investments for transnational regional investments for transnational prior commitments to pool align research and innovation; research and innovation; national and/or regional investments

for transnational research and innovation; and, where appropriate, to pool resources;

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(c) the added value of action at Union (c) the added value of action at Union [no change] level; level;

(d) the critical mass, with regard to the (d) the critical mass, with regard to the (d) the critical mass, with regard to the size and the number of programmes size and the number of programmes size and the number of programmes involved, the similarity of activities involved, the similarity of activities involved, the similarity or and the share of relevant research they and the share of relevant research they complementarities of activities and cover; cover; the share of relevant research they

cover;

(e) the efficiency of Article 185 TFEU (e) the efficiency of Article 185 TFEU [no change] as the most appropriate means for as the most appropriate means for achieving the objectives achieving the objectives

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Art. 21

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 21 Article 21 Article 21 International cooperation with third International cooperation with third International cooperation with third

countries and international countries and international countries and international organisations organisations organisations

AMD 81 1. Entities established in third 1. Entities established in third [no change] countries and international countries and international organisations shall be eligible to organisations shall be eligible to participate in indirect actions of participate in indirect actions of Horizon 2020 under the conditions set Horizon 2020 under the conditions set out in Regulation (EU) XX/XX [Rules out in Regulation (EU) XX/XX [Rules for Participation]. International for Participation]. International cooperation with third countries and cooperation with third countries and international organisations shall be international organisations shall be promoted across and within Horizon promoted across and within integrated 2020 to achieve, in particular, the in Horizon 2020 to achieve, in following objectives: particular, the following objectives: (a) strengthening the Union’s [no change] [no change] excellence and attractiveness in research and innovation as well as its economic and industrial competitiveness;

(b) tackling effectively global societal [no change] (b) tackling effectively global challenges; common societal challenges;

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AMD 82 (c) supporting the Union's external and (c) supporting the Union's external and (c) supporting the Union's external and development policy objectives, development policy objectives, development policy objectives, complementing external and complementing external and complementing external and development programmes. development programmes and development programmes. Synergies

international commitments such as with other Union policies will be the achievement of the Millennium sought. Development Goals; AMD 83 (ca) supporting the creation of globally competitive centres of excellence making the Union a global hub for world-leading cutting-edge research and innovation. AMD 84

  • 2. 
    Targeted actions with the objective 2. Targeted actions with the objective 2. Targeted actions with the objective of promoting cooperation with specific of promoting cooperation with specific of promoting cooperation with specific third countries or groups of third third countries or groups of third third countries or groups of third countries shall be implemented on the countries, in particular with the countries shall be implemented on the basis of common interest and mutual strategic partners of the Union, shall basis of a strategic approach as well benefit, taking into account their be implemented on the basis of as common interest, priorities, and scientific and technological capabilities common interest and mutual benefit, mutual benefit, taking into account and market opportunities, and the taking into account their scientific and their scientific and technological expected impact. technological capabilities and market capabilities and market opportunities,

    opportunities, and the expected impact. and the expected impact. Those actions shall include, in particular, research capacity building in developing countries and cooperation projects focusing on those countries’ specific needs.. Account shall be taken, in those cooperative activities, of the scientific and technological capabilities of the outermost regions of the Union and the overseas countries and territories associated with the Union.

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AMD 85 Reciprocal access to third country Reciprocal access to third country Reciprocal access to third country programmes should be encouraged. In programmes should be encouraged and programmes should be encouraged. In order to maximise impact, coordination periodically monitored. In order to order to maximise impact, coordination and synergies with initiatives of maximise impact, coordination and and synergies with initiatives of Member States and associated synergies with initiatives of Member Member States and associated countries shall be promoted. States and associated countries shall be countries shall be promoted. The

promoted. nature of the cooperation may vary

according to the specific partner

countries.

AMD 86

Cooperation priorities shall take into Cooperation priorities shall take into Cooperation priorities shall take into

account developments in Union policy account developments in Union policy account developments in Union policy

and opportunities for cooperation with and opportunities for cooperation with and, opportunities for cooperation with

third countries, as well as possible third countries, as well as possible third countries, as well as possible

deficiencies in third country deficiencies in third country deficiencies in third country and fair

intellectual property systems. intellectual property systems. and equitable treatment of

including external and development intellectual property systems. rights.

policies.

AMD 87

Due coordination shall be established

with migration, asylum and

development policies, in order to

avoid a "brain drain" from

developing countries.

AMD 88

  • 3. 
    In addition, horizontal and cross 3. In addition, horizontal and cross 3. In addition, horizontal and crosscutting activities to promote the cutting activities to promote the cutting activities to promote the strategic development of international strategic development of international strategic development of international cooperation shall be implemented cooperation shall be implemented cooperation shall be implemented under Horizon 2020 under the specific under Horizon 2020 under the specific under Horizon 2020 under the specific objective "Inclusive, innovative and objective ‘Understanding Europe in a objective "Inclusive, innovative and secure societies" set out in Point changing world - inclusive, innovative secure societies" set out in Point 6.3.2(d) of Part III of Annex I. and secure reflective societies’ set out 6.3.2(d) of Part III of Annex I.

    in Point 6.3.2(d) of Part III of Annex I.

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AMD 89 3a. In order to reduce the administrative burden for participants, national accounting practices of the beneficiaries shall be accepted by the Commission. AMD 90 3b. Beneficiaries who have executed their audits in a satisfactory manner for three consecutive years shall be subject to a lighter audit procedure, in order to foster an enhanced trustbased approach.

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Art. 22

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 22 Article 22 Article 22 Information, communication and Information, communication and Information, communication,

dissemination dissemination exploitation and dissemination AMD 91

The European Commission shall The European Commission shall The European Commission shall implement information and implement information and implement information and communication actions concerning communication actions concerning communication actions concerning Horizon 2020, including Horizon 2020, including Horizon 2020, including communication measures concerning communication measures concerning communication measures concerning supported projects and results. supported projects and results. supported projects and results. In

particular, it shall provide timely and thorough information to Member States.

Budget allocated to communication Budget allocated to communication [no change] under Horizon 2020 shall also under Horizon 2020 shall also contribute to covering the corporate contribute to covering the corporate communication of the Union's political communication of the Union's political priorities as far as they are related to priorities as far as they are related to the general objective of this the general objective of this

Regulation. Regulation. In particular, the

Commission shall provide timely and thorough information to Member States.

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AMD 92 [no change] Activities to disseminate information Activities to disseminate information and carry out communication activities and carry out communication activities shall be an integral task under all of the shall be an integral task under all of the actions supported by Horizon 2020. actions supported by Horizon 2020. All

information and communication activities concerning Horizon 2020, including communication measures concerning supported projects, shall be made available and accessible to all citizens, and made public in digital form. AMD 93 In order to simplify access to information and to develop an instrument with all the information requested by the research community and, having regard the need for a transparency, Cordis, as a digital instrument shall be revised and reformed in a clearer and more flexible way. The ew Cordis shall be finalised by 31 May 2013.

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In addition, the following specific [no change] [no change]

actions shall be supported :

AMD 94 (a) initiatives aimed at widening (a) initiatives aimed at widening (a) initiatives aimed at widening awareness and facilitating access to awareness and facilitating access to awareness and facilitating access to funding under Horizon 2020, in funding under Horizon 2020, in funding under Horizon 2020, in particular for those regions or types of particular for those regions, overseas particular for those regions or types of participant that are underrepresented; countries and territories associated participant that are underrepresented;

with the Union or types of participant have a relatively low participation; that are underrepresented, including researchers and participants with disabilities; AMD 95

(b) targeted assistance to projects and (b) targeted assistance to projects and (b) targeted assistance to projects and consortia to provide them with access consortia to provide them with consortia to provide them with access to the necessary skills to optimise the adequate access to the necessary skills to the necessary skills to optimise the communication and dissemination of to optimise the communication and communication, exploitation and results; dissemination of results; dissemination of results;

AMD 96 (c) actions which bring together results (c) actions which bring together and [no change] from a range of projects, including evaluate results from a range of those that may be funded from other projects, including those that may be sources, to provide user-friendly funded from other sources, to provide databases and reports that summarise user-friendly and accessible digital key findings; databases and to draw up reports that

summarise key findings, and where relevant communication and dissemination to the scientific community, industry and the general public;

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(d) dissemination to policy makers, [no change] [no change] including standardisation bodies, to promote the use of policy relevant results by the appropriate bodies at international, Union, national and regional level;

AMD 97 (e) initiatives to foster dialogue and (e) initiatives to foster dialogue and (e) initiatives to foster dialogue and debate on scientific, technological and debate on scientific, technological and debate on scientific, technological and innovation related issues with the innovation related issues with the innovation related issues with the public, and to take advantage of social public through involvement of the public, and to take advantage of social media and other innovative academic community, and to take media and other innovative technologies and methodologies; advantage of social media and other technologies and methodologies;.

innovative technologies and methodologies, especially in order to help raise public awareness of the benefits of research and innovation in meeting society’s challenges; AMD 98 (ea) initiatives to include and promote the participation of civil society, and its organisations or institutions, in issues relating to the research and innovation process and to foster open, science-based debates on major societal issues.

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Art. 23

CHAPTER III: CONTROL

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 23 Article 23 Article 23 Control and audit Control and audit Control and audit

AMD 99 1. The control system set up for the 1. The control system set up for the [no change] implementation of this Regulation implementation of this Regulation shall be designed so as to provide shall be designed so as to provide reasonable assurance of achieving reasonable assurance of achieving adequate management of the risks sufficient reduction and adequate relating to the effectiveness and management of the risks relating to the efficiency of the operations as well as effectiveness and efficiency of the the legality and regularity of the operations as well as the legality and underlying transactions, taking into regularity of the underlying account the multi-annual character of transactions, taking into account the programmes as well as the nature of multi-annual character of programmes the payments concerned. as well as the nature of the payments

concerned. AMD 100

  • 2. 
    The control system shall ensure an 2. The control system shall ensure an 2. The control system shall ensure an appropriate balance between trust and appropriate balance between trust and appropriate balance between trust and control, taking into account control, taking into account control, taking into account administrative and other costs of administrative and other costs of administrative and other costs of controls at all levels, so that the controls at all levels, including at the controls at all levels, especially for objectives of Horizon 2020 can be level of beneficiaries, so that the participants, so that the objectives of achieved and the most excellent objectives of Horizon 2020 can be Horizon 2020 can be achieved and the researchers and the most innovative achieved and the most excellent most excellent researchers and the enterprises can be attracted to it. researchers and the most innovative most innovative enterprises can be

    enterprises can be attracted to it. attracted to it.

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  • 3. 
    As part of the control system, the [no change] [no change] audit strategy for expenditure on indirect actions under Horizon 2020 shall be based on the financial audit of a representative sample of expenditure across the whole framework programme. This representative sample shall be complemented by a selection based on an assessment of the risks related to expenditure.

Audits of expenditure on indirect [no change] [no change] actions under Horizon 2020 shall be carried out in a coherent manner in accordance with the principles of economy, efficiency and effectiveness in order to minimize the audit burden of the participants

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Art. 24

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 24 Article 24 [Article 24 Protection of the financial interests of Protection of the financial interests of Protection of the financial interests of

the Union the Union the Union 1. The Commission shall take [nota bene: the Council has not appropriate measures ensuring that, discussed Article 24, pending when actions financed under this discussions on the financial Regulation are implemented, the regulation] financial interests of the Union are protected by the application of preventive measures against fraud, corruption and any other illegal activities, by effective checks and, if irregularities are detected, by the recovery of the amounts wrongly paid and, where appropriate, by effective, proportionate and deterrent penalties.

AMD 101 1a. An ad hoc mediator shall be appointed, with responsibility for ensuring uniform interpretation of the rules. In the event of conflict about the interpretation of the rules or procedures, based for example on an independent re-audit produced by any interested party, the Commission may resolve the conflict through a compromise on the advice of the ad hoc mediator.

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  • 2. 
    The Commission or its [no change] [no change] representatives and the Court of

Auditors shall have the power of audit, on the basis of documents and on-thespot checks and inspections, over all grant beneficiaries, contractors, subcontractors and other third parties who have received Union funds under

Horizon 2020.

AMD 102 Without prejudice to paragraph 3, Without prejudice to paragraph 3, [no change] audits by the Commission may be audits by the Commission may be

carried out up to four years after the carried out up to four two years after

final payment . the final payment completion of a

project. 3. The European Anti-Fraud Office [no change] 3. The European Anti-Fraud Office (OLAF) may carry out on-the-spot (OLAF) may carry out on-the-spot checks and inspections on economic checks and inspections on economic operators concerned directly or operators concerned directly or indirectly by such funding in indirectly by such funding in accordance with the procedures laid accordance with the procedures laid down in Council Regulation (Euratom, down in Council Regulation (Euratom,

EC) No 2185/96 20 with a view to EC) No 2185/96 204 with a view to

establishing whether there has been establishing whether there has been fraud, corruption or any other illegal fraud, corruption or any other illegal activity affecting the financial interests activity affecting the financial interests of the Union in connection with a grant of the Union in connection with a grant agreement or grant decision or a agreement or grant decision or a contract concerning Union funding. contract concerning Union funding. __________________ __________________

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  • 4. 
    Without prejudice to paragraphs 1, 2 [no change] 4. Without prejudice to paragraphs 1, 2 and 3, cooperation agreements with and 3, cooperation agreements with third countries and international third countries and international organisations and grant agreements organisations and grant agreements and grant decisions and contracts and grant decisions and contracts resulting from the implementation of resulting from the implementation of this Regulation shall expressly this Regulation shall expressly empower the Commission, the Court empower the Commission, the Court of Auditors and the OLAF to conduct of Auditors and the OLAF to conduct such audits, on-the-spot checks and such audits, on-the-spot checks and inspections. inspections.]

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Art. 25

CHAPTER IV: MONITORING AND EVALUATION

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 25 Article 25 Article 25 Monitoring Monitoring Monitoring

AMD 103 1. The Commission shall annually 1. The Commission shall annually 1. The Commission shall annually monitor the implementation of Horizon monitor the implementation of Horizon monitor the implementation of Horizon 2020, its specific programme and the 2020, its specific programme and, the 2020, its specific programme and the activities of the European Institute of activities of the EIT and the activities of the European Institute of Innovation and Technology. This shall implementation and funding of Innovation and Technology EIT. This include information on cross-cutting public-private and public-public shall include information on crosstopics such as sustainability and partnerships. This shall include cutting topics such as social and climate change, including information information and indicators on crosseconomic sciences and humanities, on the amount of climate related cutting topics such as gender equality, sustainability and climate change, expenditure. responsible research and innovation, including information on the amount of

sustainability and climate change, climate related expenditure., SME including information on the amount of participation, private sector climate related expenditure, private participation, gender equality, sector and SME participation in widening participation and progress particular and the real impact of against performance indicators. The measures to widen the participation. monitoring shall also include information on the extent of funding for public-private and public-public partnerships, including Joint Programming Initiatives. The monitoring on funding for publicprivate partnerships shall, where appropriate, be undertaken in close consultation with the participants.

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AMD 104 1a. In order to deliver a future Union environment that offers a real increase in prosperity and in quality of life, the balance between economic, social and environmental aspects will need to be regularly and effectively monitored during the implementation of Horizon 2020. To this end, the Commission shall set up in advance a clear and transparent mechanism for such monitoring. AMD 105

  • 2. 
    The Commission shall report and 2. The Commission shall report and 2. The Commission shall report and disseminate the results of that disseminate the results of that the disseminate make publicly available monitoring. monitoring referred to in paragraphs the results of that monitoring.

    1 and 1a, using, where appropriate, a set of common key indicators, comparable across the various instruments. In particular, they shall be transmitted to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.

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Art. 26

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 106 Article 26 Article 26 Article 26 Evaluation Evaluation Mid-term review Evaluation

AMD 107 1. Evaluations shall be carried out in a 1. Evaluations Reviews and [no change] sufficiently timely manner to feed into evaluations shall be carried out in a the decision-making process. sufficiently timely manner to feed into

the decision-making process. AMD 108

(a) Not later than end 2017, the (a) Not later than end 2017, the (a) Not later than end 2017, the

Commission shall carry out, with the Commission shall carry out, with the Commission shall carry out, with the assistance of independent experts, a assistance of independent experts, a assistance of independent experts review of the European Institute of review of the European Institute of selected on the basis of a transparent Innovation and Technology. The Innovation and Technology. The process, a review of the European second allocation of funds to the second allocation of funds to the Institute of Innovation and Technology European Institute of Innovation and European Institute of Innovation and EIT, taking into account the Technology as set out in Article 6(3) Technology as set out in Article 6(3) evaluation provided for in Article 16 shall be made available following this shall be made available following this of the Regulation XX/2012 [revised review. The review shall assess the review. The review shall assess the EIT Regulation]. The second progress of the European Institute of progress of the European Institute of allocation of funds to the European Innovation and Technology against all Innovation and Technology against all Institute of Innovation and Technology of the following: of the following: EIT as set out in Article 6(3) shall

may be made available following subject to a positive result of this review. The review shall assess the progress of the European Institute of Innovation and Technology EIT

against all of the following :

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(i) the level of consumption of the first (i) the level of consumption of the first (i) the level of consumption and the allocation of funds set out in Article allocation of funds set out in Article efficiency in the use of the first 6(3), differentiating between the 6(3), differentiating between the allocation of funds set out in Article amount of money used for the amount of money used for the 6(3), differentiating between the development of the first wave of KICs development of the first wave of KICs amount of money used for the and the effect of the seed money for and the effect of the seed money for development of the first wave of KICs the second phase, and the ability of the the second phase, and the ability of the and the effect of the seed money for European Institute of Innovation and European Institute of Innovation and the second phase, and the ability of the Technology to attract funds from the Technology to attract funds from the European Institute of Innovation and partners in the Knowledge and partners in the Knowledge and Technology EIT to attract funds from Innovation Communities and from the Innovation Communities and from the the partners in the Knowledge and private sector, as set out in Regulation private sector, as set out in Regulation Innovation Communities and KICs XX/2012 [revised EIT Regulation]; XX/2012 [revised EIT Regulation]; and especially from the private sector,

as set out in Regulation XX/2012 [revised EIT Regulation];

(ii) the agreed timing for the creation (ii) the agreed timing for the creation (ii) the agreed timing for the creation of the third wave of Knowledge and of the third wave of Knowledge and of contribution of the EIT and the Innovation Communities and the Innovation Communities and the third wave of Knowledge and programmed financial needs of programmed financial needs of Innovation Communities and the existing ones according to their existing ones according to their programmed financial needs of specific development; and specific development; and existing ones according to their

specific development; and

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(iii) the contribution of the European (iii) the contribution of the European (iii) the contribution of the European

Institute of Innovation and Institute of Innovation and Institute of Innovation and

Technologies and the Knowledge and Technologies and the Knowledge and Technologies and the Knowledge and

Innovation Communities to the priority Innovation Communities to the priority Innovation Communities KICs to the on societal challenges and the specific on societal challenges and the specific priority on societal challenges and the objective on "leadership in enabling objective on "leadership in enabling specific objective on "leadership in and industrial technologies" of the and industrial technologies" of the enabling and industrial technologies" programme Horizon 2020. programme Horizon 2020. of the programme Horizon 2020. and

the performance assessed on the basis of the indicators defined in Annex I. (iii) the contribution of the EIT and the KICs to the integration of higher education, research, innovation; (iv) the ability of the KICs to integrate relevant new partners where they can provide added value.

AMD 109 (b) Not later than end 2017, and taking (b) Not later than end 2017, and taking (b) Not later than end 2017, and taking into account the ex-post evaluation of into account the ex-post evaluation of into account the ex-post evaluation of the Seventh Framework Programme to the Seventh Framework Programme to the Seventh Framework Programme to be completed by the end of 2015 and be completed by the end of 2015 and be completed by the end of 2015 and the review of the European Institute of the review of the European Institute of the review of the European Institute of Innovation and Technology, the Innovation and Technology, the Innovation and Technology EIT, the Commission shall carry out, with the Commission shall carry out, with the Commission shall carry out, with the

assistance of independent experts, an assistance of independent experts, an assistance of independent experts, interim evaluation of Horizon 2020, its interim evaluation a mid-term review selected on the basis of a transparent specific programme, including the of Horizon 2020, its specific process, an interim evaluation of European Research Council, and the programme, including the European Horizon 2020, its specific programme, activities of the European Institute of Research Council, and the activities of including the European Research Innovation and Technology, the EIT. Council, and the activities of the

European Institute of Innovation and Technology EIT,

[nota bene: the rest of the paragraph [nota bene: the rest of the paragraph is compared below] is compared below]

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As part of the mid-term review, both existing and new public-private partnerships, including the JTIs, shall be subject to an in-depth assessment in order to analyse their European added value and the Commission shal submit proposals if necessary to improve their governance and functioning, in view of ensuring more effective and efficient impact, open and transparent functioning and avoiding conflicts of interests. The Commission shal present the result of this assessment to the European Parliament and the Council. If the in-depth assessment reveals that the criterion of European added value is not satisfactorily met, the European Parliament and the Council may decide to no longer provide funding to these public-private partnerships. The mid-term review shall take into consideration aspects relating to the dissemination and exploitation of research results. The mid-term review shall assess the progress of the different parts of Horizon 2020 against all of the following:

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on the achievements (at the level of (i) on the achievements (at the level of on the achievements (at the level of results and progress towards impacts) results and progress towards impacts, results and progress towards impacts) of the objectives of Horizon 2020 and based on the indicators outlined in of the objectives of Horizon 2020 and continued relevance of all the Annex II of the Specific Programme) continued relevance of all the measures, the efficiency and use of of the objectives of Horizon 2020 and measures, the efficiency and use of resources, the scope for further continued relevance of all the resources, the scope for further simplification, and Union added value. measures; simplification, and Union added value. That evaluation shall also take into (ii) the efficiency and use of resources, That evaluation shall also take into consideration aspects relating to access the scope for further simplification, consideration aspects relating to access to funding opportunities for and, with particular attention paid to to funding opportunities for

participants in all regions, for SMEs cross-cutting actions and other participants in all regions, for the and for promoting gender balance. elements referred to in Article 13(1); private sector, notably SMEs and for That evaluation shall additionally take and promoting gender balance. That into account the contribution of the (iii) the Union added value. evaluation shall additionally take into measures to the Union priorities of That evaluation The mid-term review account the contribution of the smart, sustainable and inclusive growth shall also take into consideration the measures to the Union priorities of and results on the long-term impact of scope for further simplification and smart, sustainable and inclusive growth the predecessor measures. aspects relating to access to funding and, results on the long-term impact of

opportunities for participants in all the predecessor measures., and the regions, for SMEs and for promoting degree of synergy and interaction

gender balance. That evaluation It with other Union funding shall additionally take into account the programmes, including the contribution of the measures to the Structural Funds.

Union priorities of smart, sustainable and inclusive growth and results on the long-term impact of the predecessor measures. It shall be carried out in association with the Member States so as to ensure that research and innovation policies implemented in the Member States and by local authorities are complementary and offer Union added value.

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(c) Not later than end 2023, the [no change] (c) Not later than end 2023, the

Commission shall carry out, with the Commission shall carry out, with the assistance of independent experts, an assistance of independent experts, ex-post evaluation of Horizon 2020, its selected on the basis of a transparent specific programme and the activities process, an ex-post evaluation of of the European Institute of Innovation Horizon 2020, its specific programme and Technology. This shall cover the and the activities of the European rationale, implementation and Institute of Innovation and Technology achievements, as well as the longer EIT. This shall cover the rationale, term impacts and sustainability of the implementation and achievements, as measures, to feed into a decision on a well as the longer-term impacts and possible renewal, modification or sustainability of the measures, to feed suspension of a subsequent measure. into a decision on a possible renewal,

modification or suspension of a subsequent measure.

AMD 110 1a (new). As part of the mid-term review referred to in point (b) of paragraph 1, the Commission shall provide concrete evidence, if available, of the complementarity and synergies achieved between the Union budget and the Members States' budgets in achieving the Europe 2020 R& D target as well as the Europe 2020 innovation headline indicator.

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AMD 111 1b (new). ot later than 2016, and every two years thereafter, the Commission shall conduct a review of Union organisations’ and thirdcountry organisations’ reciprocal access to research programmes. The review shall be conducted country by country and shall include a comparison between the funding received by third-country organisations from Horizon 2020 and that received by Union organisations from third countries’ research programmes.

  • 2. 
    The performance indicators for the [no change] 2. The performance indicators for the general objectives and for the general objectives and for the European Institute of Innovation and European Institute of Innovation and Technology, as set out in the Technology EIT, as set out in the introduction of Annex I to this introduction of Annex I to this Regulation, and for the specific Regulation, and for the specific objectives as established in the specific objectives as established in the specific programme, including relevant programme, including relevant baselines, shall provide the minimum baselines, shall provide the minimum basis for assessing the extent to which basis for assessing the extent to which the objectives of Horizon 2020 have the objectives of Horizon 2020 have been achieved. been achieved.

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Art. 26, 26 a (new)

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

  • 3. 
    Member States shall provide the [no change] 3. Where appropriate and available,

Commission with data and information Member States shall provide the necessary to permit the monitoring and Commission with data and information evaluation of the measures concerned. necessary to permit the monitoring and

evaluation of the measures concerned.

  • 4. 
    The Commission shall communicate [no change] [no change] the conclusions of those evaluations of

Horizon 2020, accompanied by its observations, to the European

Parliament, the Council, the European

Economic and Social Committee and the Committee of the Regions.

AMD 112 Article 26 a Exercise of delegation 1. The power to adopt the delegated acts is conferred on the Commission subject to the conditions laid down in this Article.

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2. The power to adopt delegated acts referred to in Article 6 shall be conferred on the Commission for a period of five years from [XX]. The Commission shall draw up a report in respect of the delegated power not later than six months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period. 3. The delegation of powers referred to in Article 6 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

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4. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council. 5. A delegated act adopted pursuant to Article 6 shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two months of notification of that act to the European Parliament and the Council or if, before the expiry of that period, the European Parliament and the Council have both informed the Commission that they will not object. That period shall be extended by two months at the initiative of the European Parliament or of the Council.

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Art. 27

TITLE III

FINAL PROVISIONS

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 27 Article 27 Article 27 Repeal and transitional provisions Repeal and transitional provisions Repeal and transitional provisions 1. Decision No 1982/2006/EC is [no change] [no change] repealed with effect from 1 January

2014.

2 However, actions initiated under [no change] [no change]

Decision No 1982/2006/EC and financial obligations related to those actions shall continue to be governed by that Decision until their completion.

  • 3. 
    The financial allocation referred to [no change] [no change] in Article 6 may also cover the technical and administrative assistance expenses necessary to ensure the transition between this programme and the measures adopted under Decision

No 1982/2006/EC.

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Art. 28

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Article 28 Article 28 Article 28

This Regulation shall enter into force [no change] [no change] on the third day following that of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its [no change] [no change] entirety and directly applicable in all

Member States.

Done at Brussels,

For the European Parliament For the Council

The President The President

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ANNEX I: Broad lines of the specific objectives and activities

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 113 Horizon 2020 has the general objective Horizon 2020 has the general objective Horizon 2020 has the general objective to build an economy based on to build an a world-leading economy to build a society and an economy knowledge and innovation across the and a society based on knowledge and based on knowledge and innovation whole Union, while contributing to innovation across the whole Union, across the whole Union, while sustainable development. It will while contributing to sustainable contributing to sustainable support the Europe 2020 strategy and development. It will support the development. It will support the other Union policies as well as the Europe 2020 strategy and other Union Europe 2020 strategy and other Union achievement and functioning of the policies as well as the achievement and policies as well as the achievement and European Research Area. functioning of the European Research functioning of the European Research

Area. Area.

The performance indicators for [no change] [no change] assessing progress against this general objective are:

  • the Europe 2020 R&D target (3 % of [no change] [no change]

GDP);

  • the Europe 2020 innovation headline [no change] - [the Europe 2020 innovation headline indicator. indicator.].

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- the following human resources indicators: change in the fraction of researchers (FTE) in the active population; change in the proportion of women in the total number of researchers; changes in the attraction of researchers from abroad and in the brain drain of researchers.

All performance indicators shall be used in order to highlight change, to make visible progress in the Union's research participation imbalances and to allow for comparison at international level.

This general objective shall be pursued [no change] [no change] through three distinct, yet mutually reinforcing, priorities, each containing a set of specific objectives. They will be implemented in a seamless manner in order to foster interactions between the different specific objectives, avoid any duplication of effort and reinforce their combined impact.

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All three priorities shall include an international dimension. International scientific and technological cooperation is a critical issue for the Union and is in particular essential for frontier and basic research in order to capture the benefits from emerging science and technology opportunities. As a consequence, the share for the international cooperation activities described in Article 21(2) and (3) shall be at least maintained at the level of the previous Framework programme. In particular, Horizon 2020 will support three main dimensions of international cooperation:

-promoting scientific and technological (S&T) cooperation with the most advanced centres of knowledge in the world, in order to achieve and share the most advanced standards of excellence, and to pursue competition at the highest levels;

-promoting international S&T cooperation for capacity building, helping institutions in the Union, from the very start, to contribute to and to share the benefits of the fast expansion of R&D capabilities and human resources world-wide;

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-promoting S&T cooperation for peace and stability world-wide, recognising the fundamental role that human and societal values of science and research can bring to the consolidation of fragile societies and to the appeasement of international conflicts.

The Joint Research Centre shall The Joint Research Centre shall contribute to the general objective and contribute to the general objective and priorities of Horizon 2020 with the priorities of Horizon 2020 with the specific objective of providing specific objective of providing customer-driven scientific and customer-driven scientific and technical support to Union policies. technical support to Union policies.

The Union added value of the Joint Research Centre shall be assessed, inter alia, against the following indicators:

-number of occurrences of tangible specific impacts on Union policies resulting from technical and scientific policy support provided by the Joint Research Centre;

-number of peer reviewed publications.

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The European Institute of Innovation The European Institute of Innovation The European Institute of Innovation and Technology (EIT) shall contribute and Technology (EIT) shall contribute and Technology (EIT) shall contribute to the general objective and priorities to the general objective and priorities to the general objective and priorities of Horizon 2020 with the specific of Horizon 2020 with the specific of Horizon 2020 with the specific objective of integrating the knowledge objective of integrating the knowledge objective of integrating the knowledge triangle of research, innovation and triangle of research, innovation and triangle of research, innovation and education. The indicators for assessing higher education. The indicators for higher education. The indicators for the performance of the EIT are: assessing the performance of the EIT assessing the performance of the EIT

are: are:

  • organisations from universities, [no change] [no change] business and research integrated in the

Knowledge and Innovation

Communities;

  • collaboration inside the knowledge -collaboration inside the knowledge [no change] triangle leading to the development of triangle leading to the development of innovative products and processes. innovative products, services and

    processes.

This Annex sets out the broad lines of [no change] [no change] those specific objectives and activities referred to in Article 5(2), (3) and (4).

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In order to achieve appropriate balance between consensus-based and more disruptive R&D&I, the use of open calls following a bottom-up logic - with accelerated procedures shall be fostered to ensure fast realisation of innovative projects. Furthermore, the right balance shall be struck within the societal challenges and the enabling and industrial technologies between smaller and bigger projects, taking into account the specific sector structure, type of activity, technology and research landscape. In order to help close the research and innovation divide across areas, regions and Member States in Europe, complementarity and close synergies will be developed with the Structural Funds both upstream (capacity-building in the Member States to better prepare their participation in Horizon 2020) and downstream (exploit and diffuse research and innovation results stemming from Horizon 2020). Where possible, the interoperability between the two instruments will be promoted. Cumulative or combined funding will be encouraged. Synergies will in particular be sought in the activities set out in the "Widening excellence and widening participation" objective, the regional partner facilities of research infrastructure of European interest, and the activities performed via the EIT and its KICs.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

Cross-cutting issues and support measures in Horizon 2020

Cross-cutting issues, an indicative list of which is found in Article 13 of the Horizon 2020 Framework Regulation, will be promoted between specific objectives of the three priorities as necessary to develop new knowledge, key competences and major technological breakthroughs as well as translating knowledge into economic and societal value. Furthermore, in many cases, interdisciplinary solutions will have to be developed which cut across multiple specific objectives of Horizon 2020. Horizon 2020 will provide incentives for such crosscutting actions, including by an efficient bundling of budgets.

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Social sciences and humanities

Social sciences and humanities research will be fully integrated into each of the pillars of Horizon 2020 and each of the specific objectives. In relation to the societal challenges, social sciences and humanities are mainstreamed as an essential element of the activities needed to tackle each of the societal challenges to enhance their impact. The specific objective of the societal challenge 'Europe in a changing world: Inclusive, innovative and reflective societies' will support social sciences and humanities research by focusing on inclusive, innovative and reflective societies.

Science and society

The relationship between science and society as well as the promotion of Responsible Research and Innovation and science education and culture shall be deepened and public confidence in science reinforced by activities of Horizon 2020 favouring an informed engagement of citizens and civil society in research and innovation matters.

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Gender

Promoting gender equality in science and innovation is a commitment of the EU. In Horizon 2020, gender will be addressed as a cross-cutting issue in order to rectify imbalances between women and men, and to integrate a gender dimension in research and innovation programming and content.

Small and medium-sized enterprises (SMEs)

Horizon 2020 will encourage and support the participation of SMEs in an integrated way across all specific objectives. In accordance with Article 18 of Horizon 2020 Framework Regulation, measures as set out in the specific objective 'Innovation in SMEs' (dedicated SME instrument) shall be applied in the specific objective 'Leadership in enabling and industrial technologies' and Part III 'Societal challenges'.

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Widening the participation

The research and innovation potential of the Member States, despite some recent convergence, remain very different, with large gaps between “innovation leaders” and “modest innovators”. Activities shall help close the research and innovation divide in Europe and specific measures shall be taken to unlock excellence in low performing RDI regions, thereby widening participation in Horizon 2020 and contributing to the realisation of the European Research Area.

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International Cooperation

International cooperation with third countries and international, regional or global organisations is necessary to effectively address many specific objectives defined in Horizon 2020. International cooperation is essential for frontier and basic research in order to capture the benefits from emerging science and technology opportunities. Cooperation is necessary for addressing the societal challenges and enhancing the competitiveness of European industry. Promoting researchers and innovation staff mobility at an international level is also crucial to enhance this global cooperation. International cooperation in research and innovation is a key aspect of the Union's global commitments. International cooperation will, therefore, be promoted in each of the three priorities of Horizon 2020. In addition, dedicated horizontal activities will be supported in order to ensure the coherent and effective development of international cooperation across Horizon 2020.

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Sustainable development and climate change

Horizon 2020 will encourage and support activities towards exploiting Europe's leadership in the race to develop new processes and technologies promoting sustainable development, in a broad sense, and combating climate change. Such horizontal approach, fully integrated in all Horizon 2020 priorities, will help the EU to prosper in a lowcarbon, resource constrained world while building a resource efficient, sustainable and competitive economy.

Bridging from discovery to market application

Bridging actions throughout Horizon 2020 are aimed at bringing discovery to market application, leading to exploitation and commercialisation of ideas whenever appropriate. The actions should be based on a broad innovation concept and stimulate cross-sectoral innovation.

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Digital Agenda

Successful delivery of the Digital Agenda flagship initiative will spur innovation, economic growth and improvements in daily life for both citizens and business. Wider and more effective use of digital agenda technologies will thus enable Europe to address its key challenges.

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Cross-cutting support measures

The cross-cutting issues will be supported by a number of transversal support measures, including support to: enhancing the attractiveness of the research profession, including the general principles of the European Charter for researchers; strengthening the evidence base and the development of and support for ERA (including the five ERA initiatives) and the Innovation Union; improving framework conditions in support of the Innovation Union, including the principles of the Commission Recommendation on the management of intellectual

property 5 and exploring the

possibility of setting up an European Intellectual Property Rights valorisation instrument; administration and coordination of international networks for excellent researchers and innovators (such as COST). __________________

5 Commission Recommendation on

the management of intellectual property in knowledge transfer activities and Code of Practice for universities and other public research organisations (C(2008) 1329, of 10.4.2008).

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 114 Part I Part I Part I Priority 'Excellent science' Priority 'Excellent science' Priority 'Excellent science'

This Part aims to reinforce and extend This Part aims to reinforce and extend [no change]

the excellence of the Union’s science the excellence of the Union's science base and to consolidate the European base and to consolidate the European Research Area in order to make the Research Area in order to make the Union’s research and innovation Union's research and innovation system more competitive on a global system more competitive on a global scale. It consists of four specific scale. It consists of four five specific objectives: objectives:

(a) The European Research Council [no change] [no change]

(ERC) shall provide attractive and flexible funding to enable talented and creative individual researchers and their teams to pursue the most promising avenues at the frontier of science, on the basis of Union-wide competition.

(b) Future and emerging technologies (b) Future and emerging sciences and [no change]

shall support collaborative research in technologies shall support order to extend Europe’s capacity for collaborative research in order to advanced and paradigm-changing extend Europe's capacity for advanced innovation. It shall foster scientific and paradigm-changing innovation. It collaboration across disciplines on shall foster scientific collaboration radically new, high-risk ideas and across disciplines on radically new, accelerate development of the most high-risk ideas and accelerate promising emerging areas of science development of the most promising and technology as well as the Union emerging areas of science and wide structuring of the corresponding technology as well as the Union wide scientific communities. structuring of the corresponding

scientific communities.

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(c) Marie Curie actions shall provide (c) Marie Skłodowska-Curie actions (c) Marie Skłodowska-Curie actions excellent and innovative research shall provide excellent and innovative shall provide excellent and innovative training as well as attractive career and research training as well as attractive research training as well as attractive knowledge-exchange opportunities career and knowledge-exchange career and knowledge-exchange through cross-border and cross-sector opportunities through cross-border and opportunities through cross-border and mobility of researchers to best prepare cross-sector mobility of researchers cross-sector mobility of researchers to them to face current and future societal from universities, research best prepare them to face current and challenges. organisations and enterprises, future societal challenges.

including SMEs, to best prepare them to face current and future societal challenges.

(d) Research infrastructure shall (d) Research infrastructures shall [no change]

develop European research develop and support excellent existing infrastructure for 2020 and beyond, and new European research foster their innovation potential and infrastructures for 2020 and beyond, human capital, and complement this foster assist them to operate for the with the related Union policy and ERA by fostering their innovation international cooperation. potential and, attracting world level

researchers, training human capital, and complementing this with the related international cooperation Union policy and international cooperation. (da) Spreading excellence and widening participation shall unlock the potential of Europe's talent pool by giving support to policy learning, networking and training opportunities;

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Each of these has been proven to have Each of these has been proven to have [no change] high Union added value. Together, high Union added value. Together, they form a powerful and balanced set they form a powerful and balanced set of activities which, in concert with of activities which, in concert with activities at national and regional activities at national and, regional and levels, span the breadth of Europe’s local levels, span the breadth of needs regarding advanced science and Europe’s needs regarding advanced technology. Bringing them together in science and technology. Bringing them a single programme will enable them together in a single programme will to operate with greater coherence, in a enable them to operate with greater rationalised, simplified and more coherence, in a rationalised, simplified focused way, while maintaining the and more focused way, while continuity which is vital to sustain maintaining the continuity which is their effectiveness. vital to sustain their effectiveness.

The activities are inherently forward[no change] [no change]

looking, building skills in the long term, focusing on the next generation of science, technology, researchers and innovations and providing support for emerging talent from across the whole of the Union and associated countries, as well as worldwide. In view of their science-driven nature and largely

‘bottom-up’, investigator-driven funding arrangements, the European scientific community will play a strong role in determining the avenues of research followed under the programme.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 115 Part II Part II Part II Priority 'Industrial leadership' Priority 'Industrial leadership' Priority 'Industrial leadership' This Part aims to speed up This Part aims to speed up [no change] development of the technologies and development of the technologies and innovations that will underpin innovations that will underpin tomorrow’s businesses and help tomorrow's businesses and help innovative European SMEs to grow innovative European SMEs to grow into world-leading companies. It into world-leading companies as well consists of three specific objectives: as harvest the potential of establishing

fertile ground for novel SMEs. Special attention shall be paid to promoting "innovation consumption", that is knowledge and technology transfer from public research centres to companies as well as between companies. It This part consists of three specific objectives:

(a) Leadership in enabling and (a) Leadership in enabling and [no change] industrial technologies shall provide industrial technologies shall provide dedicated support for research, dedicated support for research, development and demonstration on standardisation, certification, ICT, nanotechnology, advanced development and demonstration on materials, biotechnology, advanced key-enabling technologies, such as manufacturing and processing and ICT, nanotechnology, advanced space. Emphasis will be placed on materials, biotechnology, advanced interactions and convergence across manufacturing and processing and, and between the different technologies space. Emphasis will be placed on

interactions and convergence across and between the different technologies and their relations to societal challenges. Proper consideration of user needs shall be taken into account in all these fields.

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(b) Access to risk finance shall aim to (b) Access to risk finance shall aim to [no change] overcome deficits in the availability of overcome deficits in the availability of debt and equity finance for R&D and debt and equity finance for R&D and innovation-driven companies and innovation-driven companies and projects at all stages of development. projects at all stages of development. Together with the equity instrument of Together with the equity instrument of the Programme for the the Programme for the

Competitiveness of Enterprises and Competitiveness of Enterprises and

SMEs, it shall support the development SMEs, it shall support the development of Union-level venture capital. of Union-level early stage funding

and venture capital. (c) Innovation in SMEs shall stimulate (c) "Innovation in SMEs" shall [no change] all forms of innovation in SMEs, stimulate provide SME-tailored targeting those with the potential to support to all forms of those with the grow and internationalise across the potential to grow and internationalise single market and beyond. across the single market and beyond.

innovation in SMEs, targeting through a toolbox of specialised and customised programmes and instruments including: access to seed funding, grants, access to equity and debt finance, mentoring and coaching services, access to R&D networks and clusters.

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The activities shall follow a business The activities shall follow a business[no change] driven agenda. The budgets for the driven agenda. The the specific specific objectives ‘Access to risk objectives implementation of the finance’ and ‘Innovation in SMEs’ will budgets for Access to risk finance follow a demand-driven, bottom-up and Innovation in SMEs will follow logic, without predetermined priorities. primarily a demand-driven, bottom-up These shall be complemented by the logic without predetermined priorities. use of financial instruments and a The SME instrument shall be dedicated SME instrument following a implemented within the thematic policy driven logic within the Part on priority areas established under the 'Societal challenges' and the specific "Societal challenges" and objective ‘Leadership in enabling and "Leadership in enabling and industrial technologies’. industrial technology". These shall be

complemented by the possible topdown use of financial instruments and a dedicated the SME instrument following a policy driven logic within the Part on 'Societal challenges' and the specific objective ‘Leadership in enabling and industrial technologies’ instrument as part of pre-commercial procurement or innovative procurement activities, where the pooling at Union level of public procurers needs in the Member States can be demonstrated.

Horizon 2020 will take an integrated Horizon 2020 will take an integrated Horizon 2020 will take an integrated approach to the participation of SMEs, approach to the participation of SMEs, approach to the participation of SMEs, which could lead to around 15 % of the which could taking into account their which could should lead to around 15 total combined budgets for all specific knowledge and technology transfer a minimum of 20% of the total objectives on societal challenges and needs. Support should lead to around combined budgets for all specific the specific objective 'Leadership in 15 over 20 % of the total combined objectives on societal challenges and enabling and industrial technologies' budgets for all specific objectives on the specific objective 'Leadership in being devoted to SMEs. societal challenges and the specific enabling and industrial technologies'

objective ‘Leadership in enabling and being devoted to SMEs. industrial technologies’ being devoted to SMEs.

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The specific objective ‘Leadership in [no change] [no change] enabling and industrial technologies’ shall follow a technology-driven approach to develop enabling technologies that can be used in multiple areas, industries and services.

Applications of these technologies to meet societal challenges shall be supported together with the Societal challenges.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 116 Part III Part III Part III Priority 'Societal challenges' Priority 'Societal challenges' Priority 'Societal challenges' This Part responds directly to the [no change] [no change] policy priorities and societal challenges identified in the Europe

2020 strategy and aiming to stimulate the critical mass of research and innovation efforts needed to achieve

Union's policy goals. Funding shall be focused on the following specific objectives:

(a) Health, demographic change [no change] [no change] and well-being;

(b) Food security, sustainable (b) Food quality, safety and security, (b) European Bioeconomy agriculture, marine and maritime sustainable agriculture and forestry, Challenges: Food security, sustainable research, and the bio-economy; marine and maritime research and the agriculture and forestry, marine and

bio-economy bio-based industries; maritime and inland water research,

and the bio-economy;

(c) Secure, clean and efficient energy; [no change] [no change]

(d) Smart, green and integrated (d) Smart, green and integrated [no change] transport; transport and mobility;

(e) Climate action, resource efficiency (e) Climate action, environment, [no change] and raw materials; resource efficiency and sustainable

use of raw materials;

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(f) Inclusive, innovative and secure (f) Understanding Europe in a (f) Europe in a changing world - societies. changing world - inclusive, innovative Inclusive, innovative and secure

and secure societies reflective society; reflective societies.;

(fa) Secure societies - Protecting (g) Secure societies - Protecting freedom and security of Europe and freedom and security of Europe and its citizens. its citizens.

Funding shall also be provided to a cross-cutting challenge: Science with and for society.

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All the activities shall take a challenge All the activities shall take a challenge All the activities shall take a challengebased approach, focusing on policy based approach, in which basic based approach, focusing on policy priorities without predetermining the science, applied research, knowledge priorities without predetermining the precise choice of technologies or transfer and innovation are equally precise choice of technologies or solutions that should be developed. important and interlinked solutions that should be developed. The emphasis shall be on bringing components, focusing on policy The emphasis shall be on bringing together a critical mass of resources priorities without predetermining the together a critical mass of resources and knowledge across different fields, precise choice of technologies or and knowledge across different fields, technologies and scientific disciplines solutions that should be developed. technologies and scientific disciplines in order to address the challenges. The on-technological, organisational, in order to address the challenges. The activities shall cover the full cycle systems innovation and public sector activities shall cover the full cycle from research to market, with a new innovation will be given attention in from research to market, with a new focus on innovation-related activities, addition to technology driven focus on innovation-related activities, such as piloting, demonstration, testsolutions. The emphasis shall be on such as piloting, demonstration beds, support for public procurement, bringing together a critical mass of activities, test-beds, support for public design, end-user driven innovation, resources and knowledge across procurement, design, end-user driven social innovation and market take-up different fields, technologies and innovation, social innovation and of innovations. scientific disciplines and research market take-up of innovations.

infrastructures in order to address the challenges. The activities shall cover the full cycle from fundamental research to market, with a new focus including innovation-related activities, such as piloting, demonstration, testbeds, support for public procurement, design, end-user driven innovation, social innovation and market take-up of knowledge transfer and innovations including standardisation at all stages. In order to achieve the objectives of Horizon 2020, it will be necessary to engage a wide variety of stakeholders in the collaborative projects, from research institutions and enterprises to users from public and private sectors.

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In order to take the challenge-based approach, a coordinated strategic planning of research and innovation activities is needed. Coordination can address fragmentation and improve the use of technological and infrastructural resources by the entire research community related to each challenge.

Strategic actions and scientific steering can ensure expert input on policy from the outset, advance innovation and competitiveness by understanding the complexity of the innovation cycle, and encourage participation from more researchers across borders.

Based on need and demand strategic research and innovation coordination on each challenge can be established through Strategic Scientific panels of independent high-level experts from academia, industry, end-users and civil society, selected through an open and transparent process, which will contribute to defining research and innovation programmes based on the best leadership and will provide the impetus and instruments needed to promote interaction and synergies on a larger scale. The role of these panels would be to provide on-going strategic advice on the actions being undertaken and planned in under Horizon 2020 and the related Union policy areas.

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Social sciences and humanities shall be Social sciences and humanities shall be Social sciences and humanities shall be an integral part of the activities to a horizontal dimension and an integral an integral part of the activities to address all the challenges. In addition, part of the activities to address all the address all the challenges. In addition, the underpinning development of these challenges. They are to be represented the underpinning development of these disciplines shall be supported under the in programme committees and disciplines shall be supported under the specific objective ‘Inclusive, experts' groups in charge of project specific objective ‘Inclusive, innovative and secure societies’. and programme evaluation in all innovative and secure societies’. Support will also focus on providing a topics and through development of Support will also focus on providing a strong evidence base for policy making social sciences oriented calls. In strong evidence base for policy making at international, Union, national and addition, the underpinning at international, Union, national and regional levels. Given the global nature development of these disciplines shall regional levels. Given the global nature of many of the challenges, strategic be supported under the specific of many of the challenges, strategic cooperation with third countries shall objective ‘Understanding Europe in a cooperation with third countries shall be an integral part of each challenge. changing world - inclusive, innovative be an integral part of each challenge. In addition, cross-cutting support for and secure societies reflective society’. In addition, cross-cutting support for international cooperation shall be Support will also focus on providing a international cooperation shall be provided under the specific objective strong evidence base for policy making provided under the specific objective ‘Inclusive, innovative and secure at international, Union, national, ‘Inclusive, innovative and secure societies’. regional and local levels. Given the societies’.

global nature of many of the challenges, strategic cooperation with third countries shall be an integral part of each challenge In addition, crosscutting support for international cooperation shall be provided under the specific objective ‘Inclusive, innovative and secure societies’ paying special attention to supporting global efforts that require a critical mass for Europe to participate and where Europe could take the lead.

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The specific objective ‘Inclusive, The specific objective ‘Inclusive, The specific objective ‘Inclusive, innovative and secure societies’ also innovative and secure societies’ also innovative and secure societies’ also includes an activity to close the includes an activity to close the includes an activity to close the research and innovation divide with research and innovation divide with research and innovation divide with specific measures to unlock excellence specific measures to unlock excellence specific measures to unlock excellence in less developed regions of the Union. in less developed regions of the Union. in less developed regions of the Union.

The Joint Research Centre’s activities [no change] [no change] shall be an integral part of Horizon

2020, in order to provide robust, evidence-based support for Union policies. This shall be driven by customer needs, complemented by forward-looking activities.

The EIT shall play a major role by The EIT shall play a major role by The EIT shall play a major role by bringing together excellent research, bringing together excellent research, bringing together excellent research, education and innovation thus education and innovation thus higher education and innovation thus integrating the knowledge triangle. The integrating the knowledge triangle. The integrating the knowledge triangle. The EIT shall do so primarily through the EIT shall do so primarily through the EIT shall do so primarily through the Knowledge and Innovation Knowledge and Innovation Knowledge and Innovation Communities (KICs). In addition it Communities (KICs). In addition it Communities (KICs). In addition it shall ensure that experiences are shared shall ensure that experiences are shared shall ensure that experiences are shared beyond the KICs through targeted between and beyond the KICs through beyond the KICs through targeted dissemination and knowledge sharing targeted dissemination and knowledge dissemination and knowledge sharing measures, thereby promoting a faster sharing measures, thereby promoting a measures, thereby promoting a faster uptake of innovation models across the faster uptake of innovation models uptake of innovation models across the Union. across the Union. Union.

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PART I: EXCELLENT SCIENCE

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 117 1. European Research Council 1. European Research Council 1. European Research Council

(ERC) (ERC) (ERC)

1.1 Specific objective 1.1 Specific objective 1.1 Specific objective The specific objective is to reinforce [no change] [no change] the excellence, dynamism and creativity of European research.

Europe has set out its ambition to Europe has set out its ambition to Europe has set out its ambition to move to a new economic model based move to a new economic model based move to a new economic model based on smart, sustainable and inclusive on smart, sustainable and inclusive on smart, sustainable and inclusive growth. This type of transformation growth. This type of transformation growth. This type of transformation will need more than incremental will need more than incremental will need more than incremental improvements to current technologies. improvements to current technologies improvements to current technologies It will require much higher capacity for and knowledge. It will require much and knowledge. It will require much science-based innovation fuelled by higher capacity for basic science and higher capacity for science-based radical new knowledge, allowing science-based innovation fuelled by innovation fuelled by radical new Europe to take a leading role in radical new knowledge, allowing knowledge, allowing Europe to take a creating the technological paradigm Europe to take a leading role in leading role in creating the scientific shifts which will be the key drivers of creating the scientific and and technological paradigm shifts productivity growth, competitiveness, technological paradigm shifts which which will be the key drivers of wealth and social progress in the will be the key drivers of productivity productivity growth, competitiveness, future. Such paradigm shifts have growth, competitiveness, wealth and wealth, sustainable development and historically tended to originate from social progress in the future. Such social progress in the future. Such the public-sector science base before paradigm shifts have historically paradigm shifts have historically going on to lay the foundations for tended to originate from the publictended to originate from the publicwhole new industries and sectors. sector science base before going on to sector science base curiosity-driven

lay the foundations for whol e new basic research before going on to lay industries and sectors. the foundations for whole new

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industries and sectors.

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World-leading innovation is closely [no change] [no change] associated with excellent science. Once the undisputed leader, Europe has fallen behind in the race to produce the very best cutting-edge science and has played a secondary role to the United

States of America in the major postwar technological advances. Although the Union remains the largest producer of scientific publications in the world, the United States of America produces twice as many of the most influential papers (the top 1 % by citation count).

Similarly, international university rankings show that US universities dominate the top places. And 70 % of the world’s Nobel Prize winners are based in the USA.

One part of the challenge is that, while [no change] [no change]

Europe and the United States of

America invest similar amounts in their public-sector science bases, the

Union has nearly three times as many public-sector researchers, resulting in significantly lower investment per researcher. Moreover, US funding is more selective about allocating resources to the leading researchers.

This helps to explain why the Union’s public-sector researchers are, on average, less productive and, altogether, make less combined scientific impact than their far less numerous US counterparts.

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Another major part of the challenge is Another major part of the challenge is Another major part of the challenge is that in many European countries the that in many European countries the that in many European countries the public sector still does not offer public and private sector still does not public sector still does not offer sufficiently attractive conditions for offer sufficiently attractive conditions sufficiently attractive conditions for the best researchers. It can take many for the best researchers. It can take the best researchers. It can take many years before talented young many years before talented young years before talented young researchers are able to become researchers are able to become researchers are able to become independent scientists in their own independent scientists in their own independent scientists in their own right. This leads to a dramatic waste of right. This leads to a dramatic waste of right. This leads to a dramatic waste of Europe’s research potential by Europe’s research potential by Europe’s research potential by delaying the emergence of the next delaying the emergence of the next delaying and in some cases even generation of researchers, who bring generation of researchers, who bring inhibiting the emergence of the next new ideas and energy, and by enticing new ideas and energy, and by enticing generation of researchers, who bring excellent researchers starting their excellent researchers starting their new ideas and energy, and by enticing career to seek advancement elsewhere. career to seek advancement elsewhere. excellent researchers starting their

Particular attention should be paid to career to seek advancement elsewhere. women scientists, who represent only 18% of grade A researchers, as compared to 27% in the USA, while 60% of European university graduates are women.

Furthermore, these factors compound Furthermore, these factors compound [no change]

Europe’s relative unattractiveness in Europe’s relative unattractiveness in the global competition for scientific the global competition for scientific talent. The ability of the US system to talent. The ability of the US system to offer more resources per researcher offer more resources per researcher, and better career prospects explains better cross-sectoral mobility and how it continues to attract the best connections with the private sector researchers from across the world, and better career prospects explains including tens of thousands from the how it continues to attract the best

Union. researchers from across the world, including tens of thousands from the Union.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

1.2 Rationale and Union added value 1.2 Rationale and Union added value 1.2 Rationale and Union added value The ERC was created to provide The ERC was created to provide [no change]

Europe’s best researchers, both women Europe’s best researchers, both women and men, with the resources they need and men, with the resources they need to allow them to compete better at to allow them to compete better at global level, by funding individual global level, by funding individual teams on the basis of pan-European teams on the basis of pan-European competition. It operates autonomously: competition. It operates autonomously: an independent Scientific Council an independent Scientific Council made up of scientists, engineers and made up of scientists, engineers and scholars of the highest repute and scholars of the highest repute and expertise establishes the overall expertise, of both women and men in scientific strategy and has full different age groups, establishes the authority over decisions on the type of overall scientific strategy and has full research to be funded. These are authority over decisions on the type of essential features of the ERC, research to be funded. These are guaranteeing the effectiveness of its essential features of the ERC, scientific programme, the quality of its guaranteeing the effectiveness of its operations and peer-review process scientific programme, the quality of its and its credibility in the scientific operations and peer-review process community. and its credibility in the scientific

community.

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Operating across Europe on a [no change] [no change] competitive basis, the ERC is able to draw on a wider pool of talents and ideas than would be possible for any national scheme. The best researchers and the best ideas compete against each other. Applicants know they have to perform at the highest level, the reward being flexible funding on a level playing field, irrespective of local bottlenecks or the availability of national funding.

Frontier research funded by the ERC is Frontier research funded by the ERC is [no change] thereby expected to have a substantial thereby expected to have a substantial direct impact in the form of advances direct impact in the form of advances at the frontiers of knowledge, opening at the frontiers of knowledge, opening the way to new and often unexpected the way to new and often unexpected scientific and technological results and scientific and technological results and new areas for research which, new areas for research which, ultimately, can generate the radically ultimately, can generate the radically new ideas which will drive innovation new ideas which will drive innovation and business inventiveness and tackle and business inventiveness and tackle societal challenges. This combination societal challenges. The main of excellent individual scientists with emphasis when awarding ERC grants innovative ideas underpins every stage is on breakthrough ideas. This of the innovation chain. combination of excellent individual

scientists with innovative ideas underpins every stage of the innovation chain.

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Beyond this, the ERC has a significant [no change] Beyond this, the ERC has a significant structural impact by generating a structural impact by generating a powerful stimulus for driving up the powerful stimulus for driving up the quality of the European research quality of the European research system as a whole, over and above the system as a whole, over and above the researchers and projects which the researchers and projects which the ERC funds directly. ERC-funded ERC funds directly. ERC-funded projects and researchers set a clear and projects and researchers set a clear and inspirational target for frontier research inspirational target for frontier research in Europe, raise its profile and make it in Europe, raise its profile and make it more attractive for the best researchers more attractive for the best researchers at global level. The prestige of hosting at global level. The prestige of hosting ERC grant-holders and the ERC grant-holders and the accompanying ‘stamp of excellence’ accompanying ‘stamp of excellence’ are intensifying competition between are intensifying competition between Europe’s universities and other Europe’s universities and other research organisations to offer the most research organisations to offer the most attractive conditions for top attractive conditions for top researchers. And the ability of national researchers. And the ability of national systems and individual research systems and individual research institutions to attract and host ERC institutions to attract and host ERC grant-winners sets a benchmark grant-winners sets a benchmark allowing them to assess their relative allowing them to assess their relative strengths and weaknesses and reform strengths and weaknesses and reform their policies and practices their policies and practices accordingly. ERC funding is therefore accordingly. ERC funding is therefore in addition to ongoing efforts at Union, in addition to ongoing efforts at Union, national and regional levels to reform, national and regional levels to reform, build capacity and unlock the full build capacity and unlock the full potential and attractiveness of the potential and attractiveness of the European research system. European research system.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

1.3 Broad lines of the activities 1.3 Broad lines of the activities 1.3 Broad lines of the activities The fundamental activity of the ERC [no change] [no change] shall be to provide attractive long-term funding to support excellent investigators and their research teams to pursue ground-breaking, highgain/high-risk research.

ERC funding shall be awarded in ERC funding shall be awarded in ERC funding shall be awarded in accordance with the following wellaccordance with the following wellaccordance with the following wellestablished principles. Scientific established principles. Scientific established principles. Scientific excellence shall be the sole criterion on excellence shall be the sole criterion on excellence shall be the sole criterion on which ERC grants are awarded. The which ERC grants are awarded. The which ERC grants are awarded. The ERC shall operate on a ‘bottom-up’ ERC shall operate on a ‘bottom-up’ ERC shall operate on a ‘bottom-up’ basis without predetermined priorities. basis without predetermined priorities. basis without predetermined priorities. The ERC grants shall be open to The ERC grants shall be open to The ERC grants shall be open to individual teams of researchers of any individual teams of researchers of any individual teams of researchers of any age and from any country in the world, age and from any country in the world, age, gender, and from any country in working in Europe. And the ERC shall working in Europe. And The ERC the world, working in Europe. And the aim to foster healthy competition shall aim to foster healthy competition ERC shall aim to foster healthy across Europe. across Europe and will seek to tackle competition across Europe.

unconscious gender bias properly in evaluation procedures.

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The ERC shall give particular priority The ERC shall give particular priority The ERC shall give particular priority to assisting excellent starting to assisting excellent starting to assisting excellent the best starting researchers to make the transition to researchers to make the transition to researchers with excellent ideas to independence by providing adequate independence by providing adequate make the transition to independence by support at the critical stage when they support at the critical stage when they providing adequate support at the are setting up or consolidating their are setting up or consolidating their critical stage when they are setting up own research team or programme. own research team or programme. or consolidating their own research

Return and reintegration of team or programme. The ERC will researchers after the end of an ERC also continue to provide appropriate funding period may also be supported, levels of support for established particularly in combination with the researchers. 'ERA chair' scheme.

The ERC shall also give support, as The ERC shall also give support, as [no change] necessary, to emerging new ways of necessary, to emerging new ways of working in the scientific world with working in the scientific world with the potential to create breakthrough the potential to create breakthrough results and facilitates exploration of the results and facilitates exploration of the commercial and social innovation commercial and social innovation potential of the research which it potential of the research which it funds. funds.

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By 2020, the ERC therefore shall aim By 2020, the ERC therefore shall aim By 2020, the ERC therefore shall aim to demonstrate: that the best to demonstrate: that the best to demonstrate: that the best researchers are participating in the researchers are participating in the researchers are participating in the

ERC’s competitions, that ERC funding ERC's competitions, that ERC funding ERC’s competitions, that ERC funding has led directly to scientific has led directly to scientific has led directly to scientific publications of the highest quality and publications of the highest quality and publications of the highest quality, and to the commercialisation and to research results with a high to the commercialisation research application of innovative technologies societal and economic impact, and to results with high societal and and ideas and that the ERC has the commercialisation and application application of innovative technologies contributed significantly to making of innovative technologies and ideas and ideas economic potential impact Europe a more attractive environment and that the ERC has contributed and that the ERC has contributed for the world’s best scientists. In significantly to making Europe a more significantly to making Europe a more particular, the ERC shall target a attractive environment for the world's attractive environment for the world’s measurable improvement in the best scientists. In particular, the ERC best scientists. In particular, the ERC Union’s share of the world’s top 1 % shall target a measurable improvement shall target a measurable improvement most highly cited publications. In in the Union's share of the world's top in the Union’s share of the world’s top addition it shall aim at a substantial 1 % most highly cited publications. In 1 % most highly cited publications. In increase in the number of excellent addition it shall aim at a substantial an addition it shall aim at a substantial researchers from outside Europe whom increase in the number of excellent increase in the number of excellent it funds and specific improvements in researchers from outside Europe whom researchers from outside Europe whom institutional practices and national it funds, including an increase of it funds. The ERC shall policies to support top researchers. excellent female researchers, and share experience and specific

specific improvements in institutional improvements in institutional and best practices and national policies to practices with regional and national support top researchers. The ERC policies research funding agencies in shall share experience and best order to promote the support topof practices with regional and national excellent researchers. In addition, the research funding agencies in order to ERC shall further raise the visibility promote the support of excellent of its programmes outside Europe. researchers. Moreover, the ERC shall further raise the visibility of its programmes in order to attract excellent researchers.

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The ERC’s Scientific Council shall The ERC's Scientific Council shall The ERC’s Scientific Council shall continuously monitor the ERC’s continuously monitor the ERC's continuously monitor the ERC’s operations and consider how best to operations and evaluation procedures operations and consider how best to achieve its objectives by means of and consider how best to achieve its achieve its objectives by means of grant schemes that emphasise clarity, objectives by means of grant schemes grant schemes that emphasise stability and simplicity, both for that emphasise effectiveness, clarity, effectiveness, clarity, stability and applicants and in their implementation stability and simplicity, both for simplicity, both for applicants and in and management, and, as necessary, to applicants and in their implementation their implementation and management, respond to emerging needs. It shall and management, and, as necessary, to and, as necessary, to respond to endeavour to sustain and further refine respond to emerging needs. It shall emerging needs. It shall endeavour to the ERC’s world-class peer-review endeavour to sustain and further refine sustain and further refine the ERC’s system which is based on transparent, the ERC's world-class peer-review world-class peer-review system which fair and impartial treatment of system which is based on ensuring is based on fully transparent, fair and proposals so that it can identify transparent, fair and impartial impartial treatment of proposals so that ground-breaking scientific excellence treatment of proposals so that it can it can identify ground-breaking and talent regardless of a researcher’s identify ground-breaking scientific scientific excellence and talent gender, nationality or age. Finally, the excellence, breakthrough ideas and regardless of a researcher’s gender, ERC shall continue conducting its own talent regardless of a researcher's nationality or age. Finally, the ERC strategic studies to prepare for and gender, nationality, origin institution shall continue conducting its own support its activities, maintain close or age. Finally, The ERC shall strategic studies to prepare for and contacts with the scientific community continue conducting its own strategic support its activities, maintain close and other stakeholders and look to studies to prepare for and support its contacts with the scientific community, make its activities complement activities, maintain close contacts with the regional and national funding research conducted at other levels. the scientific community and other agencies and other stakeholders and

stakeholders and look to make its look to make its activities complement activities complement research research conducted at other levels. conducted at other levels avoiding overlap with other research activities. The ERC will ensure transparency in communication about its activities and results to the scientific community and the general public and maintain updated data from funded projects.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 118 2. Future and Emerging 2. Future and Emerging Sciences 2. Future and Emerging

Technologies (FET) and Technologies (FET) (FEST) Technologies (FET) 2.1. Specific objective 2.1. Specific objective 2.1. Specific objective The specific objective is to foster The specific objective is to foster The specific objective is to foster radically new technologies by frontier research, including radically radically new technologies by exploring novel and high-risk ideas new technologies by exploring novel exploring novel and high-risk ideas building on scientific foundations. and high risk ideas building on building on scientific foundations By providing flexible support to scientific foundations with the and contribute to the European next goal-oriented and interdisciplinary potential to open new fields for generation industries. By providing collaborative research on various European science and technology. By flexible support to goal-oriented and scales and by adopting innovative providing flexible support to goalinterdisciplinary collaborative research practices, the aim is to oriented and interdisciplinary research on various scales and by identify and seize opportunities of collaborative research on various adopting innovative research long-term benefit for citizens, the scales and by adopting innovative practices, the aim is to identify and economy and society. research practices, the aim is to seize opportunities of long-term

identify and seize opportunities of benefit for citizens, the economy and long-term benefit for citizens, the society. economy and society. Smart specialisation platforms have a key role to play in this respect, particularly in terms of creation and networking, the exchange of information, twinning schemes and support for research and innovation policies.

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FEST will promote excellence through collaborative projects focused on frontier research in future and emerging science and technology opportunities. Spanning the full field of collaborative frontier research from basic frontier science to technological frontier developments, and fostering collaboration across borders from the very early stages of research and onwards, FEST will bring Union added value to the frontier of modern research and will help to build collaborative critical mass in excellent research across Europe.

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FET shall promote research beyond FET FEST shall promote research FET shall promote research and what is known, accepted or widely beyond what is known, accepted or technology beyond what is known, adopted and shall foster novel and widely adopted and shall foster novel accepted or widely adopted and shall visionary thinking to open promising and visionary thinking to open foster novel and visionary thinking to paths towards powerful new promising paths towards powerful new open promising paths towards technologies, some of which could technologies, some of which could powerful new technologies, some of develop into leading technological and develop into leading technological and which could develop into leading intellectual paradigms for the decades intellectual paradigms for the decades technological and intellectual ahead. FET shall foster efforts to ahead. FET FEST shall foster efforts paradigms for the decades ahead. FET pursue small-scale research to pursue small-scale research shall foster efforts to pursue smallopportunities across all areas, opportunities across all areas, scale research opportunities across all including emerging themes and grand including emerging themes and grand areas, including emerging themes and scientific and technological (S&T) scientific and technological (S&T) grand scientific and technological challenges that require federation and challenges that require federation and (S&T) challenges that require collaboration between programmes collaboration between programmes federation and close collaboration across Europe and beyond. This across Europe and beyond. This between programmes across Europe approach shall be driven by excellence approach shall be driven by excellence and beyond. This approach shall be and extends to exploring preand extends to exploring predriven by excellence and extends to competitive ideas for shaping the competitive ideas for shaping the exploring pre-competitive ideas for future of technology, enabling society future of technology, enabling society shaping the future of technology, to benefit from multi-disciplinary to benefit from multi-disciplinary enabling society and industry to research collaboration that needs to be research collaboration that needs to be benefit from multi-disciplinary engaged at European level by making engaged at European level by making research collaboration that needs to be the link between research driven by the link between research driven by engaged at European level by making science and research driven by societal science and research driven by societal the link between research driven by challenges or by industrial goals and challenges or by industrial science and research driven by societal competitiveness. competitiveness. challenges or by industrial

competitiveness.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

The activities within the FET programme should be complementary to the activities within the priorities of the other parts of Horizon 2020 and, where possible, synergies will be sought.

AMD 119 2.2. Rationale and Union Added 2.2. Rationale and Union Added 2.2. Rationale and Union Added

Value Value Value Radical breakthroughs with a Radical breakthroughs with a Radical breakthroughs with a transformative impact increasingly rely transformative impact increasingly rely transformative impact increasingly rely on intense collaboration across on intense collaboration across on intense collaboration across disciplines in science and technology disciplines in science and technology disciplines in science and technology (for instance, information and (for instance, information and (for instance, information and communication, biology, chemistry, communication, biology, communication, biology, chemistry, earth system sciences, material bioengineering and robotics, earth system sciences, material sciences, neuro- and cognitive chemistry, physics, mathematics, sciences, neuro- and cognitive sciences, social sciences or economics) medicine modelling, earth system sciences, social sciences or economics) and with the arts and humanities. This sciences, material sciences, neuro- and and with the arts, behavioral sciences requires not only excellence in science cognitive sciences, social sciences or and humanities. This requires may and technology but also new attitudes economics) and with the arts and require not only excellence in science and novel interactions between a broad humanities. This requires not only and technology but also new attitudes range of players in research. excellence in science and technology and novel interactions between a broad

but also new attitudes and novel range of players in research. interactions between a broad range of players in research.

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While some ideas can be developed on While some ideas can be developed on While some ideas can be developed on a small scale, others may be so a small scale, others may be so a small scale, others may be so challenging that they require a large challenging that they require a large challenging that they require a large federated effort over a substantial federated effort over a substantial federated collaborative effort over a period of time. Major economies period of time. Major economies substantial period of time. Major worldwide have recognised this, and worldwide have recognised this, and economies worldwide have recognised there is growing global competition to there is growing global competition to this, and there is growing global identify and pursue emerging identify and pursue emerging competition to identify and pursue technological opportunities at the technological opportunities at the emerging technological opportunities frontier of science which can generate frontier of science which can generate at the frontier of science which can a considerable impact on innovation a considerable impact on innovation generate a considerable impact on and benefits for society. To be and benefits for society. To be innovation and benefits for society. To effective, these types of activity need effective, these types of activity need be effective, these types of activity to be built up quickly to a large scale, to be managed expertly and built up activities may need to be built up by federating across programmes at quickly to a large scale, by federating quickly to a large scale, by federating European, national and regional levels across programmes at European, across programmes at a common around common goals to build critical national and regional levels around European, national and regional levels mass, foster synergies and obtain common goals to build critical mass, effort around common goals to build optimum leveraging effects. foster synergies and obtain optimum critical mass, foster synergies and

leveraging effects. obtain optimum leveraging effects.

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The FET programme shall address the The FET FEST programme shall The FET programme shall address the entire spectrum of science-driven address the entire spectrum of scienceentire spectrum of science-driven innovation: from bottom-up, smalldriven innovation: from bottom-up, innovation: from bottom-up, smallscale early explorations of embryonic small-scale early explorations of scale early explorations of embryonic and fragile ideas to building new embryonic and fragile ideas to building and fragile ideas to building new research and innovation communities new research and innovation research and innovation communities around transformative emerging communities around transformative around transformative emerging research areas and large and federated emerging research areas and large and research areas and large and federated research initiatives built around a federated research initiatives built collaborative research initiatives built research agenda aiming to achieve around a research agenda aiming to around a research agenda aiming to ambitious and visionary goals. These achieve ambitious and visionary goals. achieve ambitious and visionary goals. three levels of engagement each have These three levels of engagement each These three levels of engagement each their own specific value, while being have their own specific value, while have their own specific value, while complementary and synergistic. For being complementary and synergistic. being complementary and synergistic. example, small-scale explorations can For example, small-scale explorations For example, small-scale explorations reveal needs for developing new can reveal needs for developing new can reveal needs for developing new themes that can lead to large-scale themes that can lead to large-scale themes that can lead to large-scale action based on roadmaps. They action based on roadmaps. They action based on appropriate involve a wide range of research involve a wide range of research roadmaps. They may involve a wide players, including young researchers players, including young researchers range of research players, including and research-intensive SMEs, and and research-intensive SMEs, and young researchers and researchstakeholder communities (civil society, stakeholder communities (civil society, intensive SMEs, and stakeholder policymakers, industry and public policymakers, industry and public communities (civil society, researchers), clustered around research researchers), clustered around evolving policymakers, industry and public agendas as they take shape, mature and research agendas as they take shape, researchers), clustered around research

diversify. mature and diversify . agendas as they take shape, mature and

diversify.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 120 2.3. Broad lines of activities 2.3. Broad lines of activities 2.3. Broad lines of activities

While the FET programme aims to be While the FET FEST programme aims [no change] visionary, transformative and to be visionary, transformative and unconventional, its activities shall unconventional, its activities shall follow different logics, from follow different logics, from completely open to varying degrees of completely open to varying degrees of structuring of topics, communities and structuring of topics, communities and funding. funding.

The activities shall give firmer shape [no change] [no change] to different logics for action, on the appropriate scale, identifying and seizing opportunities of long-term benefit for citizens, the economy and society:

(a) By fostering novel ideas ('FET (a) By fostering novel ideas (' FET (a) By fostering novel ideas ('FET

Open'), FET shall support embryonic FEST Open'), FET shall support Open'), FET shall support embryonic science and technology research embryonic science and technology early stage science and technology exploring new foundations for research exploring new foundations for research exploring new foundations for radically new future technologies by radically new future technologies by radically new future technologies by challenging current paradigms and challenging current paradigms and challenging current paradigms and venturing into unknown areas. A venturing into unknown areas. A venturing into unknown areas. A bottom-up selection process widely bottom-up selection process widely bottom-up selection process widely open to any research ideas shall build open to any research ideas shall build open to any research ideas shall build up a diverse portfolio of targeted up a diverse portfolio of targeted up a diverse portfolio of targeted projects. Early detection of promising projects. Early detection of promising projects. Early detection of promising new areas, developments and trends, new areas, developments and trends, new areas, developments and trends, along with attracting new and highalong with attracting new and highalong with attracting new and highpotential research and innovation potential research and innovation potential research and innovation players, will be key. players, will be key. players, will be key.

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(b) By nurturing emerging themes and b) By nurturing emerging themes and (b) By nurturing emerging themes and communities ('FET Proactive'), FET communities (' FET FEST Proactive') communities ('FET Proactive'), FET shall address a number of promising in close association with societal shall, in close association with the exploratory research themes with the challenges and industrial societal challenges and industrial potential to generate a critical mass of technological themes, FET FEST leadership themes, address a number inter-related projects that, together, shall address a number of promising of promising exploratory research make up a broad and multi-faceted exploratory research themes with the themes with the potential to generate a exploration of the themes and build a potential to generate a critical mass of critical mass of inter-related projects European pool of knowledge. inter-related projects that, together, that, together, make up a broad and

make up a broad and multi-faceted multi-faceted exploration of the themes exploration of the themes and build a and build a European pool of European pool of knowledge. knowledge.

(c) By pursuing grand interdisciplinary ( c) By pursuing grand interdisciplinary (c) By pursuing grand interdisciplinary

S&T challenges ('FET Flagships'), S&T challenges (' FET FEST S&T challenges ('FET Flagships'),

FET shall support ambitious large Flagships'), FET shall support FET shall, taking into full account scale, science-driven research aiming ambitious large-scale, science-driven the outcome of FET preparatory to achieve a scientific breakthrough. research aiming to achieve a scientific projects, support ambitious large Such activities will benefit from the and technological breakthrough. Such scale, science and technology driven alignment of European and national activities will benefit from the research aiming to achieve a scientific agendas. The scientific advance should alignment of European and national and technological breakthrough. in provide a strong and broad basis for and regional agendas. The scientific areas identified as relevant in an future technological innovation and advance should provide a strong and open and transparent manner economic application in a variety of broad basis for future technological involving the Member States and areas, plus novel benefits for society. innovation and economic application relevant stakeholders. Such activities

in a variety of areas, plus novel will could benefit from the alignment benefits for society. of coordination between European

and national agendas. The scientific advance should provide a strong and broad basis for future technological innovation and economic application in a variety of areas, plus novel benefits for society. These activities shall be realised using the existing funding instruments.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

The right mix of openness and varying The right mix of openness and varying The right mix of openness and varying degrees of structuring of topics, degrees of structuring of topics, degrees of structuring of topics, communities and funding shall be communities and funding shall be communities and funding shall be defined for each activity in order to defined for each activity in order to defined for each activity in order to address optimally the objectives address optimally the objectives address optimally the objectives pursued. pursued. pursued.

More than half of FEST resources will be devoted to bottom-up collaborative frontier research in all fields.

Evaluation of all FEST projects will follow exclusively strict criteria of scientific and technological excellence.

AMD 121 3. Marie Curie Actions 3. Marie Skłodowska-Curie Actions 3. Marie Skłodowska-Curie Actions 3.1. Specific objective 3.1. Specific objective 3.1. Specific objective The specific objective is to ensure The specific objective is to ensure The specific objective is to ensure optimum development and dynamic optimum development and dynamic optimum development and dynamic use of Europe’s intellectual capital in use of Europe’s intellectual capital use of Europe’s intellectual capital in order to generate new skills and human resources in research and order to generate and transfer new innovation and, thus, to realise its innovation in order to generate skills and innovation and, thus, to full potential across all sectors and develop and transfer new skills and realise its full potential across all regions. generate new knowledge and sectors and regions.

innovation and, thus, to realise its full potential across all sectors and regions.

Well-trained, dynamic and creative [no change] Well-trained, motivated, dynamic and researchers are the vital raw material creative researchers are the vital raw for the best science and the most material essential element for the best productive research-based innovation. science and the most productive

research-based innovation.

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Although Europe hosts a large and [no change] [no change] diversified pool of skilled human resources for research and innovation, this needs to be constantly replenished, improved and adapted to the rapidly evolving needs of the labour market.

Today only 46 % of this pool works in the business sector, which is much lower than in Europe’s main economic competitors, e.g. 69 % in China, 73 % in Japan and 80 % in the United States.

In addition, demographic factors mean that a disproportionate number of researchers will reach retirement age in the next few years. This, combined with the need for many more highquality research jobs as the research intensity of the European economy increases, will be one of the main challenges facing European education, research and innovation systems in the years ahead

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The necessary reform must start at the The necessary reform must start at the The necessary reform must start at the first stages of the researchers’ careers, first stages of the researchers’ careers, first stages of the researchers’ careers, during their doctoral studies or during their doctoral studies or during their doctoral studies or comparable post-graduate training. comparable post-graduate training. comparable post-graduate training. Europe must develop state-of-the-art, Special attention has to be paid to Europe must develop state-of-the-art, innovative training schemes, consistent mentoring schemes which stimulate innovative training schemes, consistent with the highly competitive and transfer of knowledge, experience and with the highly competitive and increasingly inter-disciplinary networks. Europe must develop stateincreasingly inter-disciplinary requirements of research and of-the-art, innovative training schemes, requirements of research and innovation. Strong involvement of consistent with the highly competitive innovation. Strong Significant businesses, including SMEs and other and increasingly inter-disciplinary involvement of businesses, including socio-economic actors, will be needed requirements of research and SMEs and other socio-economic to equip researchers with the innovation. Strong involvement of actors, will be needed to equip innovation skills demanded by the jobs businesses, including SMEs and other researchers with the innovation skills of tomorrow. It will also be important socio-economic actors, will be needed demanded by the jobs of tomorrow. It to enhance the mobility of these to equip researchers with the crosswill also be important to enhance the researchers, as it currently remains at cutting innovation and mobility of these researchers, as it too modest a level: in 2008, only 7 % entrepreneurial skills demanded by currently remains at too modest a of European doctoral candidates were the jobs of tomorrow and encourage level: in 2008, only 7 % of European trained in another Member State, them to consider their careers in doctoral candidates were trained in whereas the target is 20 % by 2030. industry or in the most innovative another Member State, whereas the

companies. It will also be important to target is 20 % by 2030. enhance the mobility of these researchers, as it currently remains at too modest a level: in 2008, only 7% of European doctoral candidates were trained in another Member State, whereas the target is 20% by 2030.

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Increasing mobility of researchers and strengthening the resources of those institutions which attract researchers from other Member States will encourage centres of excellence across the Union.

This reform must continue through This reform must continue through [no change] every stage of researchers’ careers. It is every stage of researchers’ careers. It is vital to increase the mobility of vital to increase the mobility of researchers at all levels, including midresearchers at all levels, including midcareer mobility, not only between career mobility, not only between countries but also between the public countries but also between the public and private sectors. This creates a and private sectors. This creates a strong stimulus for learning and strong stimulus for learning and developing new skills. It is also a key developing new skills. It is also a key factor in cooperation between factor in cooperation between academics, research centres and academics, research centres and industry across countries. The human industry across countries. The human factor is the backbone of sustainable factor is the backbone of sustainable cooperation which is the key driver for cooperation which is the key driver for an innovative and creative Europe able an innovative and creative Europe able to face challenges to society, and key to face challenges to society, and key to overcoming fragmentation of to overcoming fragmentation of national policies. Collaborating and national policies. Access to research sharing knowledge, via individual results and collaborating and sharing mobility at all stages of a career and knowledge, via individual mobility at via exchanges of highly skilled all stages of a career and via exchanges research and innovation staff, are of highly skilled research and essential for Europe to re-take the path innovation staff, are essential for to sustainable growth and to tackle Europe to smooth out internal societal challenges. differences in research and

innovation capacities, to re-take the path to sustainable growth and to tackle societal challenges.

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In this context Horizon 2020 should also encourage collaboration between European researchers by introducing a research voucher scheme with money for research following researchers that move to universities in all Member States, contributing to centres of excellence, independent universities and increased mobility among researchers.

Mobility programmes will ensure effective equal opportunities between men and women and include specific measures to remove obstacles to the mobility of female researchers.

If Europe is to match its competitors in [no change] [no change] research and innovation, it must entice more young women and men to embark on research careers and provide highly attractive opportunities and environments for research and innovation. The most talented individuals, from Europe and elsewhere, should see Europe as a preeminent place to work. Gender equality, high-quality and reliable employment and working conditions plus recognition are crucial aspects that must be secured in a consistent way across the whole of Europe

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 122 3.2. Rationale and Union added 3.2. Rationale and Union added 3.2. Rationale and Union added

value value value Neither Union funding alone nor [no change] [no change]

Member States individually will be able to address this challenge.

Although Member States have introduced reforms to improve their tertiary education institutions and modernise their training systems, progress is still uneven across Europe, with big differences between countries.

Overall, scientific and technological cooperation between the public and private sectors generally remains weak in Europe. The same applies to gender equality and to the efforts to attract students and researchers from outside the ERA. Currently around 20 % of the doctoral candidates in the Union are citizens of third countries, whereas about 35 % in the United States of

America come from abroad. To speed up this change, a strategic approach that goes beyond national borders is required at Union level. Union funding is crucial to create incentives for and encourage the indispensable structural reforms.

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The European Marie Curie actions The European Marie Skłodowska The European Marie Skłodowska- have made remarkable progress to Curie actions have made remarkable Curie actions have made remarkable promote mobility, both transnational progress to promote mobility, both progress to promote mobility, both and intersectoral, and to open research transnational and intersectoral, and to transnational and intersectoral, and to careers at European and international open research careers at European and open research careers at European and levels, with excellent employment and international levels, with excellent international levels, with excellent working conditions following the employment and working conditions employment and working conditions European Researchers Charter and following the European Researchers following the principles of the Code. There is no equivalent in Charter and Code. There is no European Researchers Charter and Member States as far as their scale and equivalent in Member States as far as Code. There is no equivalent in scope, funding, international character, their scale and scope, funding, Member States as far as their scale and generation and transfer of knowledge international character, generation and scope, funding, international character, are concerned. They have strengthened transfer of knowledge are concerned. generation and transfer of knowledge the resources of those institutions able They have strengthened the resources are concerned. They have strengthened to attract researchers internationally of those institutions able to attract the resources of those institutions able and thereby encouraged the spread of researchers internationally and thereby to attract researchers internationally centres of excellence around the encouraged the spread of centres of and thereby encouraged the spread of Union. They have served as a role excellence around the Union. They centres of excellence around the model with a pronounced structuring have served as a role model with a Union. They have served as a role effect by spreading their best practices pronounced structuring effect by model with a pronounced structuring at national level. The bottom-up spreading their best practices at effect by spreading their best practices approach taken by Marie Curie actions national level. The bottom-up approach at national level. The bottom-up has also allowed a large majority of taken by Marie Skłodowska-Curie approach taken by Marie Skłodowska- those institutions to train and upgrade actions has also allowed a large Curie actions has also allowed a large the skills of a new generation of majority of those institutions to train majority of those institutions to train researchers able to tackle societal and upgrade the skills of a new and upgrade the skills of a new challenges. generation of researchers able to tackle generation of researchers able to tackle

societal challenges. societal challenges.

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Further development of the Marie Further development of the Marie Further development of the Marie

Curie actions will make a significant Skłodowska-Curie actions will make a Skłodowska-Curie actions will make a contribution to development of the significant contribution to development significant contribution to development European Research Area. With their of the European Research Area. With of the European Research Area. With Europe-wide competitive funding their Europe-wide competitive funding their Europe-wide competitive funding structure, Marie Curie actions will structure, Marie Skłodowska-Curie structure, Marie Skłodowska-Curie encourage new, creative and actions will encourage new, creative actions will encourage new, creative innovative types of training such as and innovative types of training such and innovative types of training such industrial doctorates, involving as joint or multiple doctoral degrees, as industrial doctorates, involving education, research and innovation industrial doctorates doctoral degrees, education, research and innovation players who will have to compete involving education, research and players who will have to compete globally for a reputation of excellence. innovation players who will have to globally for a reputation of excellence. By providing Union funding for the compete globally for a reputation of By providing Union funding for the best research and training programmes excellence. By providing Union best research and training programmes following the Principles for Innovative funding for the best research and following the Principles for Innovative Doctoral Training in Europe, they will training programmes following the Doctoral Training in Europe, they will also promote wider dissemination and Principles for Innovative Doctoral also promote wider dissemination and take-up, moving towards more Training in Europe, they will also take-up, moving towards more structured doctoral training. promote wider dissemination and takestructured doctoral training.

up, moving towards more structured doctoral training.

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Marie Curie grants will also be Marie Skłodowska-Curie grants will Marie Skłodowska-Curie grants will extended to the temporary mobility of also be extended to the temporary also be extended to the temporary experienced researchers and engineers mobility of early stage and mobility of experienced researchers from public institutions to the private experienced researchers and, as well as and, engineers from public institutions sector or vice versa, thereby engineers from public institutions to to the private sector or vice versa, encouraging and supporting the private sector or vice versa, thereby thereby encouraging and supporting universities, research centres and encouraging and supporting universities, research centres and businesses to cooperate with one universities, research centres and businesses, other socio-economic another on a European and businesses to cooperate with one actors to cooperate with one another international scale. With the aid of another on a European and on a European and international scale. their well-established, transparent and international scale. With the aid of With the aid of their well-established, fair evaluation system, Marie Curie their well-established, transparent and transparent and fair evaluation system, actions will identify excellent talents in fair evaluation system, Marie Marie Skłodowska-Curie actions will research and innovation in an Skłodowska-Curie actions will identify identify excellent talents in research international competition which gives excellent talents in research and and innovation in an international prestige and therefore motivation for innovation in an international competition which gives prestige and researchers to advance their career in competition which gives prestige and therefore motivation for researchers to

Europe . therefore motivation for researchers to advance their career in Europe.

advance their career in Europe.

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The societal challenges to be addressed The societal challenges to be addressed The societal challenges to be addressed by highly skilled researchers and by highly skilled researchers and by highly skilled researchers and innovation staff are not just Europe’s innovation staff are not just Europe’s innovation staff are not just Europe’s problem. These are international problem. These are international problem. These are international challenges of colossal complexity and challenges of colossal complexity and challenges of colossal complexity and magnitude. The best researchers in magnitude. The best researchers in magnitude. The best researchers in Europe and the world need to work Europe and the world need to work Europe and the world need to work together across countries, sectors and together across countries, sectors and together across countries, sectors and disciplines. Marie Curie actions will disciplines. Marie Skłodowska-Curie disciplines. Marie Skłodowska-Curie play a key role in this respect by actions will play a key role in this actions will play a key role in this supporting staff exchanges that will respect by supporting staff exchanges respect by supporting staff exchanges foster collaborative thinking via the that will foster collaborative thinking that will foster collaborative thinking international and intersectoral via the international and intersectoral via the international and intersectoral knowledge-sharing that is so crucial knowledge-sharing that is so crucial knowledge-sharing that is so crucial for open innovation. for open innovation. for open innovation.

Extension of the co-funding Extension of the co-funding Extension of the The co-funding mechanism of the Marie Curie actions mechanism of the Marie Skłodowskamechanism of the Marie Skłodowska- will be crucial to expand Europe’s pool Curie actions will be crucial to expand Curie actions will be crucial to expand of talents. The numerical and structural Europe’s pool of talents. The Europe’s pool of talents. The impact of Union action will be numerical and structural impact of numerical and structural impact of increased by leveraging regional, Union action will be increased by Union action will be increased by national, international and private leveraging regional, national, leveraging regional, national, and funding to create new programmes and international and public and private international and private funding, both to open existing ones to international funding to create new programmes public and private, to create new and intersectoral training, mobility and with similar and complementary programmes and to open adapt career development. Such a goals, and to open existing ones to existing ones to international and mechanism will forge stronger links international and intersectoral training, intersectoral training, mobility and between research and education efforts mobility and career development. Such career development. Such a at national and Union levels. a mechanism will forge stronger links mechanism will forge stronger links

between research and education efforts between research and education efforts

at national and Union levels . at national and Union levels.

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All the activities under this challenge All the activities under this challenge All the activities under this challenge will contribute to creating a whole new will contribute to creating a whole new will contribute to creating a whole new mindset in Europe that is crucial for mindset in Europe that is crucial for mindset in Europe that is crucial for creativity and innovation. Marie Curie creativity and innovation. Marie creativity and innovation. Marie funding measures will strengthen Skłodowska-Curie funding measures Skłodowska-Curie funding measures pooling of resources in Europe and will strengthen pooling of resources in will strengthen pooling of resources in thereby lead to improvements in Europe and thereby lead to Europe and thereby lead to coordination and governance of improvements in coordination and improvements in coordination and researchers’ training, mobility and governance of researchers’ training, governance of researchers’ training, career development. They will mobility and career development. They mobility and career development. They contribute to the policy goals outlined will contribute to the policy goals will contribute to the policy goals in the Innovation Union, Youth on the outlined in the Innovation Union, outlined in the Innovation Union, Move and the Agenda for New Skills Youth on the Move and the Agenda for Youth on the Move and the Agenda for and Jobs and will be vital to turn the New Skills and Jobs and will be vital New Skills and Jobs and will be vital European Research Area into reality. to turn the European Research Area to turn the European Research Area

into reality into reality. The Marie Skłodowska

Curie actions will therefore be

developed in close synergy with

other programmes supporting these

policy objectives, including the

Erasmus for All programme and the

Knowledge and Innovation

Communities of the EIT.

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AMD 123 3.3. Broad lines of the activities 3.3. Broad lines of the activities 3.3. Broad lines of the activities

(a) Fostering new skills by means of [no change] [no change]

excellent initial training of researchers

The goal is to train a new generation of [no change] [no change] creative and innovative researchers, able to convert knowledge and ideas into products and services for economic and social benefit in the

Union.

Key activities shall be to provide Key activities shall be to provide Key activities shall be to provide excellent and innovative training to excellent and innovative training to excellent and innovative training to early-stage researchers at post-graduate early-stage researchers at post-graduate early-stage researchers at post-graduate level via interdisciplinary projects or level via interdisciplinary projects, level via interdisciplinary projects or doctoral programmes involving mentoring schemes to transfer doctoral programmes involving universities, research institutions, knowledge and experience between universities, research institutions, businesses, SMEs and other socioresearchers or doctoral programmes research infrastructures, businesses, economic groups from different allowing researchers to develop their SMEs and, other socio-economic countries. This will improve career research curriculum and involving groups from different countries, prospects for young post-graduate universities, research institutions, Member States, associated countries researchers in both the public and businesses, SMEs and other socioand/or third countries. This will private sectors. economic groups from different improve career prospects for young

countries. This will develop and post-graduate researchers in both the improve career prospects for young public and private sectors. post-graduate researchers in both the public and private sectors.

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(b) Nurturing excellence by means of [no change] [no change] cross-border and cross-sector mobility

The goal is to enhance the creative and [no change] [no change] innovative potential of experienced researchers at all career levels by creating opportunities for cross-border and cross-sector mobility.

Key activities shall be to encourage Key activities shall be to encourage Key activities shall be to encourage experienced researchers to broaden or experienced researchers to broaden or experienced researchers to broaden or deepen their skills by means of deepen their skills by means of deepen their skills by means of mobility by opening attractive career mobility by opening attractive career mobility by opening attractive career opportunities in universities, research opportunities in universities, research opportunities in universities, research institutions, businesses, SMEs and institutions, businesses, SMEs and institutions, research infrastructures, other socio-economic groups all over other socio-economic groups all over businesses, SMEs and other socio Europe and beyond. Opportunities to Europe and beyond, offering economic groups all over Europe and restart a research career after a break researchers the opportunity to be beyond. This should enhance the shall also be supported. trained and to acquire new knowledge innovativeness of the private sector

in a third-country high-level research and promote cross-sector mobility. institution, and welcome them back to Opportunities to restart a research Europe should they choose to return. career after a break and to Opportunities to restart a research (re-)integrate researchers into a career after a break shall also be longer term research position in supported. In order to enhance the Europe, including in their country of innovativeness in private sector, origin, after a transattention shall also be given to crossnational/international mobility sector mobility experience, shall also be supported.

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(c) Stimulating innovation by means of [no change] [no change] cross-fertilisation of knowledge

The goal is to reinforce international [no change] [no change] cross-border and cross-sector collaboration in research and innovation by means of exchanges of research and innovation personnel in order to be able to face global challenges better.

Key activities shall be to support short Key activities shall be to support short Key activities shall be to support shortterm exchanges of research and term exchanges of research and term exchanges of research and innovation staff among a partnership of innovation staff among a partnership of innovation staff among a partnership of universities, research institutions, universities, research institutions, universities, research institutions, businesses, SMEs and other sociobusinesses, SMEs and other socioresearch infrastructures, businesses, economic groups, both within Europe economic groups, both within Europe SMEs and other socio-economic and worldwide. This will include and worldwide. This will include groups, both within Europe and fostering cooperation with third fostering cooperation with third worldwide. This will include fostering countries. countries. cooperation with third countries.

(d) Increasing the structural impact by [no change] [no change] co-funding the activities

The goal is, by leveraging additional The goal is, by leveraging additional The goal is, by leveraging additional funds, to increase the numerical and funds, to increase the numerical and funds, to increase the numerical and structural impact of Marie Curie structural impact of Marie structural impact of Marie actions and to foster excellence at Skłodowska-Curie actions and to foster Skłodowska-Curie actions and to national level in researchers’ training, excellence at national level in foster excellence at national level in mobility and career development. researchers’ training, mobility and researchers’ training, mobility and

career development. career development.

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Key activities shall be, with the aid of Key activities shall be, with the aid of Key activities shall be, with the aid of a co-funding mechanism, to encourage a co-funding mechanism, to encourage a co-funding mechanism, to encourage regional, national and international regional, national and international regional, national and international organisations to create new organisations to create new organisations, both public and programmes and to open existing ones programmes and to open adapt private, to create new programmes to international and intersectoral existing ones to international and and to open adapt existing ones to training, mobility and career intersectoral training, mobility and international and intersectoral training, development. This will increase the career development. This will increase mobility and career development. This quality of research training in Europe the quality of research training in will increase the quality of research at all career stages, including at Europe at all career stages, including at training in Europe at all career stages, doctoral level, will foster free doctoral level, will foster free including at doctoral level, will foster circulation of researchers and scientific circulation of researchers and scientific free circulation of researchers and knowledge in Europe, will promote knowledge in Europe, will promote scientific knowledge in Europe, will attractive research careers by offering attractive research careers by offering promote attractive research careers by open recruitment and attractive open recruitment and attractive offering open recruitment and working conditions and will support working conditions and will support attractive working conditions and will research and innovation cooperation research and innovation cooperation support research and innovation between universities, research between universities, research cooperation between universities, institutions and enterprises and institutions and enterprises and research institutions and enterprises cooperation with third countries and cooperation with third countries and and cooperation with third countries international organisations. international organisations. Attention and international organisations.

should be given to excellence and equality.

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(e) Specific support and policy action [no change] [no change]

The goals are to monitor progress, The goals are to monitor progress, The goals are to monitor progress, identify gaps in the Marie Curie identifying gaps and barriers in the identify gaps in the Marie Actions and to increase their impact. In Marie Skłodowska-Curie actions and Skłodowska-Curie Actions and to this context, indicators shall be to increase their impact. In this increase their impact. In this context, developed and data related to context, indicators shall be developed indicators shall be developed and data researchers’ mobility, skills and and data related to researchers’ related to researchers’ mobility, skills careers analysed, seeking synergies mobility, skills and, careers and and careers analysed, seeking and close coordination with the policy gender equality analysed, seeking synergies and close coordination with support actions on researchers, their synergies and close coordination with the policy support actions on employers and funders carried out the policy support actions on researchers, their employers and under the specific objective ' Inclusive, researchers, their employers and funders carried out under the specific innovative and secure societies'. The funders carried out under the specific objective 'Europe in a changing activity shall further aim at raising objective 'Inclusive, innovative and world - Inclusive, innovative and awareness of the importance and secure societies' cross cutting secure reflective societies'. The attractiveness of a research career and challenge 'Science with and for activity shall further aim at raising at disseminating research and society. The activity shall further aim awareness of the importance and innovation results emanating from at raising awareness of the importance attractiveness of a research career and work supported by Marie Curie and attractiveness of a research career at disseminating research and actions. and at disseminating research and innovation results emanating from

innovation results emanating from work supported by Marie work supported by Marie Skłodowska Skłodowska-Curie actions. Curie actions. It shall also include specific measures targeted to remove barriers to career development, including for those who have taken a career break.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 124 4. Research Infrastructures 4. Research Infrastructures 4. Research Infrastructures

4.1 Specific objective 4.1 Specific objective 4.1 Specific objective

The specific objective is to endow [no change] [no change]

Europe with world-class research infrastructures which are accessible to all researchers in Europe and beyond and fully exploit their potential for scientific advance and innovation.

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Research infrastructures are key Research infrastructures are key Research infrastructures are key determinants of Europe’s determinants of Europe’s determinants of Europe’s competitiveness across the full breadth competitiveness across the full breadth competitiveness across the full breadth of scientific domains and essential to of scientific domains and essential to of scientific domains and essential to science-based innovation. In many science-based innovation. In many science-based innovation. In many fields research is impossible without fields research is impossible without fields research is impossible without access to supercomputers, radiation access to supercomputers, analytical access to supercomputers, radiation sources for new materials, clean rooms facilities, radiation sources for new sources for new materials, clean rooms for nanotechnologies, databases for materials, clean rooms and advanced for nanotechnologies, databases for genomics and social sciences, metrology for nanotechnologies, genomics and social sciences, observatories for Earth sciences, specially equipped labs for biological observatories for Earth sciences, broadband networks for transferring and medical research, databases for broadband networks for transferring data, etc. Research infrastructures are genomics and social sciences, data, etc. Research infrastructures are necessary to carry out the research observatories and sensors for the Earth necessary to carry out the research needed to address grand societal sciences and the environment, highneeded to address grand societal challenges — energy, climate change, speed broadband networks for challenges— energy, climate change, bio-economy and lifelong health and transferring data, etc. Research bio-economy and lifelong health and wellbeing for all. They propel infrastructures are necessary to carry wellbeing for all. They propel collaboration across borders and out the research needed to address collaboration across borders and disciplines and create a seamless and grand societal challenges — energy, disciplines and create a seamless and open European space for online climate change, bio-economy and open European space for online research. They promote mobility of lifelong health and wellbeing for all, research. They promote mobility of people and ideas, bring together the among others. They propel people and ideas, bring together the best scientists from across Europe and collaboration across borders and best scientists from across Europe and the world and enhance scientific disciplines and create a seamless and the world and enhance scientific education. They drive excellence open European space for online education. Their construction and within the European research and research. They promote mobility of continued operation challenges innovation communities and can be people and ideas, bring together the researchers and innovative outstanding showcases of science for best scientists from across Europe and companies to develop state of the art society at large. the world and enhance scientific technology. In this way, they

education. Their construction strengthen Europe’s high tech challenges researchers and innovative innovative industry. They drive companies to develop state of the art excellence within the European technology. By this way, they research and innovation communities strengthen Europe's high tech and can be outstanding showcases of innovative industry. They drive science for society at large. excellence within the European research and innovation communities

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and can be outstanding showcases of science for society at large.

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Europe must establish an adequate, Europe must establish an adequate, [no change] stable base for building, maintaining stable base for building, maintaining and operating research infrastructures and operating research infrastructures, if its research is to remain world-class. and select and prioritize them on the This requires substantial and effective basis of EU added value, quality and cooperation between Union, national relevance criteria if its research is to and regional funders for which strong remain world-class. This requires links with the cohesion policy will be substantial and effective cooperation pursued to ensure synergies and a between Union, national and regional coherent approach. funders for which strong links with the

cohesion policy will be pursued to ensure synergies and a coherent approach.

This specific objective addresses a core This specific objective addresses a core [no change] commitment of the Innovation Union commitment of the Innovation Union flagship initiative, which highlights the flagship initiative, which highlights the crucial role played by world-class crucial role played by world-class research infrastructures in making research infrastructures in making ground-breaking research and ground-breaking research and innovation possible. The initiative innovation possible. The initiative stresses the need to pool resources stresses the need to pool resources across Europe, and in some cases across Europe, and in some cases globally, in order to build and operate globally, in order to build and operate research infrastructures. Equally, the these research infrastructures. Equally, Digital Agenda for Europe flagship the Digital Agenda for Europe flagship initiative emphasises the need to initiative emphasises the need to reinforce Europe’s e-infrastructures reinforce Europe's e-infrastructures and and the importance of developing the importance of developing innovation clusters to build Europe’s innovation clusters to build Europe's innovative advantage. innovative advantage.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

4.2. Rationale and Union added 4.2. Rationale and Union added 4.2. Rationale and Union added value value value

State-of-the-art research infrastructures State-of-the-art research infrastructures State-of-the-art research infrastructures are becoming increasingly complex are becoming increasingly complex are becoming increasingly complex and costly, often requiring integration and costly, often requiring integration and costly, often requiring integration of different equipment, services and of different equipment, services and of different equipment, services and data sources and extensive data sources and extensive data sources and extensive transnational collaboration. No single transnational collaboration. No single transnational collaboration. No single country has enough resources to country has enough resources to country has enough resources to support all the research infrastructures support all the research infrastructures support all the research infrastructures it needs. The European approach to it needs. The European approach to it needs. The European approach to research infrastructures has made research infrastructures has made research infrastructures has made remarkable progress in recent years remarkable progress in recent years remarkable progress in recent years with implementing the ESFRI roadmap with implementing the ESFRI roadmap with continuously developing and

for infrastructures 21 , integrating and for infrastructures, integrating and implementing the ESFRI roadmap for opening national research facilities and opening national research facilities and infrastructures 9 , integrating and

developing e-infrastructures developing e-infrastructures opening national research facilities and underpinning a digital European underpinning an open, digitally developing e-infrastructures Research Area. The networks of connected European Research Area. underpinning a digital European research infrastructures across Europe The networks of research Research Area. The networks of strengthen its human capital base by infrastructures across Europe research infrastructures across Europe providing world-class training for a strengthen its human capital base by strengthen its human capital resource new generation of researchers and providing world-class training for a base by providing world-class training engineers and promoting new generation of researchers and for a new generation of researchers and interdisciplinary collaboration. engineers and promoting engineers and promoting __________________ interdisciplinary collaboration. interdisciplinary collaboration.

Synergies with Marie Skłodowska

21 ESFRI Strategy Report on Research Curie actions will be encouraged.

Infrastructure — Roadmap 2010. __________________

9 ESFRI Strategy Report on Research

Infrastructure — Roadmap 2010.

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Further development and wider use of Further development and wider use of Further development and wider use of research infrastructures at Union level the best research infrastructures at research infrastructures at Union will make a significant contribution to Union European level will make a European level will make a development of the European Research significant contribution to development significant contribution to development Area. While the role of Member States of the European Research Area. While of the European Research Area. While remains central in developing and the role of Member States remains the role of Member States remains financing research infrastructures, the central in developing and financing central in developing and financing Union plays an important part in research infrastructures, the Union research infrastructures, the Union supporting infrastructure at Union plays an important part in supporting plays an important part in supporting level, fostering the emergence of new infrastructure at Union European infrastructure at Union European facilities, opening up broad access to level, such as encouraging colevel, by fostering the emergence of national and European infrastructures, ordination of distributed European new facilities, opening up and and making sure that regional, research infrastructures, fostering the supporting broad access to national national, European and international emergence of new and integrated and European infrastructures, and policies are consistent and effective. It facilities, opening up and supporting making sure that regional, national, is not only necessary to avoid broad access to national and European European and international policies are duplication of effort and to coordinate infrastructures, and making sure that consistent and effective. It is not only and rationalise use of the facilities, but regional, national, European and necessary to avoid duplication of also to pool resources so that the Union international policies are consistent efforts and, to coordinate and can also acquire and operate research and effective. It is not only necessary rationalise foster coordinated and infrastructures at world level. to avoid duplication effort and to effective use of the facilities, but also

coordinate and rationalise and and where appropriate to pool fragmentation of efforts, to foster resources so that the Union Europe coordinated and effective use of the can also acquire and operate research facilities , but also and where infrastructures at world-class level. appropriate to pool resources so that the Union can also acquire and operate research infrastructures at world level.

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ICT has been transforming science by enabling remote collaboration, massive data processing, in silico experimentation and access to distant resources. Research therefore becomes increasingly transnational and interdisciplinary, requiring the use of ICT infrastructures that are supranational as science itself. It is therefore appropriate for a significant proportion of the budget under this specific objective to go towards research and innovation in einfrastructures.

The efficiencies of scale and scope The efficiencies of scale and scope [no change] achieved by a European approach to achieved by a European approach to construction, use and management of construction, use and management of research infrastructures, including eresearch infrastructures, including einfrastructures, will make a significant infrastructures, will make a significant contribution to boosting Europe’s contribution to boosting Europe's research and innovation potential research and innovation potential and

make the Union more competitive at international level.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

4.3. Broad lines of the activities 4.3. Broad lines of the activities 4.3. Broad lines of the activities

The activities shall aim at developing The activities shall aim at developing The activities shall aim at developing the European research infrastructures the European research infrastructures the European research infrastructures for 2020 and beyond, fostering their for 2020 and beyond, fostering their for 2020 and beyond, fostering their innovation potential and human capital innovation potential and human capital innovation potential and human capital and reinforcing European research resources and reinforcing European resources and reinforcing European infrastructure policy. research infrastructure policy. research infrastructure policy.

(a) Developing the European research [no change] [no change] infrastructures for 2020 and beyond

The aims shall be to ensure the The aims shall be to ensure the The aims shall be to ensure facilitate implementation and operation of the implementation and operation of, and and support: (1) the preparation, ESFRI and other world-class research ensuring transnational access to the implementation and operation of the infrastructures, including the ESFRI and other world-class research ESFRI and other world-class research development of regional partner infrastructures, including the infrastructures, including the facilities; integration of and access to development of excellent regional development of regional partner national research infrastructures; and partner facilities of European interest, facilities;, when there exists a strong the development, deployment and as well as transnational access to added value for Union intervention; operation of e-infrastructures. world-class European research (2) the integration of and access to

infrastructures; integration of and national research infrastructures; and transnational access to national of pan-European and regional research infrastructures and the interest, so that European scientists development, deployment and can use them, irrespective of their operation of e-infrastructures to ensure location, to conduct top-level a world-leading capability in research; (3) the development, networking, computing and scientific deployment and operation of edata. infrastructures.

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(b) Fostering the innovation potential [no change] (b) Fostering the innovation potential of research infrastructures and their of research infrastructures and their human capital human capital resources

The aims shall be to encourage The aims shall be to encourage [no change] research infrastructures to act as early research infrastructures to act as early adopters of technology, to promote adopters or developers of cutting-edge R&D partnerships with industry, to technology, to promote R&D facilitate industrial use of research partnerships with industry, to facilitate infrastructures and to stimulate the industrial use of research creation of innovation clusters. This infrastructures and to stimulate the activity shall also support training creation of innovation clusters. This and/or exchanges of staff managing activity shall also support education and operating research infrastructures. and training and/or exchanges of staff

using, managing and operating research infrastructures including a secondment scheme for senior staff and project managers.

(c) Reinforcing European research [no change] [no change] infrastructure policy and international cooperation

The aim shall be to support The aim shall be to support [no change] partnerships between relevant partnerships between relevant policymakers and funding bodies, policymakers and funding bodies, mapping and monitoring tools for mapping and monitoring tools for decision-making and also international decision-making and also international cooperation activities. cooperation activities. European

research infrastructures shall be supported in their international relations activities and consulted in the process of shaping the European strategy for international cooperation in research.

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The second and third activities shall be [no change] The second and third activities shall be pursued by their own specific action pursued by their own specific action and, whenever appropriate, as part of and, whenever appropriate, as part of the first activity. the first activity.

The objectives set under lines (b) and (c) shall be pursued by dedicated actions, as well as within the actions developed under line (a) whenever appropriate.

AMD 125 4a. SPREADI G EXCELLE CE A D WIDE I G PARTICIPATIO

4a.1. Specific objective

The specific objective is to fully exploit the potential of Europe's talent pool and to ensure that the benefits of an innovation-led economy are both maximised and fairly distributed across the Union in accordance with the principle of excellence.

When referring to the objectives of the Union's research and technological development policy Article 179(2) TFEU clearly states that "the Union shall, throughout the Union, encourage undertakings, including small and medium-sized undertakings, research centres and universities in their research and technological development activities of high quality".

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And indeed, ensuring that research and innovation-related activities are spread widely has long been an important Union policy goal. However, despite a recent tendency for the innovation performances of individual countries to converge, sharp differences among EU27 countries still remain, as it has been stated in the Innovation Union Scoreboard 2011. Furthermore, by putting national budgets under constrain, the current financial crisis is threatening to widen the gap between 'innovation leaders' and 'modest innovators'.

4a.2. Rationale and Union added value

In order to progress towards a sustainable, inclusive and smart society, Europe needs to make the best use of the intelligence that is available in the Union and to unlock untapped R&I potential. This is a real European challenge, decisive for our international competitiveness, and it cannot be solved by the Member States alone.

By nurturing and connecting pools of excellence, the activities proposed will contribute to strengthening the European Research Area.

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4a.3. Broad lines of the activities

To assure efficiency of the research and innovation funding, Horizon 2020 needs to be open to a wide range of participants, including new entrants, and make sure that excellence prevails wherever it exists enabling researchers and innovators across Europe to benefit from Horizon 2020's instruments, networks and funding, including the activities of the EIT and its KICs.

In this context, measures will aim at fully exploiting the potential of Europe's talent pool and thereby optimising the economic and social impact of research and innovation and will be distinct yet complementary with regard to policies and actions of the Cohesion policy Funds.

These measures include:

Twinning and networking measures

(a) linking emerging centres of excellence in less innovation performing Member States and regions to international leading counterparts elsewhere in Europe;

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(b) launching a competition for the foundation of internationally competitive research centres in less innovation performing regions based on the priorities identified in their regional smart specialisation strategies: the candidates for the competition should be teams each comprising an innovative but still less innovation performing region and an internationally recognised centre of excellence elsewhere in Europe;

(c) establishing 'ERA Chairs' to attract outstanding academics to institutions with a clear potential for research excellence, in order to help these institutions to fully unlock this potential and thereby create a level playing field for research and innovation in the European Research Area;

(d) attributing "Return Grants" to excellent researchers currently working outside of Europe and who wish to work in Europe or to researchers already working in Europe who wish to move to a less performing region;

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(e) support complementary agreements signed among organisations beneficiaries of the collaborative research projects with other entities and organisations established mainly in countries others than those directly involved in the project with the specific objective to facilitate training oportunities (namely doctoral and post-doctoral positions);

(f) strengthening successful networks aiming at establishing high quality institutional networking in research and innovation. Particular attention will be paid to COST in order to promote activities to identify and connect "pockets of excellence" (high-quality scientific communities and young investigators) throughout Europe;

(g) developing specific training mechanisms on how to participate in Horizon 2020, taking full advantage of existing networks such as the ational Contact Points;

(h) setting up an online marketplace where intellectual property can be advertised in order to bring together the owners and users of IPR.

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Building synergies with Structural Funds

(a) conferring a "seal of excellence" on positively evaluated ERC, Marie Sklodowska-Curie or collaborative project proposals that have not been able to achieve funding because of budgetary limitations, and also to completed projects in order to facilitate funding of the follow up by national, regional or private sources;

(b) supporting the development and monitoring of smart specialisation strategies. A policy support facility will be developed and policy learning at regional level will be facilitated through international evaluation by peers and best practice sharing.

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PART II: INDUSTRIAL LEADERSHIP

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 126 1. Leadership in enabling and 1. Leadership in enabling and 1. Leadership in enabling and

industrial technologies industrial technologies industrial technologies The specific objective is to maintain The specific objective is to maintain [no change] and build global leadership in and build global leadership through enabling technologies and space research and innovation in enabling research and innovation, which technologies and space research and underpin competitiveness across a innovation, which underpin range of existing and emerging competitiveness across a range of industries and sectors. existing and emerging industries and

sectors.

The global business environment is The global business environment is The global business environment is changing rapidly and the Europe 2020 changing rapidly and the Europe 2020 changing rapidly and the Europe 2020 goals for smart, sustainable and goals for smart, sustainable and goals for smart, sustainable and inclusive growth present challenges inclusive growth present challenges inclusive growth present challenges and opportunities to European and opportunities to European and opportunities to European industry. Europe needs to accelerate industry. Europe needs to accelerate industry. Europe needs to accelerate innovation, transforming the innovation, transforming the innovation, transforming the knowledge generated to underpin and knowledge generated to underpin and knowledge generated to underpin and enhance existing products, services and enhance quality and sustainability of enhance existing products, services and markets; and to create new ones. existing products, services and markets; and to create new ones while Innovation should be exploited in the markets; and to create new ones. maintaining focus on sustainability. widest sense, going beyond technology Innovation should be exploited in the Innovation should be exploited in the to include business, organisational and widest sense, going beyond technology widest sense, going beyond technology social aspects. to include business, organisational, and to include business, organisational and

social and security aspects. social aspects.

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To stay at the forefront of global [no change] [no change] competition with a strong technological base and industrial capabilities, increased strategic investments in research, development, validation and piloting are required in

Information and Communication

Technologies (ICT);

Nanotechnologies; Advanced

Materials; Biotechnology; Advanced

Manufacturing and Processing; and

Space.

The successful mastering and The successful mastering and The successful mastering, integration deployment of enabling technologies deployment of enabling technologies and deployment of enabling by European industry is a key factor in by European industry is a key factor in technologies by European industry is a strengthening Europe's productivity strengthening Europe's productivity key factor in strengthening Europe's and innovation capacity and ensuring and innovation capacity and ensuring productivity and innovation capacity Europe has an advanced, sustainable Europe has an advanced, sustainable and ensuring Europe has an advanced, and competitive economy, global and competitive economy, global sustainable and competitive economy, leadership in hi-tech application leadership in hi-tech application global leadership in hi-tech application sectors and the ability to develop sectors and the ability to develop sectors and the ability to develop effective solutions for societal effective and sustainable solutions for effective solutions for societal challenges. The pervasive nature of societal challenges. The pervasive challenges. The pervasive nature of such activities can spur further nature of such activities can spur such activities can spur further progress through complementary further progress through progress through complementary inventions and applications, ensuring a complementary inventions and inventions and, applications and higher return on investment in these applications, ensuring a higher return services, ensuring a higher return on technologies than in any other field. on investment in these technologies investment in these technologies than

than in any other field. The in any other field. development of spin-offs from research projects shall be supported through flexible instruments such as open calls.

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These activities will contribute to the These activities will contribute to the [no change] objectives of the Europe 2020 Flagship objectives of the Europe 2020 Flagship initiatives on Innovation Union, initiatives on Innovation Union,

Resource Efficient Europe, An Resource Efficient Europe, An industrial policy for the globalisation industrial policy for the globalisation era, and A Digital Agenda for Europe era, and A Digital Agenda for Europe as well as Union space policy as well as the Union's Internal objectives. Security Strategy and the Union space

policy objectives.

Complementarities with other activities [no change] [no change] in Horizon 2020

The activities under 'Leadership in The activities under 'Leadership in The activities under 'Leadership in

Enabling and Industrial Technologies' Enabling and Industrial Technologies' Enabling and Industrial Technologies' will be primarily based on research and will be primarily based on research and will be primarily based on research and innovation agendas defined by industry innovation agendas defined by innovation agendas mainly defined by and business, together with the industry, and business, and SMEs, industry and business, (including research community and have a strong together with the research community. SMEs) together with the research focus on leveraging private sector Activities will aim not only at community and Member States in an investment. addressing common needs and open and transparent manner and

concerns in the specific sector but have a strong focus on leveraging also at supporting implementation of private sector investment. policy objectives in those specific sectors. Activities will have a strong focus on leveraging private sector investment and innovation.

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The integration of enabling [no change] The integration of enabling technologies in solutions for the technologies in solutions for the societal challenges shall be supported societal challenges shall be supported together with the relevant challenges. together with the relevant challenges. Applications of enabling technologies Applications of enabling technologies that do not fall under the societal that do not fall under the societal challenges, but are important for challenges, but are important for reinforcing the competitiveness of reinforcing the competitiveness of European industry, shall be supported European industry, shall be supported under 'Leadership in Enabling and under 'Leadership in Enabling and Industrial Technologies'. Industrial Technologies'. Appropriate

coordination should be sought with the Excellent Science and Societal Challenges pillars.

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A common approach [no change] [no change]

The approach shall include both The approach shall include both The approach shall include both agenda-driven activities and more open agenda-driven activities and more open agenda-driven activities and more open areas to promote innovative projects areas to promote innovative projects areas to promote innovative projects and breakthrough solutions. Emphasis and breakthrough solutions. Emphasis and breakthrough solutions. Emphasis shall be on R&D, large-scale pilots and shall be on R&D, large-scale pilots and shall be on covering the whole value demonstration activities, test beds and innovation activities in the prechain, including R&D, large-scale living labs, prototyping and product commercial and pre-competitive pilots and demonstration activities, test validation in pilot lines. Activities shall stages, including demonstration beds and living labs, prototyping and be designed to boost industrial activities, test beds and living labs, product validation in pilot lines. competitiveness by stimulating prototyping and product validation in Activities shall be designed to boost industry, and in particular SMEs, to pilot lines. Activities shall be designed industrial competitiveness by make more research and innovation to boost industrial competitiveness by stimulating industry, and in particular investment. stimulating industry to increase its SMEs, to make more research and

research and innovation investments. innovation investment. Adequate Activities shall in particular support focus will be given to small and SMEs to make invest in and have medium scale projects. more access to research and innovation investment activities. Focus will be given to small and medium scale projects. Direct follow-on activities for projects such as piloting, demonstration and take –up shall be supported through flexible instruments such as open calls.

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An integrated approach to Key [no change] [no change]

Enabling Technologies

A major component of 'Leadership in A major component of ‘Leadership in A major component of 'Leadership in

Enabling and Industrial Technologies' Enabling and Industrial Technologies’ Enabling and Industrial Technologies' are Key Enabling Technologies are Key Enabling Technologies are Key Enabling Technologies (KETs), defined as micro- and (KETs), defined as micro- and (KETs), defined as micro- and nanoelectronics, photonics, nanoelectronics, photonics, nanoelectronics, photonics, nanotechnology, biotechnology, nanotechnology, biotechnology, nanotechnology, biotechnology, advanced materials and advanced advanced materials and advanced advanced materials and advanced

manufacturing systems 22 . These multimanufacturing systems . These multimanufacturing systems 226 . These multidisciplinary,

knowledge and capitaldisciplinary, knowledge and capitaldisciplinary, knowledge and capitalintensive technologies cut across many intensive technologies cut across many intensive technologies cut across many diverse sectors providing the basis for diverse sectors providing the basis for diverse sectors providing the basis for significant competitive advantage for significant competitive advantage for significant competitive advantage for European industry. An integrated European industry and for creating European industry., for stimulating approach, promoting the combination, new jobs. An integrated approach, growth and for creating new jobs. convergence and cross-fertilisation promoting the combination, An integrated approach, promoting the effect of KETs in different innovation convergence and cross-fertilisation combination, convergence and crosscycles and value chains can deliver effect of KETs in different innovation fertilisation effect of KETs in different promising research results and open cycles and value chains can deliver innovation cycles and value chains can the way to new industrial technologies, promising research results and open deliver promising research results and products, services and novel the way to new industrial technologies, open the way to new industrial applications (e.g. in space, transport, products, services and as well as novel technologies, products, services and environment, health etc.). applications and sustainable novel applications (e.g. in space, __________________ approaches (e.g. in space, transport, transport, agriculture, fisheries,

environment, health, agriculture etc.). forestry, environment, food, health,

22 COM(2009)512 i. energy etc.).

__________________

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The numerous interactions of KETs [no change] The numerous interactions of KETs and enabling technologies will and other industrial enabling therefore be exploited in a flexible technologies will therefore be manner, as an important source of exploited in a flexible manner, as an innovation. This will complement important source of innovation. This support for research and innovation in will complement support for research KETs that may be provided by national and innovation in KETs that may be or regional authorities under the provided by national or regional Cohesion Policy Funds within the authorities under the Cohesion Policy framework of smart specialisation Funds within the framework of smart strategies specialisation strategies.

Innovation requires enhanced crosstechnology research efforts. Therefore, multidisciplinary and multi-KET projects should be an integral part of the Industrial Leadership pillar. The Horizon 2020 implementation structure supporting KETs and cross-cutting KET activities (multi KETs) should ensure synergies and effective coordination, among others, with societal challenges. In addition, synergies will be sought, where appropriate, between KET activities and the activities under the Cohesion Policy framework, as well as with the European Institute of Innovation and Technology (EIT).

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For all the enabling and industrial For all the enabling and industrial For all the enabling and industrial technologies, including the KETs, a technologies, including the KETs, a technologies, including the KETs, a major aim will be to foster interactions major aim will be to foster interactions major aim will be to foster interactions between the technologies, and with the between the technologies, and with the between the technologies, and with the applications under the societal applications under the societal applications under the societal challenges. This shall be fully taken challenges. This shall be fully taken challenges. This shall be fully taken into account in developing and into account in developing and into account in developing and implementing the agendas and implementing the agendas and implementing the agendas and priorities. It requires that stakeholders priorities. It requires that all priorities. It requires that stakeholders representing the different perspectives stakeholders representing the different representing the different perspectives are fully involved in priority setting perspectives are fully involved in are fully involved in priority setting and implementation. In certain cases, it priority setting and implementation. In and implementation. In certain cases, it will also require actions that are jointly certain cases, it will also require will also require actions that are jointly funded by the enabling and industrial actions that are jointly funded by the funded by the enabling and industrial technologies, and by the relevant enabling and industrial technologies, technologies, and by the relevant societal challenges. This will include and by the relevant societal challenges. societal challenges. This will could joint funding for public-private This will include joint funding for include joint funding for public-private partnerships that aim to develop public-private partnerships that aim to partnerships that aim to develop technologies and apply them to address develop technologies and innovation, technologies and apply them to address societal challenges. and apply them to address societal societal challenges.

challenges.

ICT plays an important role as it [no change] ICT plays an important role as it embraces some of the KETs and embraces some of the KETs and provides the key basic infrastructures, provides the key basic infrastructures, technologies and systems for vital technologies and systems for vital economic and social processes and economic and social processes and new private and public products and new private and public products and services. European industry needs to services. European industry needs to remain at the cutting edge of remain at the cutting edge of technological developments in ICT, technological developments in ICT, where many technologies are entering where many technologies are entering a new disruptive phase, opening up a new disruptive phase, opening up new opportunities. new opportunities.

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Space is a rapidly growing sector Space is a rapidly growing sector Space is a rapidly growing sector which delivers information vital to which delivers information vital to which delivers information vital to many areas of modern society, meeting many areas of modern society, meeting many areas of modern society, meeting its fundamental demands, addresses its fundamental demands, addresses its fundamental demands, addresses universal scientific questions, and universal scientific questions, and universal scientific questions, and serves to secure the Union's position as serves to secure the Union's position as serves to secure the Union's position as a major player on the international a major player on the international a major player on the international stage. Space research underpins all stage. Space research underpins all stage. Space research underpins all activities undertaken in space, but is activities undertaken in space, but is activities undertaken in space, but is currently fragmented in national currently fragmented in national currently fragmented addressed in programmes run by a subset of Union programmes run by a subset of Union national programmes run by a subset member states. Union level member states. Union level of Union member states., the coordination and investment in space coordination and investment in space European Space Agency (ESA) or in research are required (cf. Article 189 research are required (cf. Article 189 the context of the Seventh

TFEU) to maintain the competitive TFEU) to maintain the competitive Framework Programme. Union level edge, to safeguard Union space edge, to safeguard Union space coordination and investment in space infrastructure such as Galileo and to infrastructure such as Galileo and to research are required will continue (cf. sustain a future role for the Union in sustain a future role for the Union in Article 189 TFEU) in order to space. In addition, innovative space. This shall be achieved in close maintain the competitive edge, to downstream services and applications cooperation between the European safeguard Union space infrastructures using space derived information Space Agency and national space and programmes such as GMES and represent an important source of agencies. In addition, innovative Galileo and to sustain a future role for growth and job creation. downstream services and applications the Union Europe in space. In

using space derived information addition, innovative downstream represent an important source of services and user-friendly applications growth and job creation and their using space derived information development represents an important represent an important source of opportunity for the Union. growth and job creation.

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Partnering and added value [no change] [no change]

Europe can achieve critical mass [no change] Europe can achieve critical mass through partnering, clusters and through partnering, clusters and networks, standardisation, promoting networks, standardisation, promoting cooperation between different cooperation between different scientific and technological disciplines scientific and technological disciplines and sectors with similar research and and sectors with similar research and development needs, leading to development needs, leading to breakthroughs, new technologies and breakthroughs, new technologies and innovative solutions. innovative product, service and

process solutions.

The development and implementation The development and implementation The development and implementation of research and innovation agendas of research and innovation agendas of research and innovation agendas through public–private partnerships, through European Technology including through public–private the building of effective industry Platforms or public–private partnerships, but also by the building academia links, the leveraging of partnerships, the building of effective of effective industry-academia links, additional investments, the access to industry-academia links, the leveraging the leveraging of additional risk finance, standardisation and the of additional investments, the access to investments, the access to risk finance, support to pre-commercial risk finance, standardisation and the standardisation and the support to preprocurement and the procurement of support to pre-commercial commercial procurement and the innovative products and services are all procurement and the procurement of procurement of innovative products aspects that are essential in addressing innovative products and services are all and services are all aspects that are competitiveness. aspects that are essential in addressing essential in addressing

competitiveness. competitiveness.

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In this regard, strong links with the [no change] In this regard, strong links with the

EIT are also needed to breed EIT are also needed to breed produce entrepreneurial top talents and to speed and promote entrepreneurial top up innovation by bringing together talents and to speed up innovation by people from different countries, bringing together people from different disciplines and organisations. countries, disciplines and

organisations.

Union level collaboration can also Union level collaboration can shall [no change] support trade opportunities through the also support trade opportunities development of European or through the development of European international standards for new or international standards for new emerging products and services and emerging products and services and technologies. Activities in support of technologies. Development of such standardisation and interoperability, standards following consultation of safety and pre-regulatory activities will relevant stakeholders, from science be promoted. and industry could have a positive

impact. Activities in support of standardisation and interoperability, safety and pre-regulatory activities will be promoted.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 127 1.1. Information and 1.1. Information and 1.1. Information and Communication Technologies (ICT) Communication Technologies (ICT) Communication Technologies (ICT)

1.1.1. Specific objective for ICT 1.1.1. Specific objective for ICT 1.1.1. Specific objective for ICT

In line with the Digital Agenda for In line with the Digital Agenda for In line with the Digital Agenda for

Europe 23 , the specific objective of Europe, the specific objective of ICT Europe 7 , the specific objective of

ICT research and innovation (R&I) research and innovation (R&I) is to ICT research and innovation (R&I) is to enable Europe to develop and enable Europe to develop and exploit is to enable Europe to support, exploit the opportunities brought by the opportunities brought by ICT develop and exploit the ICT progress for the benefits of its progress for the benefits of its opportunities brought by ICT citizens, businesses and scientific citizens, businesses and scientific progress for the benefits of its communities. communities. "ICT" encompasses all citizens, businesses and scientific __________________ ICT-domains, including amongst communities.

others fixed, wireless, optical fibre __________________

23 COM(2010) 245 i networks and satellite networks, networked electronic media, computer 237 COM(2010) 245 i

based smart systems and embedded software as well as the broad fields of Photonics, Molecular Electronics, Magnetoelectronics, Robotics, anoelectronics and Bioelectronics.

As the world's largest economy and [no change] As the world's largest economy and representing the largest share of the representing the largest share of the world's ICT market, today at more than world's ICT market, today at more than EUR 2600 billion, Europe can have EUR 2600 billion, Europe can should legitimate ambitions for its businesses, have legitimate ambitions for its governments, research and businesses, governments, research and development centres and universities development centres and universities to lead developments in ICT, to grow to lead European and global new business, and to invest more in developments in ICT, to grow new ICT innovations. business, and to invest more in ICT

innovations.

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By 2020, Europe's ICT sector should [no change] By 2020, Europe's ICT sector should supply at least the equivalent of its supply at least the equivalent of its

share of the global ICT market, today share of the global ICT market, today

at about one third. Europe should also at about one third. Europe should also grow innovative businesses in ICT so grow innovative businesses in ICT so that one third of all business that one third of all business expenditure in ICT R&D, today at expenditure investment in ICT R&D more than EUR 35 billion per year, is in the EU, today at more than EUR 35 invested by companies created within billion per year, is invested made by the last two decades. This would companies created within the last two require a considerable increase in decades. This would require an public investments in ICT R&D in considerable increase in public ways that leverage private spending, investments in ICT R&D in ways that towards the goal of doubling leverage private spending, towards the investments in the next decade, and goal of doubling amplifying significantly more European poles of investments in the next decade, and world-class excellence in ICT. significantly more European poles and

clusters of world-class excellence in ICT.

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To master increasingly complex and [no change] To master increasingly complex and multidisciplinary technology and multidisciplinary technology and business chains in ICT, partnering, business chains in ICT, partnering, risk-sharing and mobilisation of risk-sharing and mobilisation of critical mass across the Union are critical mass across the Union are needed. Union level action helps needed. Union level action helps industry address a single market should help industry address a single perspective and achieve economies of market perspective and achieve scale and scope. Collaboration around economies of scale and scope. common, open technology platforms Collaboration around common, open with spill-over and leverage effects technology platforms with spill-over allow a wide range of stakeholders to and leverage effects will allow a wide benefit from new developments and range of stakeholders to benefit from apply further innovations. Federating new developments and apply create and partnering at Union level also further innovations. Federating and enables consensus building, establishes partnering Partnering at Union level a visible focal point for international also enables consensus building, partners, and leads to the development establishes a visible focal point for of Union- and world-wide standards international partners, and leads to will and interoperable solutions. support the development of Unionand

world-wide standards and interoperable solutions.

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1.1.2. Rationale and Union added 1.1.2. Rationale and Union added 1.1.2. Rationale and Union added value value value

ICT underpins innovation and ICT underpins innovation and ICT underpins innovation and competitiveness across a broad range competitiveness across a broad range competitiveness across a broad range of private and public markets and of private and public markets and of private and public markets and sectors, and enables scientific progress sectors, and enables scientific progress sectors, and enables scientific progress in all disciplines. Over the next decade, in all disciplines. Over the next decade, in all disciplines. Over the next decade, the transformative impact of digital the transformative impact of digital the transformative impact of digital technologies, ICT components, technologies, ICT components, technologies, ICT components, infrastructures and services will be infrastructures and services will be infrastructures and services will be increasingly visible in all areas of life. increasingly visible in all areas of life. increasingly visible in all areas of life. Unlimited computing, communication Unlimited Computing, communication Practically unlimited computing, and data storage resources will be and data storage resources will be communication and data storage available to every citizen on the globe. available continue to every citizen on resources will be available to every Vast amounts of information and data spread during the globe coming years. citizen on in the globe EU. Vast will be generated by sensors, machines Vast amounts of real-time information amounts of information and data will and information-enhanced products, and data will be generated by sensors, be generated by sensors, machines and making action at a distance a machines and information-enhanced information-enhanced products, commonplace, enabling global products, making action at a distance a making action at a distance a deployment of business processes and commonplace, enabling global commonplace, enabling global sustainable production sites and deployment of business processes and deployment of business processes and bringing a wide range of services and sustainable production sites and sustainable production sites and applications. bringing a wide range of services and bringing allowing the creation of a

applications. wide range of services and applications.

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Many critical commercial and public Many critical commercial and public Many critical commercial and public services and all key processes of services and all key processes of services and all key processes of knowledge production in science, knowledge production in science, knowledge production in science, learning, business and the public sector learning, business and the public sector learning, business and the culture and will be provided through ICT. ICT will will be provided, and thus made more creative sector as well as the public provide the critical infrastructure for accessible, through ICT. ICT will sector will be provided through ICT. production and business processes, provide the critical infrastructure for ICT will provide the critical communication and transactions. ICT production and business processes, infrastructure for production and will also be indispensable in communication and transactions. ICT business processes, communication contributing to key societal challenges will also be indispensable in and transactions. ICT will also be , as well as societal processes such as contributing to key societal challenges indispensable in contributing to key community formation, consumer , as well as societal processes such as societal challenges , as well as societal behaviour, and public governance, for community formation, consumer processes such as community example by means of social media. behaviour, political participation and formation, consumer behaviour, and

public governance, for example by public governance, for example by means of social media and collective means of social media. awareness platforms and tools. It is crucial to support and integrate research on a user centred perspective on standards, technologies and systems in order to develop competitive solutions.

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The Union support to ICT research and [no change] The Union support to ICT research and innovation is a significant component innovation is makes a significant to prepare the next generation component contribution to prepare technologies and applications as it the development of the next makes up a large part of total spending generation technologies and on collaborative, mid-to-high risk R&I applications as it makes up a large part in Europe. Public investment in ICT of total spending on collaborative, research and innovation at Union level mid-to-high risk R&I in Europe. Public has been and remains essential to investment in ICT research and mobilise the critical mass leading to innovation at Union level has been and breakthroughs and to a wider uptake remains essential to mobilise the and better use of innovative solutions, critical mass leading to breakthroughs products and services. It continues to and to a wider uptake and better use of play a central role in developing open innovative solutions, products and platforms and technologies applicable services. It continues to play a central across the Union, in testing and role in developing open platforms and piloting innovations in real pantechnologies applicable across the European settings and in optimising Union, in testing and piloting resources when addressing Union innovations in real pan-European competitiveness and tackling common settings and in optimising resources societal challenges. Union support to when addressing Union ICT research and innovation is also competitiveness and tackling common enabling high-tech SMEs to grow and societal challenges. Union support to capitalise on the size of Union-wide ICT research and innovation is also markets. It is strengthening enabling high-tech SMEs to grow and collaboration and excellence amongst capitalise on the size of Union-wide Union scientists and engineers, markets. It is strengthening reinforcing synergies with and between collaboration and excellence amongst national budgets, and acting as a focal Union scientists and engineers, point for collaboration with partners reinforcing synergies with and between outside Europe. national budgets, and acting as a focal

point for collaboration with partners outside Europe.

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Successive evaluations of ICT Successive evaluations of ICT Successive evaluations of ICT activities in the Union's Framework activities in the Union's Framework activities in the Union's Framework Programme for research and Programme for research and Programme for research and innovation have shown that focused innovation have shown that focused innovation have shown that focused ICT research and innovation ICT research and innovation ICT research and innovation investment undertaken at Union level investment undertaken at Union level investment undertaken at Union level has been instrumental in building has been instrumental in building has been instrumental in building industrial leadership in areas like industrial leadership in areas like industrial leadership in areas like mobile communications, safety-critical mobile communications, safety-critical mobile communications, safety-critical ICT systems, and to address challenges ICT systems, and to address challenges ICT systems, and to address challenges like energy-efficiency or demographic like energy-efficiency or demographic like energy-efficiency, health, food change. Union investments in ICT change and better health systems security, transport or demographic research infrastructures have provided delivery. Union investments in ICT change. Union investments in ICT European researchers with the world's research infrastructures have provided research infrastructures have provided best research networking and European researchers with the world's European researchers with the world's computing facilities. best research networking and best research networking and

computing facilities. computing facilities.

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1.1.3. Broad lines of the activities 1.1.3. Broad lines of the activities 1.1.3. Broad lines of the activities A number of activity lines shall target [no change] [no change]

ICT industrial and technological leadership challenges and cover generic ICT research and innovation agendas, including notably:

(a) A new generation of components (a) A new generation of components (a) A new generation of components and systems: Engineering of advanced and systems: Engineering of advanced, and systems: Engineering of advanced and smart embedded components and secure and smart embedded and smart, embedded and energy and systems; components and systems components; resource efficient components and

systems;

(b) ext generation computing: (b) ext generation computing: (b) ext generation computing:

Advanced computing systems and Advanced and secure computing Advanced computing systems and technologies; systems and technologies; technologies, including cloud

computing;

(c) Future Internet: Infrastructures, (c) Future Internet: software, [no change] technologies and services; hardware, infrastructures, technologies

and services;

(d) Content technologies and (d) Content technologies and [no change] information management: ICT for information management: ICT for digital content and creativity; digital content, cultural industries and

creativity;

(e) Advanced interfaces and robots: [no change] [no change]

Robotics and smart spaces;

(f) Micro- and nanoelectronics and (f) Micro- and nanoelectronics and [no change] photonics: Key enabling technologies photonics: Key enabling technologies related to micro- and nanoelectronics related to micro- and nanoelectronics and to photonics. and to photonics.

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(fa) Quantum technologies: next generation of ICT devices through the combination of quantum physics and information science;

These six major activity lines are These six seven major activity lines are These six major activity lines are expected to cover the full range of expected to cover the full range of expected to cover the full range of

needs. These would include industrial needs. These would include industrial needs, taking into account the

leadership in generic ICT-based leadership in generic ICT-based competitiveness of European solutions, products and services needed solutions, products and services needed industry on a global scale. These

to tackle major societal challenges as to tackle major societal challenges as would include industrial leadership in

well as application-driven ICT well as application-driven ICT generic ICT-based solutions, products research and innovation agendas which research and innovation agendas which and services needed to tackle major will be supported together with the will be supported together with the societal challenges as well as relevant societal challenge. relevant societal challenge. Special application-driven ICT research and

attention shall be given to ensuring innovation agendas which will be that state-of-the-art ICT solutions are supported together with the relevant selected for projects funded under the societal challenge. In view of the ever Societal Challenges priority. increasing advancement of Enhanced support will be provided to technology in all areas of life, the research and development of open interaction between humans and systems and distributive systems. In technology will be important in this order to fully seize the ICT potential, respect, and part of the applicationthe diversity of research areas and driven ICT research mentioned cycles characteristic to ICT research above. shall be guaranteed through the rules for participation, allowing for longterm cost-intensive large-scale research projects as well as fast opportunity seizing activities identified by the market.

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These six activity lines shall also These six seven activity lines shall also These six activity lines shall also include ICT specific research include ICT specific research include ICT specific research infrastructures such as living labs for infrastructures such as living labs for infrastructures such as living labs for large-scale experimentation, and large-scale experimentation, and large-scale experimentation, and infrastructures for underlying key infrastructures for underlying key infrastructures for underlying key enabling technologies and their enabling technologies and their enabling technologies and their integration in advanced products and integration in advanced products and integration in advanced products and innovative smart systems, including innovative smart systems, including innovative smart systems, including equipment, tools, support services, equipment, tools, support services, equipment, tools, support services, clean rooms and access to foundries clean rooms and access to foundries clean rooms and access to foundries for prototyping. for prototyping. Union funding will for prototyping.

benefit shared facilities and infrastructure open to multiple actors including in particular small and medium-sized enterprises.

The fundamental rights and freedoms of natural persons and in particular their right to privacy is key in the Union. Horizon 2020 shall support research and development of systems that can give Europe's citizens full control of their communications.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 128 1.2. Nanotechnologies 1.2. Nanotechnologies 1.2. Nanotechnologies

1.2.1. Specific objective for 1.2.1. Specific objective for 1.2.1. Specific objective for nanotechnologies nanotechnologies nanotechnologies

The specific objective of [no change] The specific objective of nanotechnologies research and nanotechnologies research and innovation is to secure Union innovation is to secure Union leadership in this high growth global leadership in this high growth global market, by stimulating investment in market, by stimulating scientific and nanotechnologies and their uptake in technological advancements and high added-value, competitive investment in nanotechnologies and products and services across a range their uptake in high added-value, of applications and sectors. competitive products and services

across a range of applications and sectors.

By 2020, nanotechnologies will be By 2020, nanotechnologies will be By 2020, nanotechnologies will be mainstreamed, that is seamlessly mainstreamed, that is seamlessly mainstreamed, that is seamlessly integrated with most technologies and integrated with most technologies and integrated with most technologies and applications, driven by consumer applications, driven by consumer applications, driven by consumer benefits, quality of life, sustainable benefits, quality of life, sustainable benefits, quality of life, health care, development and the strong industrial development and the strong industrial sustainable development and the strong potential for achieving previously potential for achieving previously industrial potential for achieving unavailable solutions for productivity unavailable solutions for productivity previously unavailable solutions for and resource efficiency. and resource efficiency. By 2015, the productivity and resource efficiency.

Commission will review all relevant legislation to ensure safety for all applications of nanomaterials in products with potential health, environmental or safety impacts over their life cycle.

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Europe must also set the global [no change] Europe must also set the global benchmark on safe and responsible benchmark on safe and responsible nanotechnology deployment and nanotechnology deployment and governance ensuring both high societal governance ensuring both high societal and industrial returns. and industrial returns. and societal

impact combined with high standards of safety and sustainability.

Products using nanotechnologies [no change] [no change] represent a world market which Europe cannot afford to ignore. Market estimates of the value of products incorporating nanotechnology as the key component reach EUR 700 billion by 2015 and EUR 2 trillion by 2020, with a corresponding 2 and 6 million jobs respectively. Europe's nanotechnology companies should exploit this double digit market growth and be capable of capturing a market share at least equal to Europe's share of global research funding (i.e. a quarter)

by 2020 .

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1.2.2. Rationale and Union added 1.2.2. Rationale and Union added 1.2.2. Rationale and Union added value value value

Nanotechnologies are a spectrum of Nanotechnologies are a spectrum of Nanotechnologies are a spectrum of evolving technologies with proven evolving technologies with proven evolving technologies with proven potential, having revolutionary impact potential, having revolutionary impact potential, having revolutionary impact in for example materials, ICT, life in for example materials, ICT, in for example materials, ICT, sciences and healthcare and consumer manufacturing, life sciences and transport mobility, life sciences and, goods once the research is translated healthcare and consumer goods once healthcare, treatment and consumer into breakthrough products and the research is translated into goods once the research is translated production processes. breakthrough, sustainable and into breakthrough products and

competitive products and production production processes. processes.

Nanotechnologies have a critical role [no change] Nanotechnologies have a critical role to play in addressing the challenges to play in addressing the challenges identified by the Europe 2020 strategy identified by the Europe 2020 strategy for smart, sustainable and inclusive for smart, sustainable and inclusive growth. The successful deployment of growth. The successful deployment of these key enabling technologies will these key enabling technologies will contribute to the competitiveness of contribute to the competitiveness of Union industry by enabling novel and Union industry by enabling novel and improved products or more efficient improved products or more efficient processes and provide responses to processes and provide responses to future challenges. today's and future societal challenges.

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The global research funding for [no change] The global research funding for nanotechnologies has doubled from nanotechnologies has doubled from around EUR 6.5 billion in 2004 to around EUR 6.5 billion in 2004 to around EUR 12.5 billion in 2008, with around EUR 12.5 billion in 2008, with the Union accounting for about a the Union accounting for about a quarter of this total. The Union has quarter of this total. The Union has recognised research leadership in recognised research leadership in nanosciences and nanotechnologies nanosciences and nanotechnologies with a projection of some 4000 with a projection of some 4000 companies in the Union by 2015. companies in the Union by 2015. This

research leadership must be maintained and amplified and further translated into practical use and commercialisation.

Europe now needs to secure and build Europe now needs to secure and build Europe now needs to secure and build on its position in the global market by on its position in the global market by on its position in the global market by promoting wide scale cooperation in promoting wide scale cooperation in promoting wide scale cooperation in and across many different value chains and across many different value chains and across many different value chains and between different industrial sectors and between different industrial sectors and between different industrial sectors to realise the process scale-up of these to realise the process scale-up of these to realise the process scale-up of these technologies into viable commercial technologies into safe, sustainable and technologies into viable commercial products. The issues of risk assessment viable commercial products. The issues products. The issues of risk assessment and management as well as responsible of risk assessment and management as and management as well as responsible governance are emerging as well as responsible governance are governance are emerging as determining factors of future impact of emerging as determining factors of determining factors of future impact of nanotechnologies on society and the future impact of nanotechnologies on nanotechnologies on society, the economy. society and the economy. environment and the economy.

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Thus, the focus of activities shall be on Thus, the focus of activities shall be on [no change] the widespread and responsible the widespread and responsible and application of nanotechnologies into sustainable application of the economy, to enable benefits with nanotechnologies into the economy, to high societal and industrial impact. To enable benefits with high societal and ensure the potential opportunities, industrial impact. To ensure the including setting-up new companies potential opportunities, including and generating new jobs, research setting-up new companies and should provide the necessary tools to generating new jobs, research should allow for standardisation and provide the necessary tools to allow for regulation to be correctly implemented. standardisation and regulation to be

correctly implemented.

1.2.3. Broad lines of the activities 1.2.3. Broad lines of the activities 1.2.3. Broad lines of the activities

(a) Developing next generation a) Developing next generation [no change] nanomaterials, nanodivices and nanomaterials, nanodievices and nanosystems nanosystems

Aiming at fundamentally new products Aiming at fundamentally new products [no change] enabling sustainable solutions in a enabling sustainable solutions in a wide range of sectors. wide range of sectors, taking into

account the precautionary principle.

(b) Ensuring the safe development and (b) Ensuring the safe and secure (b) Ensuring the safe and sustainable application of nanotechnologies development and application of development and application of

nanotechnologies nanotechnologies

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Advancing scientific knowledge of the Advancing scientific knowledge of the Advancing scientific knowledge of the potential impact of nanotechnologies potential impact of nanotechnologies potential impact of nanotechnologies and nanosystems on health or on the and nanosystems on health or on the and nanosystems on health or on the environment, and providing tools for environment, and providing tools for environment, and providing tools for risk assessment and management along risk assessment and management along risk assessment and management along the entire life cycle. the entire life cycle. the entire life cycle, including

standardisation issues.

(ba) Developing new tools for designing, simulation, characterization and manipulations of nanomaterials, components and systems.

Aiming at studying, imaging and controlling the new nanomaterials and systems at the nanoscale.

(c) Developing the societal dimension [no change] [no change] of nanotechnology

Focusing on governance of Focusing on governance of Focusing on governance of nanotechnology for societal benefit. nanotechnology for societal benefit, nanotechnology for societal and

and assessing the social acceptability environmental benefit. including and relevance of specific applications. communication strategies to ensure social engagement.

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(d) Efficient synthesis and [no change] (d) Efficient and sustainable synthesis manufacturing of nanomaterials, and manufacturing of nanomaterials, components and systems components and systems

Focusing on new operations, smart Focusing on new operations, smart Focusing on new operations, smart integration of new and existing integration of new and existing integration of new and existing processes, as well as up-scaling to processes, as well as up-scaling to processes, including technology achieve mass production of products achieve mass production of products convergence such as and multi-purpose plants that ensures and multi-purpose flexible plants that nanobiotechnology as well as upthe efficient transfer of knowledge into ensures the efficient transfer of scaling to achieve mass high precision industrial innovation. knowledge into industrial innovation. large scale production of products and

multi-purpose plants that ensures the efficient transfer of knowledge into industrial innovation.

(e) Developing capacity-enhancing [no change] (e) Developing and standardisation techniques, measuring methods and of capacity-enhancing techniques, equipment measuring methods and equipment

Focusing on the underpinning [no change] Focusing on the underpinning technologies supporting the technologies supporting the development and market introduction development and market introduction of complex nanomaterials and of safe complex nanomaterials and nanosystems. nanosystems

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 129 1.3. Advanced materials 1.3. Advanced materials 1.3. Advanced materials 1.3.1. Specific objective for advanced 1.3.1. Specific objective for advanced 1.3.1. Specific objective for advanced

materials materials materials The specific objective of advanced The specific objective of advanced [no change] materials research and innovation is materials research and innovation is to develop materials with new to develop materials with new functionalities and improved infunctionalities and improved inservice performance, for more service performance, for more competitive products that minimise competitive products that are more the impact on the environment and accessible to consumers and minimise the consumption of resources. the impact on the environment and

the consumption of resources and improve safety and security.

Materials are at the core of industrial [no change] Materials are at the core of industrial innovation and are key enablers. innovation and are key enablers. Advanced materials with higher Advanced materials with higher knowledge content, new functionalities knowledge content, new functionalities and improved performance are and improved performance are indispensable for industrial indispensable for industrial competitiveness and sustainable competitiveness and sustainable development across a range of development across a broad range of applications and sectors applications and sectors

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1.3.2. Rationale and Union added 1.3.2. Rationale and Union added 1.3.2. Rationale and Union added value value value

New advanced materials are needed in New advanced materials are needed in New advanced materials are needed in developing better performing and developing better performing and developing better performing and sustainable products and processes. sustainable products and processes and sustainable products and processes. Such materials are a part of the for substituting scarce resources. Such materials are a part of the solution to our industrial and societal Such materials are a part of the solution to our industrial and societal challenges, offering better performance solution to our industrial and societal challenges, offering better performance in their use, lower resource and energy challenges, offering better performance in their use, lower resource and energy requirements, and sustainability at the in their use, lower resource and energy requirements, and sustainability end-of-life of the products requirements, and sustainability at the atduring the end-of-entire life-cycle

end-of-life of the products. of the products.

Application-driven development often [no change] Application-driven development often involves the design of totally new involves the design of totally new materials, with the ability to deliver materials, with the ability to deliver planned in-service performances. Such planned in-service performances. Such materials are an important element in materials are an important element in the supply chain of high value the supply chain of high value manufacturing. They are also the basis manufacturing. They are also the basis for progress in cross-cutting for progress in cross-cutting technology areas (for example technology areas (for example health biosciences, electronics and care technologies, biosciences, photonics), and in virtually all market electronics and photonics), and in sectors. The materials themselves virtually all market sectors. The represent a key step in increasing the materials themselves represent a key value of products and their step in increasing the value of products performance. The estimated value and and their performance. The estimated impact of advanced materials is value and impact of advanced significant, with an annual growth rate materials is significant, with an annual of about 6 % and expected market size growth rate of about 6 % and expected of the order of EUR 100 billion by market size of the order of EUR 100 2015. billion by 2015.

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Materials shall be conceived according [no change] Materials shall be conceived according to a full life-cycle approach, from the to a full life-cycle approach, from the supply of available materials to end of supply of available materials to end of life (cradle to cradle), with innovative life (cradle to cradle), with innovative approaches to minimise the resources approaches to minimise the resources required for their transformation. (including energy) required for their Continuous use, recycling or secondary transformation or to minimise end-of-life utilisation of the materials negative impacts for humans and the shall also be covered as well as related environment. Continuous use, societal innovation. recycling or secondary end-of-life

utilisation of the materials shall also be covered as well as related societal innovation., such as changes in consumer behaviour and new business models.

To accelerate progress, a To accelerate progress, a [no change] multidisciplinary and convergent multidisciplinary and convergent approach shall be fostered, involving approach benefitting from world chemistry, physics, engineering leading European research sciences, theoretical and computational infrastructure shall be fostered, modelling, biological sciences and involving chemistry, physics, increasingly creative industrial design. engineering sciences, theoretical and

computational modelling, biological sciences and increasingly creative industrial design.

Novel green innovation alliances and Novel green innovation alliances and [no change] industrial symbiosis shall be fostered industrial symbiosis shall be fostered allowing industries to diversify, allowing industries to diversify, expand their business models, re-using expand their business models, re-using their waste as a basis for new their waste as a basis for new productions, e.g. CO 2 as carbon base productions, e.g. CO2 as carbon base for fine chemicals and alternative for fine chemicals and alternative fuels. fuels.

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1.3.3. Broad lines of the activities 1.3.3. Broad lines of the activities 1.3.3. Broad lines of the activities

(a) Cross-cutting and enabling [no change] [no change] materials technologies

Research on functional materials, [no change] Research on materials by design, multifunctional materials and structural functional materials, multifunctional materials, for innovation in all materials with higher knowledge industrial sectors. content, new functionalities and

improved performance, and structural materials, for innovation in all industrial sectors, including the creative industries.

(b) Materials development and [no change] [no change] transformation

Research and development to ensure Research and development to ensure Research and development to ensure efficient and sustainable scale up to efficient and sustainable scale up to efficient, safe and sustainable enable industrial manufacturing of enable industrial manufacturing of development and scale up to enable future products smart future products industrial manufacturing of future

design based products towards a "nowaste" management of materials in Europe.

(c) Management of materials [no change] [no change] components

Research and development for new and Research and development for new and [no change] innovative techniques and systems. innovative production techniques for

materials, components and systems.

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(d) Materials for a sustainable and low[no change] (d) Materials for a sustainable, carbon industry resource-efficient and low-carbon

emission industry

Developing new products and Developing new materials, Developing new products and applications, and consumer behaviour components, business models and applications, business models and that reduce energy demand, and responsible consumer behaviour, responsible consumer behaviour that facilitate low-carbon production. products and applications, and reduce energy demand, and facilitate

consumer behaviour that reduce energy low-carbon production. demand and facilitate low-carbon production.

(da) ew raw materials for the chemical industry and carbon usage

Activities shall focus on the development of an alternative feedstock basis for the chemical industry to environmentally friendly substitute petroleum as carbon source in the medium and long term, as well as CCU systems and technologies to convert CO2 into products.

(e) Materials for creative industries [no change] (e) Materials for creative industries

Preserving and making the best use of European heritage

Applying design and the development Applying design and the development [no change] of converging technologies to create of converging technologies to create new business opportunities, including new business opportunities, including the preservation of materials with the preservation and restoration of historical or cultural value. materials with historical or cultural

value, as well as novel materials.

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(f) Metrology, characterisation, (f) Metrology, characterisation, [no change] standardisation and quality control standardisation, certification and

quality control

Promoting technologies such as Promoting technologies such as Promoting technologies such as characterisation, non-destructive characterisation, non-destructive characterisation, non-destructive evaluation and predictive modelling of evaluation, continuous assessing and evaluation and predictive modelling of performance for progress in materials monitoring and predictive modelling performance for progress and impact science and engineering. of performance for progress in in materials science and engineering.

materials science and engineering.

(g) Optimisation of the use of materials [no change] [no change]

Research and development to Research and development to Research and development to investigate alternatives to the use of investigate substitution and investigate alternatives to the use of materials and innovative business alternatives to the use of materials and materials, including contributing to model approaches. innovative business model approaches solving the challenge of raw

and identification of critical materials, and innovative business resources. model approaches.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 130 1.4. Biotechnology 1.4. Biotechnology 1.4. Biotechnology

1.4.1. Specific objective for 1.4.1. Specific objective for 1.4.1. Specific objective for biotechnology biotechnology biotechnology

The specific objective of The specific objective of The specific objective of biotechnology research and biotechnology research and biotechnology research and innovation is to develop competitive, innovation is to develop competitive, innovation is to develop competitive, sustainable and innovative industrial sustainable, safe and secure, and sustainable and innovative industrial products and processes and innovative industrial products and products and processes and contribute as an innovation driver in processes and contribute as an contribute as an innovation driver in a number of European sectors like innovation driver in a number of a number of European sectors, like agriculture, food, chemical and European sectors like health, agriculture, forestry, food, chemical health. chemical, energy, agriculture, and health as well as the knowledgeforestry

and food, chemical and based bio-economy. health.

A strong scientific, technological and A strong scientific, technological and [no change] innovation base in biotechnology, will innovation base in biotechnology, will support European industries securing support European industries securing leadership in this key enabling leadership in this key enabling technology. This position will be technology. This position will be further strengthened by integrating the further strengthened by integrating the safety assessment and management health and safety assessment, the aspects of the overall risks in the economic and environmental impact deployment of biotechnology. of use of the technology and the

management aspects of the overall and specific risks in the deployment of biotechnology.

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1.4.2. Rationale and Union added 1.4.2. Rationale and Union added 1.4.2. Rationale and Union added value value value

Powered by the expansion of the Powered by the expansion of the Powered by the expansion of the knowledge of living systems, knowledge of living systems, knowledge of living systems, biotechnology is set to deliver a stream biotechnology is set to deliver a stream biotechnology is set to deliver a stream of new applications and to strengthen of new applications and to strengthen of new applications and to strengthen the Union's industrial base and its the Union's industrial base and its the Union's industrial base and its innovation capacity. Examples of the innovation capacity. Examples of the innovation capacity. Examples of the rising importance of biotechnology are rising importance of biotechnology are rising importance of biotechnology are in industrial applications including bioin industrial and agricultural in industrial applications including chemicals, of which the market share is applications including biopharmaceuticals and bio- estimated to increase by up to 12 %-20 biopharmaceuticals, food and feed chemicals, of which the market share % of chemical production by 2015. A production, bio-chemicals, of which of the latter is estimated to increase by number of the so-called twelve rules of the market share is estimated to up to 12 %-20 % of chemical Green Chemistry are also addressed by increase by up to 12 %-20 % of production by 2015. A number of the biotechnology, due to the selectivity chemical production by 2015. A so-called twelve rules of Green and efficiency of bio-systems. The number of the so-called twelve rules of Chemistry are also addressed by possible economic burdens for Union Green Chemistry are also addressed by biotechnology, due to the selectivity enterprises can be reduced by biotechnology, due to the selectivity and efficiency of bio-systems. The harnessing the potential of and efficiency of bio-systems. The possible economic burdens for Union biotechnology processes and bio-based possible economic burdens for Union enterprises can be reduced by

products to reduce CO 2 emissions, enterprises can be reduced by harnessing the potential of

estimated to range from between 1 to harnessing the potential of biotechnology processes and bio-based

2.5 billion tons CO 2 equivalent per biotechnology processes and bio-based products to reduce CO 2 emissions, year by 2030. products to reduce CO 2 emissions, estimated to range from between 1 to

estimated to range from between 1 to 2.5 billion tons CO 2 equivalent per 2.5 billion tons CO 2 equivalent per year by 2030. year by 2030.

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In Europe's biopharmaceutical sector, In Europe's biopharmaceutical sector, In Europe's biopharmaceutical sector, already some 20 % of the current already some 20 % of the current already some 20 % of the current medicines are derived from medicines are derived from medicines are derived from biotechnology, with up to 50 % of new biotechnology, with up to 50 % of new biotechnology, with up to 50 % of new medicines. Biotechnology also opens medicines. Biotechnology also opens medicines. Biotechnology will play a new avenues for exploiting the huge new avenues for exploiting the huge major role in the transition towards potential of marine resources for potential of marine resources for a bio-based economy by developing producing innovative industrial, health producing innovative industrial, health, new industrial processes. Cutting and environmental applications. The energy, chemical and environmental edge technologies such as synthetic emerging sector of marine (blue) applications. The emerging sector of biology hold promise for sustainable biotechnology has been predicted to marine (blue) biotechnology has been and carbon neutral fuels, production grow by 10 % a year. predicted to grow by 10 % a year. of fine chemicals including

pharmaceuticals, environmentfriendly production methods, new health applications and bionanomaterials. Biotechnology also opens new avenues for the development of a sustainable agriculture, aquaculture and forestry and for exploiting the huge potential of marine resources for producing innovative industrial, health and environmental applications. The emerging sector of marine (blue) biotechnology has been predicted to grow by 10 % a year.

Other key sources of innovation are at [no change] [no change] the interface between biotechnology and other enabling and converging technologies, in particular nanotechnologies and ICT, with applications such as sensing and diagnosing.

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1.4.3. Broad lines of the activities 1.4.3. Broad lines of the activities 1.4.3. Broad lines of the activities (a) Boosting cutting-edge (a) Boosting sustainable cutting-edge [no change] biotechnologies as a future innovation biotechnologies as a future innovation driver driver

Development of emerging technology Development of emerging technology [no change] areas such as synthetic biology, areas such as synthetic biology bioinformatics and systems biology, systems, bioinformatics and synthetic which hold great promise for biology and systems biology, which completely novel applications. hold great promise for completely

novel products, applications and technologies, taking into account the precautionary principle.

(b) Biotechnology-based industrial (b) Biotechnology-based industrial [no change] processes products and processes

Developing industrial biotechnology Developing industrial biotechnology Developing industrial biotechnology for competitive industrial products and for competitive industrial, materials, and industrial scale bio-process processes (e.g. chemical, health, products and sustainable processes design for competitive industrial mining, energy, pulp and paper, textile, (e.g.chemicals, health, mining, energy, products and processes (e.g. chemical, starch, food processing) and its pulp and paper, fiber based products health, mining, energy, pulp and paper, environmental dimension. and wood textile, starch, food fiber-based products and wood,

processing) and its environmental and textile, starch, food processing) and its health related dimension. environmental dimension, including clean up operations.

(c) Innovative and competitive [no change] [no change] platform technologies

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Development of platform technologies Development of platform technologies Development of platform technologies

(e.g. genomics, meta-genomics, (e.g. systems biology genomics, meta(e.g. genomics, meta-genomics, proteomics, molecular tools) to genomics, proteomics, phenomics, proteomics, metabolomics, molecular enhance leadership and competitive molecular tools and cell-based tools, expression systems, advantage in a wide number of platforms) to enhance leadership and phenotyping platforms) to enhance economic sectors. competitive advantage in a wide leadership and competitive advantage

number of economic sectors having in a wide number of economic sectors. economic impact. This approach can further advance the potential of novel SMEs significantly.

(ca) Environmental, societal and ethical concerns

Development of assessment processes including broad consultation of stakeholders to take account of environmental, societal and ethical concerns with regard to certain types of technologies.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 131 1.5. Advanced manufacturing and 1.5. Advanced manufacturing and 1.5. Advanced manufacturing and

processing processing processing 1.5.1. Specific objective 1.5.1. Specific objective 1.5.1. Specific objective The specific objective of advanced The specific objective of advanced The specific objective of advanced manufacturing and processing manufacturing and processing manufacturing and processing research and innovation is to research and innovation is to research and innovation is to transform today's industrial forms transform today's industrial forms transform today's industrial forms of production towards more of production towards of production towards more knowledge intensive, sustainable, manufacturing enterprises, systems knowledge intensive, sustainable, trans-sectoral manufacturing and and processes by leveraging key trans-sectoral manufacturing and processing technologies, resulting in enabling technologies in order to processing technologies, resulting in more innovative products, processes achieve more knowledge intensive, more innovative products, processes and services. sustainable, resource and energy and services. By enabling new,

efficient trans-sectoral sustainable products, processes and manufacturing and processing services and their competitive technologies, resulting in more deployment, advanced innovative safe and secure products, manufacturing and processing are processes and services. also essential for achieving the objectives of the societal challenges.

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1.5.2. Rationale and Union added 1.5.2 Rationale and Union added value 1.5.2. Rationale and Union added value value

The manufacturing sector is of high The manufacturing sector is of high [no change] importance to the European economy, importance to the European economy, contributing to around 17 % of GDP contributing to around 17 % of GDP and accounting for some 22 million and accounting for some 22 million jobs in the Union in 2007. With the jobs in the Union in 2007. With the lowering of economic barriers to trade lowering of economic barriers to trade and the enabling effect of and the enabling effect of communications technology, communications technology, manufacturing is subject to strong manufacturing is subject to strong competition and has been gravitating to competition and has been gravitating to countries of lowest overall cost. Due to countries of lowest overall cost. Due to high wages, the European approach to high wages, The European approach to manufacturing therefore has to change manufacturing therefore has to change radically to remain globally radically to remain globally competitive and Horizon 2020 can help competitive and Horizon 2020 can help bring together all the relevant bring together all the relevant stakeholders to achieve this. stakeholders to achieve this.

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Europe needs to continue to invest at Europe needs to continue to invest at Europe needs to continue to invest an Union level to maintain European an Union level to maintain European increase the investment at an Union leadership and competence in leadership and competence in level to maintain European leadership manufacturing technologies and make manufacturing technologies and make and competence in manufacturing the transition to high-value, the transition to high-value, technologies and make the transition to knowledge-intensive goods, creating knowledge-intensive goods, creating high-value, knowledge-intensive the conditions and assets for the conditions and assets for goods, creating the conditions and sustainable, production and provision sustainable, production and provision assets for sustainable, production and of lifetime service around a of lifetime service around a provision of lifetime service around a manufactured product. Resource manufactured product. Resource manufactured product. Resource intensive manufacturing and process intensive manufacturing and process intensive manufacturing and process industries need to further mobilise industries need to further mobilise industries need to further mobilise resources and knowledge at Union resources and knowledge at Union resources and knowledge at Union level and continue to invest in level and continue to invest in level and continue to invest increase research, development and innovation research, development and innovation the investment in research, to enable further progress towards a to enable further progress towards a development and innovation to enable competitive low carbon economy and competitive low carbon and resource further progress towards a competitive to comply with the agreed Union wide efficient economy and to comply with low carbon, resource-efficient and reductions in greenhouse gas emissions the agreed Union wide reductions in sustainable economy and to comply

by 2050 for industrial sectors 24 . greenhouse gas emissions by 2050 for with the agreed Union wide reductions

__________________ industrial sectors. in greenhouse gas emissions by 2050

for industrial sectors 248 .

24 COM(2011) 112 final i. __________________

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With strong Union policies, Europe [no change] [no change] would grow its existing industries and nurture the emerging industries of the future. The estimated value and impact of the sector of advanced manufacturing systems is significant, with an expected market size around

EUR 150 billion by 2015 and compound annual growth rate of about

5 %.

It is crucial to retain knowledge and [no change] It is crucial to retain knowledge and competence in order to keep competence in order to keep manufacturing and processing capacity manufacturing and processing capacity in Europe. The emphasis of the in Europe. The emphasis of the research and innovation activities shall research and innovation activities shall be on sustainable manufacturing and be on sustainable and safe processing, introducing the necessary manufacturing and processing, technical innovation and customerintroducing the necessary technical orientation to produce high knowledge innovation and customer-orientation to content products and services with low produce high knowledge content material and energy consumption. products and services with low Europe also needs to transfer these material and energy consumption. enabling technologies and knowledge Europe also needs to transfer these to other productive sectors, such as enabling technologies and knowledge construction, which is a major source to other productive sectors, such as of greenhouse gases (GHG) with construction, which is a major source building activities accounting for of greenhouse gases (GHG) with around 40 % of all energy building activities accounting for consumption in Europe, giving rise to around 40 % of all energy

36 % of the CO 2 emissions. The consumption in Europe, giving rise to construction sector, generating 10 % of 36 % of the CO 2 emissions. The GDP and providing some 16 million construction sector, generating 10 % of jobs in Europe in 3 million enterprises, GDP and providing some 16 million of which 95 % are SMEs, needs to jobs in Europe in 3 million enterprises, adopt innovative materials and of which 95 % are SMEs, needs to manufacturing approaches to mitigate adopt innovative materials and its environmental impact. manufacturing approaches to mitigate

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its environmental impact.

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1.5.3. Broad lines of the activities 1.5.3. Broad lines of the activities 1.5.3. Broad lines of the activities

(a) Technologies for Factories of the [no change] [no change]

Future

Promoting sustainable industrial Promoting sustainable industrial Promoting sustainable industrial growth by facilitating a strategic shift growth by facilitating a strategic shift growth by facilitating a strategic shift in Europe from cost-based in Europe from cost-based in Europe from cost-based manufacturing to an approach based on manufacturing to an approach based on manufacturing to an approach based on

the creation of high added value . the creation of high added value and the creation of high added value.

resource efficiency. products and ICT-enabled intelligent and high performance manufacturing in an integrated system.

(b) Technologies enabling Energy(b) Technologies enabling Energy(b) Technologies enabling Energyefficient buildings efficient, low environmental impact efficient buildings and systems

buildings

Reducing energy consumption and Reducing energy consumption and Reducing energy consumption and

CO 2 emissions by the development and CO2 emissions by the research, CO 2 emissions by the development and

deployment of sustainable construction development and deployment of deployment of sustainable construction technologies. sustainable construction, addressing technologies and systems.

the whole value chain, automation and control technologies as well as reducing the overall environmental impact of buildings.

(c) Sustainable and low-carbon (c) Sustainable, low-environmental(c) Sustainable, resource-efficient and technologies in energy-intensive impact and low-carbon technologies in low-carbon technologies in energyprocess indutries energy-intensive and resourceintensive process industries

intensive process industries

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Increasing the competitiveness of Increasing the competitiveness of [no change] process industries, by drastically process industries, by drastically improving resource and energy improving resource and energy efficiencies and reducing the efficiencies and reducing the environmental impact of such environmental impact of such industrial activities through the whole industrial activities through the whole value chain, promoting the adoption of value chain, promoting the adoption of low-carbon technologies. low-carbon technologies, including

the integration of renewable energy sources and smart, advanced control systems technologies and the uptake of alternative, more sustainable industrial processes.

(d) New sustainable business models [no change] [no change]

Deriving concepts and methodologies Deriving concepts and methodologies [no change] for adaptive, 'knowledge-based' for adaptive, ‘knowledge-based’ business models in customised business models in customised approaches. approaches. Support to development of

novel eco-innovation business models and alternative resource-productive approaches.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 132 1.6. Space 1.6. Space 1.6. Space 1.6.1. Specific objective for space 1.6.1. Specific objective for space 1.6.1. Specific objective for space The specific objective of space The specific objective of space The specific objective of space research and innovation is to foster a research and innovation is to foster a research and innovation is to foster a competitive and innovative space competitive and innovative space cost-effective competitive and industry and research community to industry and research community to innovative space industry (including develop and exploit space develop and exploit space SMEs) and research community to infrastructure to meet future Union infrastructure, applications and develop and exploit space policy and societal needs. services to meet future Union policy infrastructure to meet future Union

and societal needs. policy and societal needs.

Strengthening the European space Strengthening the European public and Strengthening the European space sector by boosting space research and private, space sector by boosting space sector by boosting space research and innovation is vital to maintain and research and innovation, earth innovation is vital to maintain and safeguard Europe's capability of access observation, navigation, science and safeguard Europe's capability of access to and operations in space in support of exploration is vital to maintain and to and operations in use space in Union policies, international strategic safeguard Europe's capability of access support of Union policies, international interests and competitiveness amongst to and operations in space in support of strategic interests and competitiveness established and emerging space faring Union policies, international strategic amongst established and emerging nations interests and competitiveness amongst space faring nations.

established and emerging space faring nations and companies. Activities shall be developed and implemented in a complementary way between the Union, European Space Agency (ESA) and the Member States.

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1.6.2. Rationale and Union added 1.6.2. Rationale and Union added 1.6.2. Rationale and Union added value value value

Space is an important, but frequently Space is an important, but frequently Space is an important, but frequently invisible enabler of diverse services invisible enabler of diverse services invisible enabler of diverse services and products crucial to modern day and products crucial to modern day and products crucial to modern day society, such as navigation, society, such as navigation and society, such as navigation, and communication, weather forecasts, and communication, as well as weather communication, as well as weather geographic information. Policy forecasts, and geographic information forecasts, and geographic information. formulation and implementation at derived from Earth Observation by derived from Earth Observation by European, national and regional levels satellites. Policy formulation and satellites. Policy formulation and increasingly depend on space-derived implementation at European, national implementation at European, national information. The global space sector is and regional levels increasingly and regional levels increasingly rapidly growing and expanding into depend on space-derived information. depend on space-derived information. new regions (e.g. China, South The global space sector is rapidly The global space sector is rapidly America). European industry is at growing and expanding into new growing and expanding into new present a considerable exporter of first regions (e.g. China, South America regions (e.g. China, South America). class satellites for commercial and and Africa). European industry is at European industry is at present a scientific purposes. Increasing global present a considerable exporter of first considerable exporter of first class competition is challenging Europe’s class satellites for commercial and satellites for commercial and scientific position in this area. scientific purposes. Increasing global purposes. Increasing global

competition is challenging Europe’s competition is challenging Europe’s position in this area. position in this area.

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Thus Europe has an interest in Thus Europe has an interest in Thus Europe has an interest in ensuring that its industry continues to ensuring that its industry continues to ensuring that its industry continues to thrive in this fiercely competitive thrive in this fiercely competitive thrive in this fiercely competitive market In addition, data from market In addition, data from market In addition, data from European science satellites have European science satellites have European science satellites and probes resulted in some of the most significant resulted in some of the most significant have resulted in some of the most scientific breakthroughs in the last scientific breakthroughs in the last significant scientific breakthroughs in decades in Earth sciences and decades in Earth sciences, the last decades in Earth sciences and, astronomy. With this unique capacity, fundamental physics and astronomy. fundamental physics, astronomy and the European space sector has a critical With this unique capacity, the planetology. In addition, innovative role to play in addressing the European space sector has a critical space technologies, e.g. robotics have challenges identified by Europe 2020. role to play in addressing the contributed to the progress of

challenges identified by Europe 2020. knowledge and technology in Europe. With this unique capacity, the European space sector has a critical role to play in addressing the

challenges identified by Europe 2020.

Research, technology development and Research, technology development and Research, technology development and innovation underpin capacities in space innovation underpin capacities in space innovation underpin capacities in space which are vital to European society. which are vital to European society. which are vital to European society. While the United States of America While the United States of America While the United States of America spends around 25 % of their space spends around 25 % of their space spends around 25 % of their space budget on R&D, the Union spends less budget on R&D, the Union spends less budget on R&D, the Union spends less than 10 %. Moreover, space research than 10 %. Moreover, space research than 10 %. Moreover, space research in the Union is fragmented in the in the Union is fragmented addressed in the Union is fragmented addressed national programmes of a few Member in the national programmes of a few in the national programmes of a few States. the Member States and the ESA Member States., ESA programmes

programmes. and the EU Seventh Framework Programme.

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To maintain the technological and [no change] To maintain the Europe's competitive edge Union level action is technological and competitive edge needed to coordinate space research, to and to capitalise on investments, promote the participation of Union level action is needed to researchers from all Member States, coordinate space research, to promote and to lower the barriers for the participation of researchers from all collaborative space research projects Member States, and to lower the across national borders. This needs to barriers for collaborative space be done in coordination with the research projects across national European Space Agency, which has borders. This needs to be done in successfully managed industrial coordination conjunction with the satellite development and deep space European Space Agency space missions on an intergovernmental basis research activities of the Member with a subset of the Member States States and ESA, which has since 1975. successfully managed industrial

satellite development and deep space missions on an intergovernmental basis with a subset of for the ESA Member States since 1975. Union level action is also needed to promote the participation of the best researchers from all Member States, and to lower the barriers for collaborative space research projects across national borders.

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In addition, the information provided In addition, the information provided [no change] by European satellites will offer an by European satellites will offer an increasing potential for further increasing potential for further development of innovative satellitedevelopment of innovative satellitebased downstream services. This is a based downstream services. This is a typical activity sector for SMEs and typical activity sector for SMEs and should be supported by research and should be supported by research and innovation measures in order to reap innovation measures in order to reap the full benefits of this opportunity, the full benefits of this opportunity, and especially of the considerable and especially of the considerable investments made on the two Union investments made on the two Union flagships Galileo and GMES. flagships Galileo and GMES but also

in the electronic communications sector which shall contribute to achieving the targets of the Union's Digital Agenda.

Space naturally transcends terrestrial [no change] Space naturally transcends terrestrial boundaries, providing a unique vantage boundaries, providing a unique vantage point of global dimension, thus giving point of global dimension, thus giving rise to large scale projects which (e.g. rise to large scale projects which (e.g. International Space Station, Space International Space Station, Space Situational Awareness) are carried out Situational Awareness) are carried out in international co-operation. To play a in international co-operation. To play a significant role in such international significant role in such international space activities in the next decades, space activities in the next decades, both a common European space policy both a common European space policy and European level space research and and European level space research and innovation activities are indispensible. innovation activities are indispensible.

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Space research and innovation under Space research and innovation under Space research and innovation under

Horizon 2020 aligns with the Union Horizon 2020 aligns with the Union Horizon 2020 aligns with the Union space policy priorities as they continue space policy priorities and the needs space policy priorities and the needs to be defined by the Union Space of the European operational of the European operational Councils and the European programmes as they continue to be programmes as they continue to be

25

Commission . defined by the Union Space Councils defined by the Union Space Councils

__________________ and the European Commission. and the European Commission 259 .

__________________

25 COM(2011) 152 i.

259 COM(2011) 152 i.

The application of space technologies shall be supported through the respective Societal Challenges, where appropriate.

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1.6.3. Broad lines of the activities 1.6.3. Broad lines of the activities 1.6.3. Broad lines of the activities (a) Enabling European [no change] [no change] competitiveness, non-dependence and innovation of the European space sector

This entails safeguarding and This entails safeguarding and further This entails safeguarding and further developing a competitive and developing a competitive, sustainable developing a competitive and entrepreneurial space industry in and entrepreneurial space industry in entrepreneurial space industry in combination with a world-class space combination with a world-class space combination with a world-class space research community to maintain research community to maintain and research community to maintain and European leadership and nonstrengten European leadership by strengthen European leadership and dependence in space technology, to ensuring the availability of needed non-dependence in space technology, foster innovation in the space sector, technologies - with appropriate systems to foster innovation in the and to enable space-based terrestrial maturity, the required level of nonspace sector, and to enable space-based innovation, for example by using dependence, and at competitive terrestrial innovation, for example by remote sensing and navigation data. conditions - and to maintain and using remote sensing and navigation

strengthen non-dependence in data. strategic subsectors such as access to space technology or critical technologies including clean solutions, to foster innovation in the space sector, and to enable space-based terrestrial innovation, for example by using remote sensing and navigation data.

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(b) Enabling advances in space [no change] [no change] technologies

This aims at developing advanced This aims at developing advanced and This aims at developing advanced and space technologies and operational enabling space technologies and enabling space technologies and concepts from idea to demonstration in operational concepts from idea to operational concepts from idea to space, including navigation and remote demonstration in space, including demonstration in space, including sensing, as well as the protection of navigation and remote sensing, as well navigation and remote sensing, as well space assets from threats such as debris as. This includes technologies for the as. This includes technologies and solar flares. To develop and apply protection of space assets from threats supporting access to space, advanced space technologies requires such as debris and solar flares as well technologies for the protection of the continuous education and training as for satellite telecommunications, space assets from threats such as debris of highly skilled engineers and navigation, electronic and solar flares., as well as satellite scientists. communications or telecommunication, navigation and

telecommunication and remote remote sensing. To develop and apply sensing missions. To develop and advanced space technologies requires apply advanced space technologies the continuous education and training requires the continuous education and of highly skilled engineers and training of highly skilled engineers and scientists. as well as strong links scientists as well as strong links between them and users of space between those and users of space applications. applications.

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(c) Enabling exploitation of space data [no change] [no change]

A considerably increased exploitation A considerably increased exploitation A considerably increased exploitation of data from European satellites can be of data from European satellites can be of data from European satellites achieved if a concerted effort is made achieved if a concerted effort is made (scientific, public or commercial) can to coordinate and organise the to coordinate and organise the be achieved if a concerted further processing, validation and processing, validation and effort is made to coordinate and standardisation of space data. standardisation and sustainable organise for the processing, archiving, Innovations in data handling and availability of space data as well as to validation and, standardisation and dissemination can also ensure a higher support the development of new sustainable availability of space data. return on investment of space information products and services as well as to support the infrastructure, and contribute to resulting from those data. Innovations development of new information tackling societal challenges, in in data handling and, dissemination products and services resulting from particular if coordinated in a global and interoperability, in particular those data. Innovations in data effort such as through Global Earth promotion of access to and exchange handling and dissemination can also Observation System of Systems, the of Earth science data and metadata ensure a higher return on investment of European satellite navigation can also ensure a higher return on space infrastructure, and contribute to programme Galileo or IPCC for investment of space infrastructure, and tackling societal challenges, in climate change issues. contribute to tackling societal particular if coordinated in a global

challenges, in particular if coordinated effort such as through Global Earth in a global effort such as through Observation System of Systems Global Earth Observation System of (GEOSS), namely by fully exploiting Systems (GEOSS), namely by fully the GMES programme as its main exploiting the GMES programme as European contribution, the European its main European contribution, the satellite navigation programme Galileo European satellite navigation or IPCC for climate change issues. A programme Galileo or IPCC for fast introduction of these climate change and ocean monitoring innovations into the relevant issues. A fast introduction of these application and decision-making innovations into the relevant processes will be supported. This application will be supported. This includes as well the exploitation of includes as well the exploitation of data for further scientific data for further scientific investigation. investigation. This includes as well the exploitation of data for further scientific investigation.

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(d) Enabling European research in [no change] [no change] support of international space partnerships

Space undertakings have a [no change] Space undertakings have a fundamentally global character. This is fundamentally global character. This is particularly clear for activities such as particularly clear for activities such as Space Situational Awareness (SSA), Space Situational Awareness (SSA), and many space science and and many space science and exploration projects. The development exploration projects. The development of cutting edge space technology is of cutting edge space technology is increasingly taking place within such increasingly taking place within such international partnerships. Ensuring international partnerships. Ensuring access to these constitutes an important access to these constitutes an important success factor for European success factor for European researchers and industry. researchers and industry. The

definition and implementation of long-term roadmaps and the coordination with international partners are key to this objective.

(da) Securing return on investment on Galileo and EG OS and European leadership in downstream applications

European satellite navigation systems, EG OS and Galileo, are strategic investment of Europe and development of innovative downstream applications is necessary to obtain their socio-economic benefits. Professional applications such as precision agriculture, geodesy, timing and synchronization need to leverage EG OS and Galileo, in synergy with Earth observation services, to secure European industry

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leadership.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 133 2.A CCESS TO RISK FINANCE 2.A CCESS TO RISK FINANCE 2.A CCESS TO RISK FINANCE

2.1. S PECIFIC OBJECTIVE 2.1. S PECIFIC OBJECTIVE 2.1. S PECIFIC OBJECTIVE The specific objective is to help no change] The specific objective is to help remedy market deficiencies in remedy address market deficiencies accessing risk finance for research in accessing risk finance for research and innovation. and innovation.

The investment situation in the [no change] The investment situation in the research and innovation (R&I) domain research and innovation (R&I) domain is dire, particularly for innovative is dire, particularly for innovative SMEs and mid-caps with a high SMEs and mid-caps with a high potential for growth. There are several potential for growth. There are several major market gaps in the provision of major market gaps in the provision of finance, as the innovations required to finance, as the innovations required to achieve policy goals are proving too achieve policy goals are proving too risky, typically, for the market to bear. risky, typically, for the market to bear

and therefore the wider benefits to society are not fully captured.

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A facility for debt ('Debt facility') and [no change] A facility for debt ('Debt facility') and a facility for equity ('Equity facility') a facility for equity ('Equity facility') will help overcome such problems by will help overcome such problems by improving the financing and risk improving the financing and risk profiles of the R&I activities profiles of the R&I activities concerned. This, in turn, will ease concerned. This, in turn, will ease access by firms and other beneficiaries access by firms and other beneficiaries to loans, guarantees and other forms of to loans, guarantees and other forms of risk finance; promote early-stage risk finance; promote early-stage investment and the development of investment and the development of new venture capital funds; improve existing and new venture capital knowledge transfer and the market in funds; improve knowledge transfer and intellectual property; attract funds to the market in intellectual property; the venture capital market; and, attract funds to the venture capital overall, help catalyse the passage from market; and, overall, help catalyse the the conception, development and passage from the conception, demonstration of new products and development and demonstration of services to their commercialisation. new products and services to their

commercialisation.

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The overall effect will be to increase [no change] The overall effect will be to increase the willingness of the private sector to the willingness of the private sector to invest in R&I and hence contribute to invest in R&I and hence contribute to reaching a key Europe 2020 target: 3 reaching a key Europe 2020 target: 3 % of Union GDP invested in R&D by % of Union GDP invested in R&D by the end of the decade. The use of the end of the decade with two-thirds financial instruments will also help contributed by the private sector. achieve the R&I objectives of all The use of financial instruments will sectors and policy areas crucial for also help achieve the R&I objectives of tackling societal challenges (such as all sectors and policy areas crucial for climate change, energy and resource tackling the societal challenges (such efficiency, global food security, as climate change, energy and resource healthcare provision and an ageing efficiency, global food security, population), for enhancing healthcare provision and an ageing competitiveness, and for supporting population), for enhancing sustainable, inclusive growth and the competitiveness, and for supporting provision of environmental and other sustainable, inclusive growth and the public goods. provision of environmental and other

public goods.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

2.2. Rationale and Union added 2.2. Rationale and Union added 2.2. Rationale and Union added value value value

A Union-level Debt facility for R&I is [no change] [no change] needed to increase the likelihood that loans and guarantees are made and

R&I policy objectives achieved. The current gap in the market between the demand for and supply of loans and guarantees for risky R&I investments, addressed by the current Risk-Sharing

Finance Facility (RSFF), is likely to persist, with commercial banks remaining largely absent from higherrisk lending. Demand for RSFF loan finance has been high since the launch of the facility in mid-2007: in its first phase (2007-2010), its take-up exceeded initial expectations by more than 50 % in terms of active loan approvals (EUR 7.6 billion versus a forecast EUR 5 billion).

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Furthermore, banks typically lack the Furthermore, banks typically lack the [no change] ability to value knowledge assets, such ability to value knowledge assets, such as intellectual property, and therefore as intellectual property, and therefore are often unwilling to invest in are often unwilling to invest in knowledge-based companies. The knowledge-based companies. The consequence is that many established consequence is that many established innovative companies — both large innovative companies both large and and small — cannot obtain loans for small cannot obtain loans for higherhigher-risk R&I activities. risk R&I activities. The European

Investment Bank, managing the Debt facility on behalf of the Commission, will have the mandate to lend to projects carrying a high technological risk and not merely to offer belowmarket-rate loans to projects with a low technological risk. This mandate, however, will be subject to portfolio and project risk management criteria and appropriate risk return criteria and oversight adapted to the objectives pursued.

Finance in the form of unsecured loans will be available.

These market gaps stem, at root, from [no change] [no change] uncertainties, information asymmetries and the high costs of attempting to address these issues: recently established firms have too short a track record to satisfy potential lenders, even established firms often cannot provide enough information, and at the start of an R&I investment, it is not at all certain whether the efforts undertaken will actually result in a successful innovation.

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This problem also particularly affects the processes for transferring knowledge and technology between the sphere of public research, carried out in universities and research centres, and business, where validation is required, in the form of the corresponding proof of concept, to demonstrate the innovatory potential that the knowledge and technology to be transferred will bring to the market.

Additionally, enterprises at the concept [no change] [no change] development stage or working in emerging areas typically lack sufficient collateral. Another disincentive is that even if R&I activities give rise to a commercial product or process, it is not at all certain that the company that has made the effort will be able to exclusively appropriate the benefits deriving from it.

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In terms of Union added value, the [no change] [no change]

Debt facility will help remedy market deficiencies that prevent the private sector from investing in R&I at an optimum level. Its implementation will enable the pooling of a critical mass of resources from the Union budget and, on a risk-sharing basis, from the financial institution(s) entrusted with its implementation. It will stimulate firms to invest more of their own money in R&I than they would otherwise have done. In addition, the

Debt facility will help organisations, both public and private, to reduce the risks of undertaking the precommercial procurement or procurement of innovative products and services.

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A Union-level Equity facility for R&I [no change] [no change] is needed to help improve the availability of equity finance for early and growth-stage investments and to boost the development of the Union venture capital market. During the technology transfer and start-up phase, new companies face a 'valley of death' where public research grants stop and it is not possible to attract private finance. Public support aiming to leverage private seed and start-up funds to fill this gap is currently too fragmented and intermittent, or its management lacks the necessary expertise. Furthermore, most venture capital funds in Europe are too small to support the continued growth of innovative companies and do not have the critical mass to specialise and operate transnationally.

The consequences are serious. Before [no change] [no change] the financial crisis, the amount invested in SMEs by European venture capital funds was about EUR 7 billion a year, while figures for 2009 and 2010 were within the EUR 3-4 billion range.

Reduced funding for venture capital has affected the number of start-ups targeted by venture capital funds: in

2007, some 3 000 SMEs received venture capital funding, compared to only around 2 500 in 2010.

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In terms of Union added value, the [no change] In terms of Union added value, the

Equity facility for R&I will Equity facility for R&I will complement national schemes that complement national and regional cannot cater for cross-border schemes that cannot cater for crossinvestments in R&I. The early-stage border investments in R&I. The earlydeals will also have a demonstration stage deals will also have a effect that can benefit public and demonstration effect that can benefit private investors across Europe. For public and private investors across the growth phase, only at European Europe. For the growth phase, only at level is it possible to achieve the European level is it possible to achieve necessary scale and the strong the necessary scale and the strong participation of private investors that participation of private investors that are essential to the functioning of a are essential to the functioning of a self-sustaining venture capital market. self-sustaining venture capital market.

The Debt and Equity facilities, The Debt and Equity facilities, [no change] supported by a set of accompanying supported by a set of accompanying measures, will support the achievement measures, will support the achievement of Horizon 2020's policy objectives. of Horizon 2020s policy objectives.

To this end, they will be dedicated to To this end, they will be dedicated to consolidating and raising the quality of consolidating and raising the quality of

Europe's science base; promoting Europe's science base; promoting research and innovation with a research and innovation with a business-driven agenda; and business-driven agenda; and addressing societal challenges, with a addressing societal challenges, with a focus on activities such as piloting, focus on activities such as piloting, demonstration, test-beds and market demonstration, test-beds and market uptake. uptake. Specific support actions such

as information and coaching activities for SMEs should be provided. Regional authorities, SMEs associations, chambers of commerce and financial intermediaries should be involved in the programming and implementation of these activities.

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In addition, they will help tackle the [no change] [no change]

R&I objectives of other programmes and policy areas, such as the Common

Agricultural Policy, climate action

(transition to a low-carbon economy and adaptation to climate change), and the Common Fisheries Policy.

Complementarities with national and regional financial instruments will be developed in the context of the

Common Strategic Framework for

Cohesion Policy, where an increased role for financial instruments is foreseen.

Their design takes account of the need [no change] Their design takes account of the need to address the specific market to address the specific market deficiencies, characteristics (such as deficiencies, characteristics (such as degree of dynamism and rate of degree of dynamism and rate of company creation) and financing company creation) and financing requirements of these and other areas. requirements of these and other areas Budgetary allocations between the without creating market distortions. instruments may be adapted during the The use of financial instruments course of Horizon 2020 in response to must have a clear European addedchanging economic conditions. value and should provide leverage

and function as a complement to national instruments. Budgetary allocations between the instruments may be adapted during the course of Horizon 2020 in response to changing economic conditions.

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The Equity facility and the SME [no change] The Equity facility and the SME window of the Debt facility will be window of the Debt facility will be implemented as part of two EU implemented as part of two EU Financial Instruments that provide Financial Instruments that provide equity and debt to support SMEs' R&I equity and debt to support SMEs' R&I and growth, in conjunction with the and growth, in conjunction with the equity and debt facilities under the equity and debt facilities under the Programme for the Competitiveness of Programme for the Competitiveness of Enterprises and SMEs. Enterprises and SMEs. (COSME).

Complementarity between the Horizon 2020 and the COSME Programmes will be ensured.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

2.3. Broad lines of the activities 2.3. Broad lines of the activities 2.3. Broad lines of the activities (a) The Debt facility providing debt [no change] [no change] finance for R&I: 'Union loan & guarantee service for research and innovation'

The goal is to improve access to debt The goal is to improve access to debt [no change] financing — loans, guarantees, financing loans, guarantees, countercounter-guarantees and other forms of guarantees and other forms of debt and debt and risk finance — for public and risk finance for public and private private entities and public-private entities and public-private partnerships partnerships engaged in research and engaged in research and innovation innovation activities requiring risky activities requiring risky investments investments in order to come to in order to come to fruition. The focus fruition. The focus shall be on shall be on supporting research and supporting research and innovation innovation with a high risk, but also a with a high potential for excellence. high potential for excellence. Focus

shall be more on the risk related to the project than on the risk related to the company especially for SMEs. In the interests of ensuring critical mass and a whole-innovation-chain approach, they will preferentially target activities resulting from other actions funded under Horizon 2020, including support to Phase 3 of the new dedicated SME instrument.

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Given that one of the objectives of Horizon 2020 is to contribute to narrowing the gap between R&D and innovation, helping to bring new or improved products and services to the market, and taking into account the critical role that the proof-of-concept stage plays in the knowledge transfer process, mechanisms will be introduced enabling financing for the proof-of-concept stages that are necessary in order to validate the importance, relevance and future innovatory impact of the research results or invention involved in the transfer.

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The target final beneficiaries shall [no change] [no change] potentially be legal entities of all sizes that can borrow and repay money and, in particular, SMEs with the potential to carry out innovation and grow rapidly; mid-caps and large firms; universities and research institutes; research infrastructures and innovation infrastructures; public-private partnerships; and special-purpose vehicles or projects.

The funding of the Debt facility shall [no change] [no change] have two main components:

(1) Demand-driven, providing loans (1) Demand-driven, providing loans [no change] and guarantees on a first-come, firstand guarantees on a first-come, firstserved basis, with specific support for served basis, with specific support for beneficiaries such as SMEs and midbeneficiaries such as SMEs and midcaps. This component shall respond to caps. This component shall respond to the steady and continuing growth seen the steady and continuing growth seen in the volume of RSFF lending, which in the volume of RSFF lending, which is demand-led. Under the SME is demand-led. Under the SME window, activities shall be supported window, activities shall be supported that aim to improve access to finance that aim to improve access to finance for SMEs and other entities that are for SMEs and other entities that are

R&D- and/or innovation-driven. R&D- and/or innovation-driven, such as IP-backed finance or the use of

intangible assets as collateral.

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(2) Targeted, focusing on policies and [no change] (2) Targeted, focusing on policies and key sectors crucial for tackling societal key sectors crucial for tackling societal challenges, enhancing competitiveness, challenges, enhancing industrial supporting sustainable, low-carbon, leadership and competitiveness, inclusive growth, and providing supporting sustainable, low-carbon, environmental and other public goods. inclusive growth, and providing

This component shall help the Union environmental and other public goods. address research and innovation This component shall help the Union aspects of sectoral policy objectives. address research and innovation

aspects of sectoral policy objectives.

(b) The Equity facility providing [no change] [no change] equity finance for R&I: 'Union Equity

Instruments for research and innovation'

The goal is to contribute to [no change] [no change] overcoming the deficiencies of the

European venture capital market and provide equity and quasi-equity to cover the development and financing needs of innovating enterprises from the seed stage through to growth and expansion. The focus shall be on supporting the objectives of Horizon

2020 and related policies.

The target final beneficiaries shall be [no change] [no change] potentially enterprises of all sizes undertaking or embarking on innovation activities, with a particular focus on innovative SMEs and midcaps.

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The Equity facility will focus on early The Equity facility will focus on early The Equity facility will focus on earlystage venture capital funds providing stage venture capital funds providing stage venture capital funds and fundsventure capital and quasi-equity venture capital and quasi-equity of-funds providing venture capital and (including mezzanine capital) to (including mezzanine capital) to earlyquasi-equity (including mezzanine individual portfolio enterprises. The stage, individual portfolio enterprises. capital) to individual portfolio facility will also have the possibility to The facility will also have the enterprises. The facility will also have make expansion and growth-stage possibility to make expansion and the possibility to make expansion and investments in conjunction with the growth-stage investments in growth-stage investments in

Equity Facility for Growth under the conjunction with the Equity Facility conjunction with the Equity Facility

Programme for the Competitiveness of for Growth under the Programme for for Growth under the Programme for

Enterprises and SMEs, to ensure a the Competitiveness of Enterprises and the Competitiveness of Enterprises and continuum of support during the start SMEs, to ensure a continuum of SMEs, to ensure a continuum of up and development of companies. support during the start up and support during the start up and

development of companies. development of companies.

The equity facility, which will be [no change] [no change] primarily demand-driven, shall use a portfolio approach, where venture capital funds and other comparable intermediaries select the firms to be invested in.

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Earmarking may be applied to help Earmarking may shall be applied to [no change] achieve particular policy goals, help achieve particular policy goals, building on the positive experience in building on the positive experience in the Competitiveness and Innovation the Competitiveness and Innovation

Framework Programme with Framework Programme with earmarking for eco-innovation. earmarking for eco-innovation, in

particular for achieving goals related to the identified societal challenges.

The proof-of-concept window shall support knowledge and technology transfer processes at the stages prior to the industry uptake phase, with the aim of verifying and, where appropriate, increasing the innovatory market impact of the transfer, thereby reducing the uncertainty and risks inherent in transferring research results and inventions stemming from the sphere of public research to the productive sector.

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The start-up window, supporting the The start-up window, supporting the The start-up window, supporting the seed and early stages, shall enable seed and early stages, shall enable seed and early stages, shall enable equity investments in, amongst others, equity investments in, amongst others, equity investments in, amongst others, knowledge-transfer organisations, seed knowledge-transfer organisations, seed knowledge-transfer organisations, seed capital funds, cross-border seed funds, capital funds, cross-border seed and capital funds, cross-border seed funds, business angel co-investment vehicles, early-stage funds, business angel cobusiness angel co-investment vehicles, intellectual property assets, platforms investment vehicles, intellectual intellectual property assets, platforms for the exchange and trading of property assets, platforms for the for the exchange and trading of intellectual property rights, and earlyexchange and trading of intellectual intellectual property rights, and earlystage venture capital funds. property rights, and early-stage venture stage venture capital funds and fundscapital

funds and funds of start-up of-funds operating across borders funds for cross-border activities, and investing in venture capital possibly combined with the Equity funds. Facility for Growth (EFG) under the Programme for the Competitiveness of Enterprises and SMEs.

The growth window shall make The growth window shall make [no change] expansion and growth-stage expansion and growth-stage investments in conjunction with the investments in conjunction with the

Equity Facility for Growth under the Equity Facility for Growth under the

Programme for the Competitiveness of Programme for the Competitiveness of

Enterprises and SMEs, including Enterprises and SMEs EFG, including investments in funds-of-funds investments in private and public operating across borders and investing sector funds-of-funds operating across in venture capital funds, most of which borders and investing in venture capital will have a thematic focus that funds, most of which will have a supports the goals of Europe 2020. thematic focus that supports the goals

of Europe 2020.

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AMD 134 (paragraph 7 a (new)) In the light of the extremely difficult situation in the European venture capital market, and given the urgency involved, it ought to be possible to set up a fund of venture capital funds on a pilot basis by the start of the forthcoming 2014-2020 budgetary period. AMD 135 (paragraph 7 b (new) The Equity facility providing equity finance shall be operated in conjunction with the EFG as a single, integrated EU instrument to provide enterprises with venture capital funding for innovation and growth from the seed phase through to the growth phase.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 136 3. Innovation in Small and Medium 3. Innovation in Small and Medium 3. Innovation in Small and Medium

Sized Enterprises Sized Enterprises Sized Enterprises

3.1 Specific objective 3.1 Specific objective 3.1 Specific objective

The specific objective is to stimulate The specific objective is to stimulate [no change] growth by means of increasing the sustainable economic growth by levels of innovation in SMEs, means of increasing the levels of covering their different innovation innovation in SMEs, covering their needs over the whole innovation different innovation needs over the cycle for all types of innovation, whole innovation cycle for all types thereby creating more fast-growing, of innovation, thereby creating more internationally active SMEs. fast-growing, internationally active

SMEs.

Considering the central role of SMEs [no change] [no change] in Europe’s economy, research and innovation in SMEs will play a crucial role in increasing competitiveness, boosting economic growth and job creation and thus in achieving the objectives of Europe 2020 and notably its flagship initiative Innovation Union.

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However, SMEs have – despite their However, SMEs have – despite their However, SMEs have – despite their important economic and employment important economic and employment important economic and employment share and significant innovation share and significant innovation share and significant innovation potential – size-related problems to potential – size-related several types of potential – size-related problems to become more innovative and more problems to become more innovative become more innovative and more competitive. Although Europe and more competitive including competitive. Although Europe produces a similar number of start-up shortage of financial resources and produces a similar number of start-up companies than the United States of access to finance, shortage in skills in companies than to the United States of America, European SMEs are finding innovation management, weaknesses America, European SMEs are finding it much harder to grow into large in networking and cooperation with it much harder to grow into large companies than their US counterparts. external parties and insufficient use companies than their US counterparts. The internationalised business of public procurement to foster The internationalised business environment with increasingly innovation in SMEs. Although Europe environment with increasingly interlinked value chains puts further produces a similar number of start-up interlinked value chains puts further pressure on them. SMEs need to companies than the United States of pressure on them. SMEs need to enhance their innovation capacity. America, European SMEs are finding enhance their innovation capacity. They need to generate, take up and it much harder to grow into large They need to generate, take up and commercialise new knowledge and companies than their US counterparts. commercialise new knowledge and business ideas faster and to a greater The internationalised business business ideas faster and to a greater extent to compete successfully on fast environment with increasingly extent to compete successfully on fast evolving global markets. The challenge interlinked value chains puts further evolving global markets. The challenge is to stimulate more innovation in pressure on them. SMEs need to is to stimulate more innovation in SMEs, thereby enhancing their enhance their research and innovation SMEs, thereby enhancing their competitiveness and growth. capacity. They need to generate, take competitiveness and growth.

up and commercialise new knowledge and business ideas faster and to a greater extent to compete successfully on fast evolving global markets. The challenge is to stimulate more innovation in SMEs, thereby enhancing their competitiveness and growth sustainability.

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The proposed actions aim to The proposed actions aim to The proposed actions aim to complement national and regional complement national and regional complement national and regional business innovation policies and business innovation policies and business innovation policies and programmes, to foster cooperation programmes, to foster cooperation programmes, to foster cooperation between SMEs and other innovationbetween SMEs and other innovationbetween SMEs, including relevant actors, to bridge the gap relevant actors, to bridge the gap transnational cooperation, clusters between research/development and between research/development and and other innovation-relevant actors in successful market uptake, to provide a successful market uptake, to provide a Europe, to bridge the gap between more business innovation friendly more business innovation friendly research/development and successful environment, including demand-side environment, including demand-side market uptake, to provide a more measures, and support taking into measures and other measures geared business innovation friendly account the changing nature of to boosting the transfer of knowledge environment, including demand-side innovation processes, new carried out in the public sphere and measures, and support taking into technologies, markets and business support taking into account the account the changing nature of models. changing nature of innovation innovation processes, new

processes, new technologies, markets technologies, markets and business and business models. models.

Strong links with industry-specific [no change] [no change]

Union policies, notably the Programme for the Competitiveness of Enterprises and SMEs and Cohesion Policy funds, will be established to ensure synergies and a coherent approach.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

3.2. Rationale and Union added 3.2. Rationale and Union added 3.2. Rationale and Union added value value value

SMEs are key drivers of innovation [no change] SMEs are key drivers of innovation thanks to their ability to quickly and thanks to their ability to quickly and efficiently transform new ideas in efficiently transform new ideas in successful businesses. They serve as successful businesses. They serve as important conduits of knowledge spillimportant conduits of knowledge spillover bringing research results to the over bringing research results to the market. The last twenty years have market. The last twenty years have shown that entire sectors have been shown that entire sectors have been renewed and new industries created renewed and new industries created driven by innovative SMEs. Fast driven by innovative SMEs. Fast growing enterprises are crucial for the growing enterprises are crucial for the development of emerging industries development of emerging industries and for the acceleration of the and for the acceleration of the structural changes that Europe needs to structural changes that Europe needs to become a knowledge based and low become a knowledge based and low carbon economy with sustained growth carbon sustainable economy with and high quality jobs. sustained growth and high quality jobs.

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SMEs can be found in all sectors of the SMEs can be found in all sectors of the [no change] economy. They form a more important economy. They form a more important part of the European economy than of part of the European economy than of other regions such as the United States other regions such as the United States of America. All types of SMEs can of America. All types of SMEs can innovate. They need to be encouraged innovate. They need to be encouraged and supported to invest in research and and supported to invest in research and innovation. In doing so they should be innovation and also to enhance their able to draw on the full innovative capacity to manage innovation potential of the internal market and the processes. In doing so they should be ERA so as to create new business able to draw on the full innovative opportunities in Europe and beyond potential of the internal market and the and to contribute to find solutions to ERA so as to create new business key societal challenges. opportunities in Europe and beyond

and to contribute to find solutions to key societal challenges.

Participation in Union research and Participation in Union research and [no change] innovation strengthens the R&D and innovation strengthens the R&D and technology capability of SMEs, technology capability of SMEs, increases their capacity to generate, increases their capacity to generate, absorb and use new knowledge, absorb and use new knowledge, enhances the economic exploitation of enhances the economic exploitation of new solutions, boosts innovation in new solutions, boosts innovation in products, services and business products, services and business models, promotes business activities in models, promotes business activities in larger markets and internationalises the larger markets and internationalises the knowledge networks of SMEs. SMEs knowledge networks of SMEs. SMEs that have a good innovation that have a good innovation management in place, thereby often management in place, thereby often relying on external expertise and skills, relying on external expertise and skills, outperform others. outperform others. SMEs also have a

key role to play as recipients of technology and knowledge transfer processes, contributing to the market transfer of innovations stemming from the research carried out in universities, public research bodies

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and research performing SMEs.

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Cross-border collaborations are an Cross-border collaborations are an [no change] important element in the innovation important element in the innovation strategy of SMEs to overcome some of strategy of SMEs to overcome some of their size-related problems, such as their size-related problems, such as access to technological and scientific access to technological and scientific competences and new markets. They competences and new markets. They contribute to turn ideas into profit and contribute to turn ideas into profit and company growth and in return to company growth and in return to increase private investment in research increase private investment in research and innovation. and innovation. Training and

technology transfer to SMEs can be key components in increasing their competitiveness and innovation potential.

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Regional and national programmes for [no change] [no change] research and innovation, often backed by European cohesion policy, play an essential role in promoting SMEs. In particular, Cohesion Policy funds have a key role to play through building capacity and providing a stairway to excellence for SMEs in order to develop excellent projects that may compete for funding under Horizon

2020. Nevertheless, only a few national and regional programmes provide funding for transnational research and innovation activities carried out by SMEs, the Union-wide diffusion and uptake of innovative solutions or cross-border innovation support services. The challenge is to provide SMEs with thematically open support to realise international projects in line with companies’ innovation strategies. Actions at Union level are therefore necessary to complement activities undertaken at national and regional level, to enhance their impact and to open up the research and innovation support systems.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

3.3. Broad lines of the activities 3.3. Broad lines of the activities 3.3. Broad lines of the activities (a) Mainstreaming SME support (a) Mainstreaming Support to SMEs [no change]

through a dedicated SME support Instrument

SMEs shall be supported across SMEs shall be supported across SMEs shall be supported across

Horizon 2020. For this purpose a Horizon 2020. For this purpose A Horizon 2020. For this purpose, to dedicated SME instrument shall dedicated SME instrument shall participate in Horizon 2020, better provide staged and seamless support provide staged and seamless support conditions for SMEs shall be covering the whole innovation cycle. covering the whole innovation cycle. established. In addition, a dedicated The SME instrument shall be targeted The SME instrument shall be targeted SME instrument shall provide staged at all types of innovative SMEs at all types of innovativeon in SMEs and seamless support covering the showing a strong ambition to develop, showing a strong ambition to develop, whole innovation cycle. The SME grow and internationalise. It shall be grow, and internationalise and instrument shall be targeted at all types provided for all types of innovation, innovate, with a particular focus on of innovative SMEs showing a strong including service, non-technological start-ups, spin-offs and fast growing ambition to develop, grow and and social innovations. The aim is to SMEs. The SMEs will be the main internationalise. It shall be provided develop and capitalise on the applicant, but will be encouraged to for all types of innovation, including innovation potential of SMEs by filling cooperate with research institutes and service, non-technological and social the gap in funding for early stage high other companies. It shall be provided innovations., given each activity has a risk research and innovation, for all types of innovation, including clear European added-value. The stimulating innovations and increasing service, non-technological and social aim is to develop and capitalise on the private-sector commercialisation of innovations, given each activity has a innovation potential of SMEs by filling research results. clear Union added-value. The aim is the gap in funding for early stage high

to develop and capitalise on the risk research and innovation, innovation potential of SMEs by filling stimulating innovations and increasing the gap in funding for early stage high private-sector commercialisation of risk research and innovation, research results. stimulating innovations and increasing private-sector commercialisation of research results. The instrument will provide a quality label for successful SMEs in view of their participation in public procurement.

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The instrument will operate under a single management structure, light administrative regime and a single entry point. It shall be implemented in a bottom-up logic with open calls.

Dedicated innovation support services for the SMEs participating in the SME instrument will be implemented, building on existing structures such as the Enterprise Europe etwork and other innovation service providers and mentoring/coaching schemes.

All of the specific objectives on All of the specific objectives on [no change] societal challenges and on leadership societal challenges and on leadership in enabling and industrial technologies in enabling and industrial technologies will apply the dedicated SME will apply the dedicated SME instrument and will allocate an amount instrument and will allocate an amount for this. for this. This instrument shall create

the necessary flexibility to allow for the integration of SMEs at project runtime and for limited shorter-thanproject timeframes into research projects.

The SME instrument may also serve as an instrument for pre-commercial procurement or procurement of innovative solutions

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(b) Support for research intensive [no change] [no change]

SMEs

The goal is to promote market-oriented [no change] The goal is to promote transnational innovation of R&D performing SMEs. market-oriented innovation of R&D A specific action shall target research performing SMEs. A specific action intensive SMEs in high-technology shall target research intensive SMEs in sectors that show the capability to high-technology any sectors that show commercially exploit the project the capability to commercially exploit results. the project results. This action will be

built on the Eurostars Programme.

(c) Enhancing the innovation capacity (c) Mainstreaming SME support and [no change] of SMEs enhancing the innovation capacity of

SMEs

Activities assisting the implementation SMEs shall be supported throughout Transnational activities assisting the and complementing the SME specific Horizon 2020. For this purpose, implementation and complementing measures across Horizon 2020 shall be activities assisting the implementation the SME specific measures across supported, notably to enhance the and complementing the SME specific Horizon 2020 shall be supported, innovation capacity of SMEs. measures across Horizon 2020 and notably to enhance the innovation

creating better conditions for SMEs capacity of SMEs. These activities shall be supported, notably to enhance shall be coordinated with similar the innovation capacity of SMEs, national measures when including by providing funding for appropriate. Close cooperation with European applied research institutes the National Contact Point (NCP) to work on projects agreed with Network and the Enterprise Europe individual SMEs. Network (EEN) is envisaged.

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(d) Supporting market-driven [no change] [no change] innovation

Supporting market-driven innovation Supporting market-driven innovation Supporting transnational marketto improve the framework conditions to improve the framework conditions driven innovation to improve the for innovation and tackling the specific for innovation, and tackling the framework conditions for innovation barriers preventing, in particular, the specific barriers preventing, in and tackling the specific barriers growth of innovative SMEs. particular, the growth of innovativeon preventing, in particular, the growth of

in SMEs, and introducing an innovative SMEs. innovation clause enabling the selection of SMEs proposing innovative products.

(da) Supporting the transfer of knowledge and technology between public research and the market

Supporting the transfer processes between the sphere of public research and innovatory SMEs, as an effective mechanism for the market transfer of research results and inventions generated by universities, research centres and research performing SMEs.

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PART III: SOCIETAL CHALLENGES

AMD 137

(point -1(new))

-1. Science with and for society : A cross-cutting Challenge

-1.1. Specific objective

The specific objective is to build an effective cooperation between science and society, to recruit new talent for science and to pair scientific excellence with social awareness and responsibility.

Rapid advances in contemporary scientific research and innovation have led to a rise of important ethical, legal and social issues that require a reinforced relationship and engagement between science and society.

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Finding the right answers to the challenges Europe is facing requires the involvement of as many diverse actors as possible in the research and innovation process. Traditionally, interaction between science and society has been limited to a one-way, top-down, transfer of knowledge from experts to citizens. Advancing towards an open, effective and democratic knowledge-based society requires a change to a more bidirectional dialogue and active cooperation beyond traditional science education or the current conception of citizens as mere consumers of research findings. This dialogic relationship and active cooperation will undoubtedly allow science and innovation to proceed more responsibly.

The Union needs all its talents to boost its competitive edge in a global economy. To meet the 1 million net additional researchers needed in Europe by 2020 to reach the objective of a R&D intensity of 3% of GDP the Union needs its young people to pursue a career in science and it needs a diverse and gender-balanced workforce.

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Yet it has been increasingly difficult to attract a higher proportion of young people to science and technology and there is a growing concern in Europe that many talented young people do not opt for a career in these domains. In addition, it is also necessary to ensure that people who have embarked on a scientific or technological career can retain their enthusiasm and motivation and have opportunities for personal development, without having to abandon their disciplines.

There is also a clear gender imbalance in science. If Europe wants to make sure it funds an effective and efficient research and innovation programme, special attention needs to be paid to the under-representation of women in science and the lack of consideration to gender differences within research and innovation.

-1.2. Rationale and Union added value

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Improving the cooperation between science and society to enable a widening of the social and political support to science and to technology in all Member States is increasingly a crucial issue that the current economic crisis has greatly exacerbated. In democratic societies, priority to public investment in science requires a vast social and political constituency sharing the values of science, educated in its processes and able to recognise its contributions to knowledge, to society and to economic progress.

This can only be achieved if a fruitful and rich dialogue and active cooperation between science and society is developed to ensure a more responsible science and to enable the development of policies more relevant to citizens.

Moreover, promoting in such an interactive way a scientific culture in Europe will strengthen democratic values and will help increasing the interest in science and technology. The strength of the European science and technology system depends on its capacity to harness talent and ideas from wherever they exist.

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-1.3. Broad lines of the activities

Measures should aim at attracting new talent to the study of science and technology in European societies and bridging the gender gap in human resources working in research in the Union. Increasing our capacity to incorporate science and technological knowledge and methods in decisionmaking processes, developing mechanisms allowing for the broadening and deepening of the social appraisal of scientific options and making sure ethical and social values are taken on board in the whole innovation process will also be supported.

The focus of activities shall be to:

(a) make scientific and technological careers attractive to young students, and foster sustainable interaction between schools, research institutions, industry and civil society organisations;

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(b) promote gender equality in both its dimensions by supporting changes in: (i) the organisation of research institutions and (ii) the design of research programmes. This encompasses its various dimensions relating in particular to: ensuring equality in research careers, decisionmaking and including the gender dimension in the research and innovation content;

(c) integrate society in science and innovation issues in order to integrate citizens' interests and values and to increase the quality, relevance, acceptability and sustainability of the research and innovation outcomes;

(d) encourage citizens to engage in science through formal and informal science education, and promote the diffusion of science-based activities, namely in science centres and other appropriate channels;

(e) enhance the open access to scientific results and data in order to augment scientific excellence and economic competitiveness;

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(f) develop the governance for the development of responsible research and innovation by all stakeholders (researchers, public authorities, industry and civil society organisations), which is sensitive to society needs and demands; promote an ethics framework for research and innovation;

(g) improve knowledge on science communication in order to improve the quality and effectiveness of interactions between scientists, general media and the public.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 138 1. Health, demographic change and 1. Health, demographic change and 1. Health, demographic change and

wellbeing wellbeing wellbeing 1.1. Specific objective 1.1. Specific objective 1.1. Specific objective

The specific objective is to improve [no change] [no change] the lifelong health and wellbeing of all.

Lifelong health and wellbeing for all, Lifelong health and wellbeing for all, Lifelong health and wellbeing for all, high-quality and economically high-quality and economically high-quality and, economically sustainable health and care systems, sustainable safe and secure health and sustainable and innovative health and and opportunities for new jobs and care systems ensuring social welfare, care systems, and opportunities for growth are the aims of support to and solutions to deal with the new jobs and growth are the aims of research and innovation in response to autonomy of an ageing population support to research and innovation in this challenge and will make a major and opportunities for new jobs and response to this challenge and will contribution to Europe 2020. growth are the aims of support to make a major contribution to Europe

research and innovation in response to 2020. this challenge and will make a major contribution to Europe 2020.

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The cost of Union health and social Eradicating inequalities in health is a The cost of Union health and social care systems is rising with care and major concern in Europe as they are care systems is rising with care and prevention measures in all ages on the increase while the cost of prevention measures in all ages increasingly expensive, the number of Union health and social care systems is increasingly expensive, the number of Europeans aged over 65 expected to rising with care and prevention Europeans aged over 65 expected to nearly double from 85 million in 2008 measures in all ages increasingly nearly double from 85 million in 2008 to 151 million by 2060, and those over expensive, the number of Europeans to 151 million by 2060, and those over 80 to rise from 22 to 61 million in the aged over 65 expected to nearly double 80 to rise from 22 to 61 million in the same period. Reducing or containing from 85 million in 2008 to 151 million same period. Reducing or containing these costs such that they do not by 2060, and those over 80 to rise from these costs such that they do not become unsustainable depends in part 22 to 61 million in the same period. become unsustainable depends in part on ensuring the lifelong health and Costs also result from discrimination on ensuring improving the lifelong wellbeing of all and therefore on the on the basis of disability and from the health and wellbeing of all and effective prevention, treatment and creation of physical and social therefore on the effective prevention, management of disease and disability. environments which are inaccessible treatment and management of disease

to persons with disabilities. Reducing and disability. or containing these costs such that they do not become unsustainable depends in part on informing people better and encouraging responsible health choices so as to optimise the lifelong health and wellbeing of all and therefore on the effective prevention, treatment and management of disease and disability. Incremental development, based solely on present knowledge, will not meet these needs; radical novel ideas and knowledge must be sought and implemented. Close collaboration between academia, industry, healthcare providers and regulatory agencies will be needed to meet the challenges.

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Chronic conditions such as Chronic conditions such as Chronic conditions such as cardiovascular disease (CVD), cancer, cardiovascular disease (CVD), cancer, cardiovascular disease (CVD), cancer, diabetes, neurological and mental diabetes, respiratory, rheumatic, diabetes, neurological and mental health disorders, overweight and musculoskeletal, neurodegenerative health disorders, overweight and obesity and various functional and autoimmune diseases, obesity and various functional limitations are major causes of neurological and mental health limitations and diseases are major disability, ill-health and premature disorders, overweight and obesity and causes of disability, ill-health and death, and present considerable social various functional limitations are health related retirement, premature and economic costs. major causes of disability, ill-health death, and present considerable social

and premature death, and present and economic costs. considerable social and economic costs. In the case of other conditions, in particular neurodegenerative diseases, if prevention strategies are to be effective a major boost will need to be given to etiological research and better early diagnosis and treatment options will need to be developed.

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In the Union, CVD annually accounts In the Union, CVD annually accounts In the Union, cardiovascular disease for more than 2 million deaths and for more than 2 million deaths and (CVD) annually accounts for more costs the economy more than EUR 192 costs the economy more than EUR 192 than 2 million deaths and costs the billion while cancer accounts for a billion while cancer accounts for a economy more than EUR 192 billion quarter of all deaths and is the number quarter of all deaths and is the number while cancer accounts for a quarter of one cause of death in people aged 45- one cause of death in people aged 45- all deaths and is the number one cause 64. Over 27 million people in the 64. Over 27 million people in the of death in people aged 45-64. Over 27 Union suffer from diabetes and the Union suffer from diabetes and over million people in the Union suffer total cost of brain disorders (including, 120 million from rheumatic and from diabetes and the total cost of but not limited to those affecting musculoskeletal conditions. The total brain disorders (including, but not mental health) has been estimated at cost of brain disorders (including, but limited to those affecting mental EUR 800 billion. Environmental, lifenot limited to those affecting mental health) has been estimated at EUR 800 style and socio-economic factors are health) has been estimated at EUR 800 billion. Environmental, occupational, relevant in several of these conditions billion. This figure will continue to life-style and socio-economic factors with up to one third of the global rise dramatically, largely as a result of are relevant in several of these disease burden estimated to be related Europe's ageing population and the conditions with up to one third of the to these. associated increases in global disease burden estimated to be

neurodegenerative diseases. related to these. Environmental, life-style and socioeconomic factors are relevant in several of these conditions with up to one third of the global disease burden estimated to be related to these. It is estimated that depression alone affects 165 million people in the Union, at a cost of EUR 118 000 million. For neurodegenerative diseases, amongst other conditions, effective prevention strategies will first require a considerable boost in research into their causes and the development of better early diagnosis and treatment options, including, where appropriate, personalised advanced therapies.

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Rare diseases remain a major challenge, affecting approx. 30 million people across Europe. Effective treatments can only be developed if member states cooperate, as the cases in any given member state are not enough for effective research to be done.

Diseases in children, including premature born children.

Children's health is a top priority for the European Union. As in the case of rare diseases, effective research and treatment can only be developed within the framework of a common European strategy.

Infectious diseases (e.g. HIV/AIDS, Infectious diseases (e.g. HIV/AIDS, Infectious diseases (e.g. HIV/AIDS, tuberculosis and malaria), are a global tuberculosis and, malaria and tuberculosis and malaria), are a global concern, accounting for 41 % of the neglected diseases), are a global concern, accounting for 41 % of the 1.5 billion disability adjusted life years concern, accounting for 41 % of the 1.5 billion disability adjusted life years worldwide, with 8 % of these in 1.5 billion disability adjusted life years worldwide, with 8 % of these in Europe. Emerging epidemics and the worldwide, with 8 % of these in Europe. Emerging epidemics and the threat of increasing anti-microbial Europe. Emerging epidemics, rethreat of increasing anti-microbial resistance must also be prepared for. emerging infectious diseases and the resistance must also be prepared for.

threat of increasing anti-microbial Increased risk for animal-borne resistance must also be prepared for. diseases should be considered. Of increasing concern are water related diseases.

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Meanwhile, drug and vaccine Meanwhile, drug and vaccine Meanwhile, drug and vaccine development processes are becoming development processes are becoming development processes are becoming more expensive and less effective. more expensive and less effective, and more expensive and less effective. Persistent health inequalities must be the validity of the underlying animal Persistent health inequalities must be addressed, and access to effective and tests for humans more and more addressed, and access to effective and competent health systems must be challenged. Persistent health competent health and care systems ensured for all Europeans. inequalities must be addressed (e.g. the must be ensured for all Europeans.

need for therapeutics in rare, neglected and auto-immune diseases is enormous), and access to effective and competent health systems must be ensured for all Europeans irrespective of their age or background.

Research should allow advanced therapies and cellular therapies that would be focused on the treatment of chronic and degenerative diseases to be improved.

Other factors such as nutrition, physical activity, wealth, inclusion, engagement, social capital, and work also affect health and well-being and a holistic approach must be taken. Due to higher life expectancy the age and population structure in Europe will change. Therefore, research furthering lifelong health, active ageing and wellbeing for all will be a cornerstone of the successful adaptation of societies to demographic change.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

1.2. Rationale and Union added 1.2. Rationale and Union added 1.2. Rationale and Union added value value value

Disease and disability are not stopped Disease and disability are not stopped Disease and disability are not stopped by national borders. An appropriate by national borders. An appropriate by national borders. An appropriate European level research and European level research and European level research, development innovation response can and should innovation response in partnership and innovation response effort with make a crucial contribution to with third countries can and should the involvement of stakeholders, addressing these challenges, deliver make a crucial contribution to patients and end-users can and better health and wellbeing for all, and addressing these global challenges, should make a crucial contribution to position Europe as a leader in the thereby working to achieve the addressing these challenges, deliver rapidly expanding global markets for Millennium Development Goals, better health and wellbeing for all, and health and wellbeing innovations. deliver better health and wellbeing for position Europe as a leader in the

all, prevent global pandemics, and rapidly expanding global markets for position Europe as a leader in the health and wellbeing innovations. rapidly expanding global markets for health and wellbeing innovations.

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The response depends on excellence in The response depends on excellence in The response depends on excellence in research to improve our fundamental research to improve our fundamental research to improve our fundamental understanding of health, disease, understanding of the determinants of understanding of the determinants of disability, development and ageing health, disease, disability, development health, disease, disability, healthy (including of life expectancy), and on and ageing (including of life employment conditions, development the seamless and widespread expectancy), and on the seamless and and ageing (including of life translation of the resulting and existing widespread translation of the resulting expectancy), and on the seamless and knowledge into innovative, scalable and existing knowledge into widespread translation of the resulting and effective products, strategies, innovative, scalable and effective and and existing knowledge into interventions and services. accessible, safe products, strategies, innovative, scalable and effective Furthermore, the pertinence of these interventions and services. products, strategies, interventions and challenges across Europe and in many Furthermore, the pertinence of these services. Furthermore, the pertinence cases, globally, demands a response challenges across Europe and in many of these challenges across Europe and characterised by long term and cases, globally, demands a response in many cases, globally, demands a coordinated support for co-operation characterised by long term and response characterised by long term between excellent, multidisciplinary coordinated support for co-operation and coordinated support for coand multi-sector teams. between excellent, multidisciplinary operation between excellent,

and multi-sector teams globally, multidisciplinary and multi-sector including research and development teams. It is also necessary to address capacity in endemic areas. It is also the challenge from the perspective of necessary to address the challenge the social and economic sciences and from the perspective of the social and humanities. economic sciences and humanities.

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Similarly, the complexity of the Similarly, the complexity of the Similarly, the complexity of the challenge and the interdependency of challenge and the interdependency of challenge and the interdependency of its components demand a European its components demand a European its components demand a European level response. Many approaches, tools level response. Many approaches, tools level response. Many approaches, tools and technologies have applicability and technologies have applicability and technologies have applicability across many of the research and across many of the research and across many of the research and innovation areas of this challenge and innovation areas of this challenge and innovation areas of this challenge and are best supported at Union level. are best supported at Union level. are best supported at Union level. These include the development of long These include understanding the These include the development of long term cohorts and the conduct of molecular basis of disease, the term cohorts and the conduct of clinical trials, the clinical use of "- identification of innovative clinical trials, the clinical use of "- omics" or the development of ICT and therapeutic strategies and novel omics", systems bio-medicine or the their applications in healthcare model systems, the multidisciplinary development of ICT and their practice, notably e-health. The application of knowledge in physics, applications in healthcare practice, requirements of specific populations chemistry and systems biology to notably e-health. The requirements of are also best addressed in an integrated health control, the development of specific populations are also best manner, for example in the long term cohorts and the conduct of addressed in an integrated manner, for development of stratified and/or clinical trials (which focus on the example in the development of personalised medicine, in the treatment developments and effects of medicines stratified and/or personalised medicine, of rare diseases, and in providing in all age groups), the clinical use of in the treatment of rare diseases, and in assisted and independent living "-omics" or the development of ICT providing assisted and independent solutions. and their applications in healthcare living solutions.

practice, notably e-health. The requirements of specific populations are also best addressed in an integrated manner, for example in the development of stratified and/or personalised medicine, in the treatment of poverty-related, neglected and rare diseases, and in providing assisted and independent living solutions.

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To maximise the impact of Union level To maximise the impact of Union level To maximise the impact of Union level actions, support will be provided to the actions, support will be provided to the actions, support will be provided to the full spectrum of research and full spectrum of research and full spectrum of research, innovation activities. From basic innovation activities. From basic development and innovation activities. research through translation of research through translation of From basic research through knowledge to large trials and fundamental knowledge on disease to translation of knowledge to large trials, demonstration actions, mobilising new therapeutics, to large trials and piloting and demonstration actions, private investment; to public and predemonstration actions, mobilising mobilising private investment; to commercial procurement for new private investment; to public and prepublic and pre-commercial products, services, scalable solutions, commercial procurement for new procurement for new products, which are when necessary, products, services, scalable solutions, services, scalable solutions, which are interoperable and supported by defined which are when necessary, when necessary, interoperable and standards and/or common guidelines. interoperable and supported by defined supported by defined standards and/or This co-ordinated, European effort will standards and/or common guidelines. common guidelines. This co-ordinated, contribute to the ongoing development In order to foster strategic European effort will contribute to the of the ERA. It will also interface, as coordination of health research and ongoing development of the ERA. It and when appropriate, with activities innovation across Horizon 2020 and will also interface, as and when developed in the context of the Health promote transnational medical appropriate, with activities developed for Growth Programme and the research, the corresponding Scientific in the context of the Health for Growth European Innovation Partnership on steering panels for Health will be Programme, the Joint Programming Active and Health Ageing. established. This coordination can be Initiatives, including

extended to other programmes and “Neurodegenerative Disease instruments related to this challenge. Research”, “A Healthy Diet for a This co-ordinated, European effort will Healthy Life”, “Antimicrobial increase the scientific and human resistance” and “More Years, Better capabilities in health research and Lives” and the European Innovation contribute to the ongoing development Partnership on Active and Healthy of the ERA. It will also interface, as Ageing. and when appropriate, with activities developed in the context of the Health for Growth Programme and the European Innovation Partnership on Active and Health Ageing.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

1.3. Broad lines of the activities 1.3. Broad lines of the activities 1.3. Broad lines of the activities Effective health promotion, supported Effective health promotion, supported Effective health promotion, supported by a robust evidence base, prevents by a robust evidence base, prevents by a robust evidence base, prevents disease, improves wellbeing and is cost disease, improves wellbeing and is cost disease, improves contributes to effective. Health promotion and effective. Health promotion and wellbeing and is cost effective. Health disease prevention also depend on an disease prevention, including promotion to contain costs. understanding of the determinants of occupational illnesses, also depend on Promotion of health, active ageing, health, on effective preventive tools, an understanding of the determinants wellbeing and disease prevention also such as vaccines, on effective health of health including socio-economic depend on an understanding of the and disease surveillance and status and gender, on effective determinants of health, on effective preparedness, and on effective preventive tools (such as vaccines and preventive tools, such as vaccines, on screening programmes. policy interventions targeting social effective health and disease

determinants and at risk groups) on surveillance and preparedness, and on effective health and disease effective screening programmes. surveillance and preparedness, and on effective screening programmes.

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Successful efforts to prevent, manage, Successful efforts to prevent, manage, Successful efforts to prevent, early treat and cure disease, disability and treat and cure disease, disability and detect, manage, treat and cure disease, reduced functionality are underpinned reduced functionality are underpinned disability, frailty and reduced by the fundamental understanding of by the fundamental understanding of functionality are underpinned by the their determinants and causes, their determinants and causes, fundamental understanding of their processes and impacts, as well as processes and impacts, as well as determinants and causes, processes and factors underlying good health and factors underlying good health and impacts, as well as factors underlying wellbeing. Effective sharing of data wellbeing. Effective sharing of data, good health and wellbeing. Improved and the linkage of these data with large standardised data processing and the understanding of health and disease scale cohort studies is also essential, as linkage of these data with large scale will demand close linkage between is the translation of research findings cohort studies is also essential, as is the fundamental, clinical, into the clinic, in particular through the translation of research findings into the epidemiological and socio-economic conduct of clinical trials. clinic, in particular including through research. Effective sharing of data and

the conduct of clinical trials, which the linkage of these data with large should address all age groups to scale cohort studies is also essential, as ensure that medicines are adapted to is the translation of research findings their use. into the clinic, in particular through the conduct of clinical trials.

Poverty related and neglected diseases are a global concern and research gaps must be addressed through creating innovation driven by patients' needs. The resurgence of old infectious diseases including tuberculosis in the European region, the increased prevalence of vaccinepreventable diseases in developed countries and the growing problem of anti-microbial resistance further underlines the need for a comprehensive approach and increased public support for R&D for those diseases that kill millions of people every year.

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Personalised medicine must be developed, in order to generate new preventive and therapeutic strategies which can be adjusted to patient requirements, so as to increase the prevention and early detection of diseases. The factors which influence therapeutic decision-making must be identified, further elucidated and developed through research.

An increasing disease and disability An increasing disease and disability An increasing disease and disability burden in the context of an aging burden together with problems of burden in It is a societal challenge to population places further demands on mobility and accessibility in the adjust to the context of an aging health and care sectors. If effective context of an aging population places population places further demands on health and care is to be maintained for further demands on health and care health and care sectors. due to the all ages, efforts are required to improve sectors. If effective health and care is ageing population. If effective health decision making in prevention and to be maintained for all ages, efforts and care is to be maintained for all treatment provision, to identify and are required to improve decision ages, efforts are required to improve support the dissemination of best making in prevention and treatment decision making in prevention and practice in the health and care sectors, provision, to identify and support the treatment provision, to identify and and to support integrated care and the dissemination of best practice in the support the dissemination of best wide uptake of technological, health and care sectors, and to support practice in the health and care sectors, organisational and social innovations integrated care and the wide uptake of and to support integrated care and. A empowering in particular older persons technological, organisational and better understanding of ageing as well as disabled persons to remain social innovations empowering in processes and the prevention of ageactive and independent. Doing so will particular older persons, persons with related illnesses are the basis for contribute to increasing, and chronic diseases as well as disabled keeping European citizens healthy lengthening the duration of their persons to remain active and and active throughout the course of physical, social, and mental wellindependent. Doing so will contribute their lives. Similarly important is the being. to increasing, and lengthening the wide uptake of technological,

duration of their physical, social, and organisational and social innovations

mental well-being. empowering in particular older persons

as well as disabled persons to remain

active, productive and independent.

Doing so will contribute to increasing,

and lengthening the duration of their

physical, social, and mental well_________________________________________________________________________________________________________________________

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being.

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All of these activities shall be All of these activities shall be [no change] undertaken in such a way as to provide undertaken in such a way as to provide support throughout the research and support throughout the research and innovation cycle, strengthening the for long term research programmes competitiveness of the European based that covers the full innovation cycle, industries and development of new strengthening the competitiveness of market opportunities. the European based industries and

development of new market opportunities. Emphasis will also be placed on engaging all health stakeholders – including patients and patient organisations – in order to develop a research and innovation agenda that actively involves citizens and reflects their needs and expectations.

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Specific activities shall include: Specific activities shall include: Specific activities shall include: understanding the determinants of understanding the determinants of understanding the determinants of health (including environmental and health (including food genetic, health (including nutrition, physical climate related factors), improving pathogen, environmental, and climate, activity, environmental, sociohealth promotion and disease social, gender and poverty related economic and occupational and prevention; understanding disease and factors), improving health promotion climate related factors), improving improving diagnosis; developing and disease prevention; understanding health promotion and disease effective screening programmes and the basis of disease and improving prevention; understanding disease and improving the assessment of disease diagnosis in different socio-economic improving diagnosis and prognosis; susceptibility; improving surveillance contexts; developing effective developing effective prevention and and preparedness; developing better screening programmes and improving screening programmes and improving preventive vaccines; using in-silico the assessment of disease the assessment of disease medicine for improving disease susceptibility; improving the susceptibility; improving surveillance management and prediction; treating surveillance of infectious diseases in and preparedness; developing better disease; transferring knowledge to the Union as well as in neighbouring preventive and therapeutic vaccines; clinical practice and scalable and developing countries and using in-silico medicine for improving innovation actions; better use of health preparedness for combating epidemics disease management and prediction; data; active ageing, independent and and emerging diseases; developing developing regenerative medicine assisted living; individual new and better preventive vaccines treating disease; transferring empowerment for self-management of and drugs; using in-silico medicine for knowledge to clinical practice and health; improving disease management and scalable innovation actions; improving

prediction; developing adapted health information and better use of treatments and treating disease; health data; active ageing, independent transferring knowledge to clinical and assisted living; individual practice and scalable innovation awareness and empowerment for selfactions; better collection and use of management of health; health cohort and administrative data; standardised data analysis techniques; healthy and active ageing, independent and assisted living; improving palliative medicine individual empowerment for selfmanagement of health;

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promotion of integrated care; promotion of integrated care, promotion of integrated care; improving scientific tools and methods including psychsocial aspects; improving scientific tools and methods to support policy making and improving scientific tools and methods to support policy making and regulatory needs; and optimising the to support policy making and regulatory needs; and optimising the efficiency and effectiveness of regulatory needs; and optimising the efficiency and effectiveness of healthcare systems and reducing efficiency and effectiveness of healthcare systems provision and inequalities by evidence based decision healthcare systems and reducing reducing inequalities by evidence making and dissemination of best health disparities and inequalities by based decision making and practice, and innovative technologies evidence based decision making and dissemination of best practice, and and approaches. dissemination of best practice, and innovative technologies and

innovative technologies and approaches. approaches. All of these activities shall properly account for gender and sex analysis. The activities shall take full advantage of the opportunities presented for a true interdisciplinary approach, combining knowledge from all seven challenges and the other pillars to ensure sustainable solutions within the domain. Active involvement of health care providers must be encouraged in order to secure rapid take-up and implementation of results.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 139 2. FOOD SECURITY, 2. Food quality, safety and security, 2. EUROPEAN BIOECONOMY SUSTAINABLE AGRICULTURE, sustainable agriculture and forestry, CHALLENGES: FOOD

MARINE AND MARITIME marine and maritime research and SECURITY, SUSTAINABLE RESEARCH AND THE BIO- the bio-ECO OMY based industries AGRICULTURE AND

ECONOMY FORESTRY, MARINE AND MARITIME AND INLAND

WATER RESEARCH and the bioeconomy

2.1 Specific objective 2.1 Specific objective 2.1 Specific objective The specific objective is to secure The specific objective is to secure The specific objective is to secure sufficient supplies of safe and high sufficient supplies of safe and high sufficient supplies of safe, healthy quality food and other bio-based quality healthy food and other bioand high quality food and other bioproducts, by developing productive based products, by developing based products, by developing and resource-efficient primary productive, sustainable and productive, sustainable and production systems, fostering related resource-efficient primary resource-efficient primary ecosystem services, along side production and food processing production systems, fostering related competitive and low carbon supply systems, fostering related ecosystem ecosystem services and the recovery chains. This will accelerate the services, along side competitive and of biological diversity, along side transition to a sustainable European low carbon supply chains. This will competitive and low carbon supply, bio-economy. accelerate the transition to a processing and marketing chains.

sustainable European bio-economy. This will accelerate the transition to

a sustainable European bioeconomy.,

bridging the gap between

new technologies and their

implementation.

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Over the coming decades, Europe will Over the coming decades, Europe will Over the coming decades, Europe will be challenged by increased be challenged by increased be challenged by increased competition for limited and finite competition for limited and finite competition for limited and finite natural resources, by the effects of natural resources, by the effects of natural resources, by the effects of climate change, in particular on climate change, in particular on climate change, in particular on primary production systems primary production systems primary production systems

(agriculture, forestry, fisheries and (agriculture, forestry, fisheries and (agriculture including animal aquaculture) and by the need to aquaculture) and by the need to husbandry and horticulture, forestry, provide a sustainable, safe and secure provide a sustainable, safe and secure fisheries and aquaculture) and by the food supply for the European and an food supply for the European and an need to provide a sustainable, safe and increasing global population. A 70 % increasing global population. A 70 % secure food supply for the European increase of the world food supply is increase of the world food supply is and an increasing global population. A estimated to be required to feed the 9 estimated to be required to feed the 9 70 % increase of the world food supply billion global population by 2050. billion global population by 2050. is estimated to be required to feed the 9 Agriculture accounts for about 10 % of Agriculture accounts for about 10 % of billion global population by 2050. Union greenhouse gases emissions, Union greenhouse gases emissions, Agriculture accounts for about 10 % of and while declining in Europe, global and while declining in Europe, global Union greenhouse gases emissions, emissions from agriculture are emissions from agriculture are and while declining in Europe, global projected to increase up to 20 % by projected to increase up to 20 % by emissions from agriculture are 2030. Furthermore, Europe will need 2030. Furthermore, Europe will need projected to increase up to 20 % by to ensure sufficient supplies of raw to ensure sufficient supplies of raw 2030. Furthermore, Europe will need materials, energy and industrial materials, clean water resources, to ensure sufficient and sustainably products, under conditions of energy and industrial products, under produced supplies of raw materials, decreasing fossil carbon resources (oil conditions of decreasing fossil carbon energy and industrial products, under and liquid gas production expected to resources (oil and liquid gas conditions of decreasing fossil carbon decrease by about 60 % by 2050), production expected to decrease by resources (oil and liquid gas while maintaining its competitiveness. about 60 % by 2050), while production expected to decrease by Bio-waste (estimated at up to 138 maintaining its competitiveness. Bioabout 60 % by 2050), while million tonnes per year in the Union, waste (estimated at up to 138 million maintaining its competitiveness. Bioof which up to 40 % is land-filled) tonnes per year in the Union, of which waste (estimated at up to 138 million represents a huge problem and cost, up to 40 % is land-filled) represents a tonnes per year in the Union, of which despite its high potential added value. huge problem and cost, despite its high up to 40 % is land-filled) represents a

potential added value. huge problem and cost, despite its high

potential added value.

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For example, an estimated 30 % of all [no change]. For example, an estimated 30 % of all food produced in developed countries food produced in developed countries is discarded. Major changes are needed is discarded. Major changes are needed to reduce this amount by 50 % in the to reduce this amount by 50 % in the

Union by 2030 26 . In addition, national Union by 2030 26 10 . In addition,

borders are irrelevant in the spread of national borders are irrelevant in the animal and plant pests and diseases, entry and spread of animal and plant including zoonotic diseases, and food pests and diseases, including zoonotic borne pathogens. While effective diseases, and food borne pathogens. national prevention measures are While effective national prevention needed, action at Union level is measures are needed, action at Union essential for ultimate control and the level is essential for ultimate control effective running of the single market. and the effective running of the single The challenge is complex, affects a market. The challenge is complex, broad range of interconnected sectors affects a broad range of interconnected and requires a plurality of approaches. sectors and requires a plurality of __________________ approaches. holistic and systemic

26 approach. COM (2011)0112 i

__________________

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More and more biological resources More and more biological resources More and more biological resources are needed to satisfy market demand are needed to satisfy market demand are needed to satisfy market demand for a secure and healthy food supply, for a secure and healthy food supply, for a secure and healthy food supply, bio-materials, biofuels and bio-based bio-materials, biofuels and bio-based bio-materials, biofuels and bio-based products, ranging from consumer products, ranging from consumer products, ranging from consumer products to bulk chemicals. However products to bulk chemicals. However products to bulk chemicals. However the capacities of the terrestrial and the capacities of the terrestrial and the capacities of the terrestrial and aquatic ecosystems required for their aquatic ecosystems required for their aquatic ecosystems required for their production are limited, while there are production are limited, while there are production are limited, while there are competing claims for their utilisation, competing claims for their utilisation, competing claims for their utilisation, and often not optimally managed, as and often not optimally managed, as and often not optimally managed, as shown for example by a severe decline shown for example by a severe decline shown for example by a severe decline in soil carbon content and fertility. in soil carbon content and fertility and in soil carbon content and fertility. There is under-utilised scope for fish stock depletion. There is under There is under-utilised scope for fostering ecosystem services from utilised scope for fostering ecosystem fostering ecosystem services from farmland, forests, marine and fresh services from farmland, forests, marine farmland, forests, marine and fresh waters by integrating agronomic and and fresh waters by integrating waters by integrating agronomic and, environmental goals into sustainable agronomic and environmental goals environmental and social goals into production. into sustainable production. sustainable production. and

consumption.

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The potential of biological resources The potential of biological resources [no change] and ecosystems could be used in a and ecosystems could be used in a much more sustainable, efficient and much more sustainable, efficient and integrated manner. For examples, the integrated manner. For examples, the potential of biomass from forests and potential of biomass from agriculture, waste streams from agricultural, forests and waste streams from aquatic, industrial, and also municipal agricultural, aquatic, industrial, and origins could be better harnessed also municipal origins could be better

harnessed

In essence, a transition is needed In essence, a transition is needed In essence, a transition is needed towards an optimal and renewable use towards an optimal and renewable use towards an optimal and renewable use of biological resources and towards of biological resources and towards of biological resources and towards sustainable primary production and sustainable primary production and sustainable primary production and processing systems that can produce processing systems that can produce processing systems that can produce more food and other bio-based more food, fibre and other bio-based more food and other bio-based products with minimised inputs, products with minimised inputs, products with minimised inputs, environmental impact and greenhouse environmental impact and greenhouse environmental impact and greenhouse gas emissions, enhanced ecosystem gas emissions, enhanced ecosystem gas emissions, enhanced ecosystem services, zero-waste and adequate services and zero-waste and adequate services, zero-waste and adequate societal value. A critical effort of societal value. The aim is establishing societal value. A critical effort of interconnected research and innovation food production systems that - rather interconnected research and innovation is a key element for this to happen, in than degrading the natural resources is a key element for this to happen, in Europe and beyond. they depend upon - strengthen, Europe and beyond as well as a

reinforce and nourish the resource continuous dialogue between base, which would enable sustainable political, social, economic and other wealth generation. Responses to the stakeholder groups. way we generate, distribute, market, consume and regulate food production must be better understood and developed. A critical effort of interconnected research and innovation is a key element for this to happen, in Europe and beyond.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

2.2 Rationale and Union added value 2.2 Rationale and Union added value 2.2 Rationale and Union added value Agriculture, forestry and fisheries [no change] Agriculture, forestry and, fisheries and together with the bio-based industries aquaculture together with the bioare the major sectors underpinning the based industries are the major sectors bio-economy. This latter represents a underpinning the bio-economy. This large and growing market estimated to latter represents a large and growing be worth over EUR 2 trillion, market estimated to be worth over providing 20 million jobs and EUR 2 trillion, providing 20 million accounting for 9 % of total jobs and accounting for 9 % of total employment in the Union in 2009. employment in the Union in 2009. Investments in research and innovation Investments in research and innovation under this societal challenge will under this societal challenge will enable Europe to take leadership in the enable Europe to take leadership in the concerned markets and will play a role concerned markets and will play a role in achieving the goals of the Europe in achieving the goals of the Europe 2020 strategy and its Innovation Union 2020 strategy and its Innovation Union and Resource Efficient Europe flagship and Resource Efficient Europe flagship initiatives. initiatives.

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A fully functional European bio A fully functional European bio A fully functional European bioeconomy – encompassing the economy – encompassing the economy – encompassing the sustainable production of renewable sustainable production of renewable sustainable production of renewable resources from land and aquatic resources from land terrestrial, marine resources from land, fisheries and environments and their conversion into and aquatic freshwater environments aquatic aquaculture environments and food, bio-based products and and their conversion into food, feed, their conversion into food, bio-based bioenergy as well as the related public fibre, bio-based products and products and bioenergy as well as the goods - will generate high European bioenergy as well as the related public related public goods - will generate added value. Managed in a sustainable goods - will generate high European high European added value. Managed manner, it can reduce the added value. In parallel to the market in a sustainable manner, it can reduce environmental footprint of primary related function, the bio-economy the environmental footprint of primary production and the supply chain as a sustains also a wide range of public production and the supply chain as a whole. It can increase their goods function and ecosystem services whole. It can increase their competitiveness and provide jobs and that should be preserved: agricultural competitiveness and provide jobs and business opportunities for rural and and forested landscape, farmland and business opportunities essential for coastal development. The food forest biodiversity, water quality and rural and coastal development. The security, sustainable agriculture, and availability, soil functionality, climate food security, sustainable agriculture, overall bio-economy – related stability, air quality, resilience to and farming, aquatic production, challenges are of a European and flooding and fire. Managed in a forestry and overall bio-economy – global nature. Actions at Union level sustainable manner, it can reduce the related challenges are of a European are essential to bring together clusters environmental footprint of primary and global nature. Actions at Union to achieve the necessary breadth and production and the supply chain as a level are essential to bring together critical mass to complement efforts whole. It can increase their clusters to achieve the necessary made by a single or groups of Member competitiveness, enhance Europe's breadth and critical mass to

States. self-reliance and provide jobs and complement efforts made by a single business opportunities for rural and or groups of Member States.

coastal development. The food security, sustainable agriculture, and overall bio-economy – related challenges are of a European and global nature. Actions at Union level are essential to bring together clusters to achieve the necessary breadth and critical mass to complement efforts made by a single or groups of Member States.

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A multi-actor approach will ensure the A multi-actor approach will ensure the A multi-actor approach will ensure the necessary cross-fertilising interactions necessary cross-fertilising interactions necessary cross-fertilising interactions between researcher, businesses, between researcher, businesses, between researchers, businesses, farmers/producers, advisors and endfarmers/producers, advisors, farmers/producers, advisors and endusers. The Union level is also consumers and end-users. The Union users. The Union level is also necessary to ensure coherence in level is also necessary to ensure necessary to ensure coherence in addressing this challenge across coherence in addressing this challenge addressing this challenge across sectors and with strong links to across sectors and with strong links to sectors and with strong links to relevant Union policies. Coordination relevant Union policies. Coordination relevant Union policies. Coordination of research and innovation at Union of research and innovation at Union of research and innovation at Union level will stimulate and help to level will stimulate and help to level will stimulate and help to accelerate the required changes across accelerate the required changes across accelerate the required changes across the Union. the Union. the Union.

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Research and innovation will interface Research and innovation will interface Research and innovation will interface with a wide spectrum of Union policies with a wide spectrum of Union policies with and support elaboration of a and related targets, including the and related targets, including the wide spectrum of Union policies and Common Agriculture Policy (in Common Agriculture Policy (in related targets, including the Common particular the Rural Development particular the Rural Development Agriculture Policy (in particular the Policy) and the European Innovation Policy) and the European Innovation Rural Development Policy, the Joint Partnership 'Agricultural Productivity Partnership 'Agricultural Productivity Programming Initiatives, including and Sustainability', the Common and Sustainability', the European “Agriculture, Food Security and Fisheries Policy, the Integrated Innovation Partnership on Water, the Climate Change”, “A Healthy Diet Maritime Policy, the European Climate Common Fisheries Policy, the for a Healthy Life” and “Healthy Change Programme, the Water Integrated Maritime Policy, the and Productive Seas and Oceans”) Framework Directive, the Marine European Climate Change Programme, and the European Innovation

Strategy Framework Directive, the the Water Framework Directive, the Partnership 'Agricultural Productivity

Forestry Action Plan, the Soil Marine Strategy Framework Directive, and Sustainability', the Common

Thematic Strategy, the Union's 2020 the Forestry Action Plan, the Soil Fisheries Policy, the Integrated

Biodiversity Strategy, the Strategic Thematic Strategy, the Union's 2020 Maritime Policy, the European Climate

Energy Technology Plan, the Union's Biodiversity Strategy, the Strategic Change Programme, the Water innovation and industrial policies, Energy Technology Plan, the Union's Framework Directive, the Marine external and development aid policies, innovation and industrial policies, Strategy Framework Directive, the EU plant health strategies, animal health external and development aid policies, Forestry Action Plan, the Soil and welfare strategies and regulatory plant health strategies, animal health Thematic Strategy, the Union's 2020 frameworks to protect the and welfare strategies and regulatory Biodiversity Strategy, the Strategic environment, health and safety, to frameworks to protect the Energy Technology Plan, the Union's promote resource efficiency and environment, health and safety, to innovation and industrial policies, climate action, and to reduce waste. promote resource efficiency and external and development aid policies,

climate action, and to reduce waste. plant health strategies, animal health and welfare strategies and regulatory frameworks to protect the

environment, health and safety, to promote resource efficiency and climate action, and to reduce waste.

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A better integration of research and A better integration of the full cycle [no change] innovation into related Union policies from fundamental research and to will significantly improve their innovation into related Union policies

European added value, provide will significantly improve their leverage effects, increase societal European added value, provide relevance and help to further develop leverage effects, increase societal sustainable land, seas and oceans relevance, provide healthy food management and bio-economy products and help to further develop markets. sustainable land, seas and oceans

management and bio-economy markets.

For the purpose of supporting Union [no change] [no change] policies related to the bio-economy and to facilitate governance and monitoring of research and innovation, socioeconomic research and forward looking activities will be performed in relation to the bio-economy strategy, including development of indicators, data bases, models, foresight and forecast, impact assessment of initiatives on the economy, society and the environment.

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Challenge-driven actions focusing on Challenge-driven actions focusing on Challenge-driven actions focusing on social and economic benefits and the ecological, social and economic social and, economic and modernisation of the bio-economy benefits and the modernisation of the environmental benefits and the associated sectors and markets shall be bio-economy associated sectors, modernisation of the bio-economy supported through multi-disciplinary participating actors and markets shall associated sectors and markets shall be research, driving innovation and be supported through multisupported through multi-disciplinary leading to the development of new disciplinary research, driving research, driving innovation and practices, products and processes. It innovation and leading to the leading to the development of new shall also pursue a broad approach to development of new practices, strategies, practices, products and innovation ranging from technological, sustainable products and processes. It processes. It shall also pursue a broad non-technological, organisational, shall also pursue a broad approach to approach to innovation ranging from economic and social innovation to for innovation ranging from technological, technological, non-technological, instance novel business models, non-technological, organisational, organisational, economic and social branding and services. economic and social innovation to for innovation to, for instance, ways for

instance novel business models, technology transfer, novel business branding and services. The potential of models, branding and services. farmers and SMEs to contribute to innovation in the field must be fully recognised. The approach to the biobased economy shall take account of the importance of local knowledge enhancing local capabilities, while also accommodating diversity and complexity.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

2.3 Broad lines of activities 2.3 Broad lines of activities 2.3 Broad lines of activities (a) Sustainable agriculture and forestry (a) Sustainable and competitive [no change]

agriculture, livestock farming and forestry

The aim is to supply sufficient food, The aim is to supply sufficient food, The aim is to supply sufficient food, feed, biomass and other raw-materials, feed, biomass and other raw-materials, feed, biomass and other raw-materials, while safeguarding natural resources while safeguarding the natural while safeguarding natural resources, and enhancing ecosystems services, resources base and biodiversity, in a such as water and soil, and enhancing including coping with and mitigating European and world-wide perspective ecosystems services, including coping climate change. The activities shall and enhancing ecosystems services, with and mitigating climate change. focus on more sustainable and including coping with and mitigating The activities shall focus on delivering productive agriculture and forestry climate change. The activities shall more sustainable and productive systems which are both resourcefocus on more sustainable and agriculture, including animal efficient (including low-carbon) and productive agriculture, lifestock and husbandry and forestry systems which resilient, while at the same time forestry systems which are both are both resource-efficient (including developing of services, concepts and resource-efficient (including lowlow-carbon and water) and resilient, policies for thriving rural livelihoods. carbon, low external input and while at and produce less waste.

organic farming) protect natural Furthermore, the same time activities resources, are diverse, produce less shall focus on developing of services, waste, can adapt to a changing concepts and policies for thriving rural environment and are resilient, on livelihoods and encouraging increasing the quality and value of sustainable consumption. agricultural products, while and at the same time developing of services, concepts and policies for diverse food systems and thriving rural livelihoods.

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In particular for forestry, the aim is to In particular for forestry, the aim is sustainably produce bio-based to sustainably produce bio-based products, ecosystems services with due products, ecosystems, services and consideration to economical, sufficient biomass, with due ecological and social aspects of consideration to economical, forestry. Activities will focus on the ecological and social aspects of further development of production forestry. Activities will focus on the and sustainability of resource further development of production efficient forestry systems which are and sustainability of resource instrumental in the strengthening of efficient forestry systems which are forest resilience and biodiversity instrumental in the strengthening of protection. forest resilience and biodiversity protection, and which can meet increased biomass demand.

The interaction of functional plants with health and well being, as well as the exploitation of horticulture and forestry for the development of urban greening will also be considered.

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(b) Sustainable and competitive agri(b) Sustainable and competitive agri[no change] food sector for a safe and healthy diet food sector for a safe, affordable and

healthy diet

The aim is to meet the requirements of The aim is to meet the requirements of The aim is to meet the requirements of citizens for safe, healthy and citizens for safe, healthy and citizens and the environment for safe, affordable food, and to make food and affordable food, and to make food and healthy and affordable food, and to feed processing and distribution more feed processing and distribution as make food and feed processing and sustainable and the food sector more well as food consumption more distribution and consumption more competitive. The activities shall focus sustainable and the food sector more sustainable and the food sector more on healthy and safe foods for all, competitive. The activities shall focus competitive while also considering informed consumer choices, and on a broad diversity of healthy, high the cultural component of food competitive food processing methods quality and safe foods for all, informed quality. The activities shall focus on that use less resources and produce less consumer choices, and competitive healthy and safe foods for all, informed by-products, waste and green-house food processing methods that use less consumer choices, dietary solutions gases. resources and additives and produce and innovations for improved health

less by-products, waste and greenand competitive food processing house gases. methods that use less resources and produce less by-products, waste and green-house gases.

(c) Unlocking the potential of aquatic (c) Unlocking the potential of aquatic [no change] living resources living resources fisheries, aquaculture

and marine biotechnologies

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The aim is to sustainably exploit The aim is to sustainably exploit and The aim is to sustainably exploit aquatic living resources to maximise maintain aquatic living resources to manage aquatic living resources to social and economic benefits/returns maximise social and economic maximise social and economic from Europe's oceans and seas. The benefits/returns from Europe's oceans benefits/returns from Europe's oceans activities shall focus on an optimal and seas while protecting biodiversity and, seas and inland waters. The contribution to secure food supplies by and ecosystem services. The activities activities shall focus on an optimal developing sustainable and shall focus on an optimal contribution contribution to secure food supplies by environmentally friendly fisheries and to secure food supplies by developing developing sustainable and competitive European aquaculture in sustainable and environmentally environmentally friendly fisheries, the context of the global economy and friendly fisheries and competitive sustainable management of on boosting marine innovation through European aquaculture in the context of ecosystems providing goods and biotechnology to fuel smart "blue" the global economy and on boosting services, competitive as well as growth marine innovation through environmentally friendly European

biotechnology to fuel smart "blue" aquaculture in the context of the global

growth with due respect for both the economy and on boosting marine and

limitations and the potentials of the maritime innovation through

marine environment. biotechnology to fuel smart "blue"

growth. Cross-cutting marine and

maritime scientific and technological

knowledge will be addressed with a

view to unlock the potential of the

seas and inland waters across the

range of marine and maritime

industries, while protecting the

environment and adapting to climate

change.

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(d) Sustainable and competitive bio[no change] (d) Sustainable and competitive biobased industries based industries and supporting the

development of a European bioeconomy

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The aim is the promotion of low The aim is the promotion of low The aim is the promotion of low carbon, resource efficient, sustainable carbon, resource efficient (including carbon, resource efficient, sustainable and competitive European bio-based nutrient, energy, carbon, water and and competitive European bio-based industries. The activities shall focus on soil use efficiency), sustainable and industries. The activities shall focus on fostering the bio-economy by competitive European bio-based fostering the knowledge-based biotransforming conventional industrial industries, while making bio-waste an economy by transforming conventional processes and products into bio-based asset used at its full potential, for industrial processes and products into resource and energy efficient ones, the which it is vital to establish a closed bio-based resource and energy efficient development of integrated circuit of nutrients between urban ones, the development of integrated biorefineries, utilising biomass from and rural areas. The activities shall biorefineries, utilising optimising the primary production, biowaste and biofocus on fostering the bio-economy by use of biomass from primary based industry by-products, and transforming conventional industrial production, biowaste and bio-based opening new markets through processes and products into bio-based industry by-products, and opening new supporting standardisation, regulatory resource and energy efficient ones, the markets through supporting and demonstration/field trial activities development of integrated second and standardisation and certification and others, while taking into account third generation biorefineries, systems, regulatory and the implication of the bio-economy on producing and utilising biomass and demonstration/field trial activities and land use and land use changes. other residues from primary others, while taking into account the

agricultural and forestry production, implication of the bio-economy on biowaste and bio-based industry byland use and land use changes. products, and opening new markets transformation of bio-waste in urban areas into agricultural inputs through efficient cleaning, through supporting, where necessary, standardisation, and certification schemes, but also through regulatory and demonstration/field trial activities and others, while taking into account the environmental and socioeconomic implication of the bio-economy on land use and land use changes, as well as the civil society views and concerns.

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(da) Cross-cutting marine and maritime research

The exploitation of living and nonliving marine resources as well as the use of different sources of marine energy and the wide range of different uses that is made of the seas raise cross-cutting scientific and technological challenges.

Seas and oceans also play a crucial role in climate regulation, but they are heavily impacted by inland, coastal and maritime human activities and also by climate change. The overall aim is to develop cross-cutting marine and maritime scientific and technological knowledge (including through study of palegic birds) with a view to unlock the blue growth potential across the range of marine and maritime industries, while protecting the marine environment and adapting to climate change. This strategic coordinated approach for marine and maritime research across all challenges and pillars of Horizon 2020 will also support the implementation of relevant Union policies to help deliver key blue growth objectives.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 140 3. SECURE, CLEAN AND 3. SECURE, CLEAN AND 3. SECURE, CLEAN AND

EFFICIENT ENERGY EFFICIENT ENERGY EFFICIENT ENERGY 3.1. Specific objective 3.1. Specific objective 3.1. Specific objective

The specific objective is to make the The specific objective is to make the The specific objective is to make the transition to a reliable, sustainable transition to a reliable, affordable , transition to a reliable, publicly and competitive energy system, in sustainable and competitive energy accepted, sustainable and the face of increasingly scarce system, in the face of increasingly competitive energy system, aiming at resources, increasing energy needs scarce resources, increasing energy reducing fossil fuel dependency in and climate change. needs and climate change. the face of increasingly scarce

resources, increasing energy needs and climate change.

The Union intends to reduce [no change] [no change] greenhouse gas emissions by 20 % below 1990 levels by 2020, with a further reduction to 80-95 % by 2050.

In addition, renewables should cover

20 % of final energy consumption in

2020 coupled with a 20 % energy efficiency target.

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All decarbonisation scenarios in the Energy Roadmap 2050 show that renewable energy technologies will account for the biggest share of energy supply technologies. This must be accompanied by ambitious energy efficiency policies as the most costeffective way of reaching our longterm decarbonisation goals. It is therefore appropriate for 75% of the budget under this Challenge to go towards research and innovation in renewable energy, end- user- energy efficiency, smart grids and energy storage. An additional 15% shall go to the Intelligent Energy Europe

Achieving these objectives will require Programme. Achieving these an overhaul of the energy system objectives will require an overhaul of combining low carbon profile, energy the energy system combining low security and affordability, while at the carbon profile the development of same time reinforcing Europe's alternatives to fossil fuels, energy economic competitiveness. Europe is security and affordability, while at the currently far from this overall goal. 80 same time reinforcing Europe's % of the European energy system still economic competitiveness. Europe is relies on fossil fuels, and the sector currently far from this overall goal. 80 produces 80 % of all the Union's % of the European energy system still greenhouse gas emissions. relies on fossil fuels, and the sector

produces 80 % of all the Union's greenhouse gas emissions.

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Every year 2.5 % of the Union's Gross [no change] Every year 2.5 % of the Union's Gross

Domestic Product (GDP) is spent on Domestic Product (GDP) is spent on energy imports and this is likely to energy imports and this is likely to increase. This trend would lead to total increase. This trend would lead to total dependence on oil and gas imports by dependence on oil and gas imports by 2050. Faced with volatile energy prices 2050. Faced with volatile energy prices on the world market, coupled with on the world market, coupled with concerns over security of supply, concerns over security of supply, European industries and consumers are European industries and consumers are spending an increasing share of their spending an increasing share of their income on energy. income on energy. European cities

are responsible for 70-80% 11 of the

total energy consumption in the EU and for about the same share of green house gas emissions. __________________

11 World Energy Outlook 2008,

OECD- IEA, 2008

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The roadmap to a competitive low The roadmap to a competitive low The roadmap to a competitive lowcarbon

economy in 2050 27 shows that carbon economy in 2050 shows that carbon economy in 2050 2712 shows

the targeted reductions in greenhouse the targeted reductions in greenhouse suggests that the targeted reductions in gas emissions will have to be met gas emissions will would have to be greenhouse gas emissions will have to largely within the territory of the met largely within the territory of the be met largely within the territory of Union. This would entail reducing Union. This would entail reducing the Union. This would entail reducing CO2 emissions by over 90 % by 2050 CO2 emissions by over 90 % by 2050 CO 2 emissions by over 90 % by 2050 in the power sector, by over 80 % in in the power sector, by over 80 % in in the power sector, by over 80 % in industry, by at least 60 % in transport industry, by at least 60 % in transport industry, by at least 60 % in transport and by about 90 % in the residential and by about 90 % in the residential and by about 90 % in the residential sector and services. sector and in services. The roadmap sector and services. The roadmap also

also shows that inter-alia, natural gas, shows that inter-alia gas, in the short

__________________ in the short to medium term, can to medium term, can contribute to

27 contribute to the transformation of the transformation of the energy COM(2011) 112 i the energy sector combined with the system.

use of CCS technology. __________________

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To achieve these reductions, To achieve these the reductions, To achieve these ambitious significant investments need to be significant investments need to be reductions, significant investments made in research, development, made in research, development, need to be made in research, demonstration and market roll-out of demonstration and market roll-out at development, demonstration and efficient, safe and reliable low-carbon affordable prices of efficient, safe, market roll-out of efficient, safe and energy technologies and services. secure and reliable low-carbon energy reliable low-carbon energy These must go hand in hand with nontechnologies and services, including technologies, including gas, and technological solutions on both the electricity storage and the roll-out of services. These must go hand in hand supply and demand sides. All this must small and micro-scale energy systems. with non-technological solutions on be part of an integrated low-carbon These must go hand in hand with nonboth the supply and demand sides by policy, including mastering key technological solutions on both the initiating participation processes and enabling technologies, in particular supply and demand sides. All this must integrating consumers. All this must ICT solutions and advanced be part of an integrated sustainable be part of an integrated low-carbon manufacturing, processing and low-carbon policy, including mastering policy, including mastering key materials. The goal is to produce key enabling technologies, in particular enabling technologies, in particular efficient energy technologies and ICT solutions and advanced ICT solutions and advanced services that can be taken up widely on manufacturing, processing and manufacturing, processing and European and international markets materials. The goal is to produce materials. The goal is to develop and and to establish intelligent demandefficient energy technologies and produce efficient energy technologies side management based on an open services that will contribute to tackling and services that can be taken up and transparent energy trade market energy challenges, mainly linked to widely on European and international and intelligent energy efficiency the integration of renewable energy, markets and to establish intelligent management systems. and that can be taken up widely on demand-side management based on an

European and international markets open and transparent energy trade and to establish intelligent demandmarket and intelligent energy side management based on an open efficiency management systems. and transparent energy trade market and secure intelligent energy efficiency management systems.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

3.2. Rationale and Union added 3.2. Rationale and Union added 3.2. Rationale and Union added value value value

New technologies and solutions must New technologies and solutions must [no change] compete on cost and reliability against compete on cost and reliability against highly optimised energy systems with highly optimised in energy systems well-established incumbents and with well-established designed for technologies. Research and innovation historic incumbents and technologies are critical to make these new, cleaner, which have absorbed the vast majority low-carbon, more efficient energy of the world and Europe's research sources commercially attractive on the funding and subsidies until today. scale needed. Neither industry alone, Research and innovation are critical to nor Member States individually, are make these new, cleaner, low-carbon able to bear the costs and risks, for renewable and more efficient energy which the main drivers (transition to a sources commercially attractive on the low carbon economy, providing scale needed. Neither industry alone, affordable and secure energy) are nor Member States individually, are outside the market. able to bear the costs and risks, for

which the main drivers (transition to a low carbon economy, providing affordable and secure energy) are outside the market.

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Speeding up this development will Speeding up this development will Speeding up this development will require a strategic approach at Union require a strategic approach at Union require a strategic approach at Union level, spanning energy supply, demand level, spanning energy supply, demand level, spanning energy supply, demand and use in buildings, services, transport and use in buildings, services, transport and use in buildings, services, and industrial value chains. This will and industrial value chains. This will domestic use, transport and industrial entail aligning resources across the entail aligning resources across the value chains. This will entail aligning Union, including cohesion policy Union, including cohesion policy resources across the Union, including funds, in particular through the funds, in particular through the cohesion policy funds, in particular national and regional strategies for national and regional strategies for through the national and regional smart specialisation, emission trading smart specialisation, emission trading strategies for smart specialisation, schemes (ETS), public procurement schemes (ETS), public procurement emission trading schemes (ETS), and other financing mechanisms. It and other financing mechanisms. It public procurement and other will also require regulatory and will also require regulatory and financing mechanisms. It will also deployment policies for renewables deployment policies for renewables, require regulatory and deployment and energy efficiency, tailored and energy efficiency tailored policies for renewables and energy technical assistance and capacitytechnical assistance and capacityefficiency, tailored technical assistance building to remove non-technological building to remove non-technological and capacity-building to remove nonbarriers. barriers. technological barriers.

The Strategic Energy Technology Plan The Strategic Energy Technology Plan [no change]

(SET Plan) offers such a strategic (SET Plan) offers such a strategic approach. It provides a long term approach. It provides a long term agenda to address the key innovation agenda to address the key innovation bottlenecks that energy technologies bottlenecks that energy technologies are facing at the frontier research and are facing at the frontier research and R&D/proof-of-concept stages and at R&D/proof-of-concept stages and at the demonstration stage when the demonstration stage when companies seek capital to finance companies seek capital to finance large, first-of-a-kind projects and to large, first-of-a-kind projects and to open the market deployment process. open the market deployment process.

Besides the many technologies represented in the SET-Plan, other newly emerging technologies with disruptive potential will not be neglected.

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The resources required to implement The resources required to implement The resources required to implement the SET Plan in full have been the SET Plan in full have been the SET Plan in full have been estimated at EUR 8 billion per year estimated at EUR 8 billion per year estimated at EUR 8 billion per year

over the next 10 years 28 . This is well over the next 10 years. This is well over the next 10 years 2813 . This is well

beyond the capacity of individual beyond the capacity of individual beyond the capacity of individual

Member States or research and Member States or research and Member States or research and industrial stakeholders alone. industrial stakeholders alone. industrial stakeholders alone. Investments in research and innovation Investments in research and innovation Investments in research and innovation at Union level are needed, combined at Union level are needed, combined at Union level are needed, combined with mobilisation of efforts across with mobilisation of efforts across with mobilisation of efforts across Europe in the form of joint Europe in the form of joint Europe in the form of joint implementation and risk and capacity implementation and risk and capacity implementation and risk and capacity sharing. Union funding of energy sharing. Union funding of energy sharing. Union funding of energy research and innovation shall therefore research and innovation shall therefore research and innovation shall therefore complement Member States' activities complement and scale up Member complement Member States' activities by focusing on activities with clear States' activities by focusing on by focusing on cutting-edge Union added value, in particular those activities with clear Union added technologies and activities with clear with high potential to leverage national value, in particular those with high Union added value, in particular those resources. Action at Union level shall potential to leverage national resources with high potential to leverage national also support high-risk, high-cost, longand create jobs in Europe. Action at resources. Action at Union level shall term programmes beyond the reach of Union level shall also support highalso support high-risk, high-cost, longindividual Member States, pool efforts risk, high-cost, long-term programmes term programmes beyond the reach of to reduce investment risks in largebeyond the reach of individual individual Member States, pool efforts scale activities such as industrial Member States, pool efforts to reduce to reduce investment risks in largedemonstration and develop Europeinvestment risks in large-scale scale activities such as industrial wide, interoperable energy solutions. activities such as industrial demonstration and develop Europe__________________ demonstration and develop Europewide, interoperable energy solutions.

wide, interoperable energy solutions.

28 COM(2009) 519 i Union funding shall be used to fund __________________

energy goals.

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Implementation of the SET-Plan as the Implementation of the SET-Plan as the [no change] research and innovation pillar of research and innovation pillar of European energy policy will reinforce European energy policy will reinforce the Union's security of supply and the the Union's security of supply and the transition to a low-carbon economy, transition to a low-carbon economy, help to link research and innovation help to link research and innovation programmes with trans-European and programmes with trans-European and regional investments in energy regional investments in energy infrastructure and increase the infrastructure and increase the willingness of investors to release willingness of investors to release capital for projects with long leadcapital for projects with long leadtimes and significant technology and times and significant technology and market risks. It will create market risks. It will create opportunities for innovation for small opportunities for innovation for small and large companies and help them and large companies and help them become or remain competitive at world become or remain competitive at world level, where opportunities for energy level, where opportunities for energy technologies are large and increasing. technologies are large and increasing.

The SET-plan technologies will be financed through separate budget lines.

On the international scene, the action [no change] [no change] taken at Union level provides a 'critical mass' to attract interest from other technology leaders and foster international partnerships to achieve the Union's objectives. It will make it easier for international partners to interact with the Union to build common action where there is mutual benefit and interest.

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The activities under this challenge will [no change] [no change] therefore form the technological backbone of European energy and climate policy. They will also contribute to achieving the Innovation

Union in the field of energy and the policy goals outlined in 'Resource

Efficient Europe', 'An Industrial Policy for the Globalisation Era' and 'A

Digital Agenda for Europe'.

Research and innovation activities on Research and innovation activities on Research and innovation activities on nuclear fission and fusion energy are nuclear fission and fusion and on the nuclear fission and fusion energy are carried out in the EURATOM part of safety and security aspects of nuclear carried out in the EURATOM part of Horizon 2020. fission energy are carried out in the Horizon 2020, but coordination with

EURATOM part of Horizon 2020. the energy challenge should be Possible synergies between the sought in order to foster synergies "secure, clean and efficient energy" between both programmes. challenge and the EURATOM part of HORIZO 2020 shall be envisaged.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

3.3 Broad lines of the activities 3.3 Broad lines of the activities 3.3 Broad lines of the activities (a) Reducing energy consumption and (a) Increasing energy efficiency and [no change] carbon footprint by smart and reducing energy consumption and sustainable use carbon footprint by smart and

sustainable and secure use

Activities shall focus on research and Activities shall focus on research and Activities shall focus on research and full-scale testing of new concepts, nonfull-scale testing of new concepts, nonfull-scale testing of new concepts, nontechnological solutions, more efficient, technological solutions, more efficient, technological solutions, more efficient, socially acceptable and affordable socially acceptable and affordable socially acceptable and affordable technology components and systems technology components and systems technology components and systems with in-built intelligence, to allow realwith in-built intelligence, to allow realwith in-built intelligence, to allow realtime energy management for neartime energy management for cities and time energy management for new and zero-emission buildings, renewable territories, near-zero-emission and existing near-zero-emission buildings, heating and cooling, highly efficient positive energy buildings, retrofitted cities and districts, renewable heating industries and mass take-up of energy buildings, renewable heating and and cooling, highly efficient industries efficiency solutions by companies, cooling, highly efficient industries and and mass take-up of energy efficiency individuals, communities and cities. mass take-up of energy efficiency and solutions by companies, individuals,

energy saving solutions and services communities and cities. by companies, individuals, communities and cities.

(b) Low-cost, low-carbon electricity (b) Sustainable low-cost, low-carbon [no change] supply electricity supply

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Activities shall focus on research, Activities shall focus on research, Activities shall focus on research, development and full scale development and full scale development and full scale demonstration - of innovative demonstration - of innovative demonstration - of innovative renewables and carbon capture and renewables and carbon capture, and renewables, efficient and flexible storage technologies offering larger storage technologies offering larger fossile power plants (including those scale, lower cost, environmentally safe scale, lower cost, environmentally safe using natural gas) and carbon capture technologies with higher conversion technologies which offer an and storage, or CO 2 re-use efficiency and higher availability for alternative to fossil fuels or contribute technologies, offering larger scale, different market and operating to reducing the carbon footprint of lower cost, environmentally safe environments. fossil fuels substantially with higher technologies with higher conversion

conversion and storage efficiency and efficiency and higher availability for higher availability for different market different market and operating and operating environments. environments.

(c) Alternative fuels and mobile energy [no change] [no change] sources

Activities shall focus on research, Activities shall focus on research, Activities shall focus on research, development and full scale development and full scale development and full scale demonstration of technologies and demonstration of technologies and demonstration of technologies and value chains to make bio-energy more value chains to make bio-energy, value chains to make bio-energy more competitive and sustainable, to reduce hydrogen, fuel cells and other competitive and sustainable, for power time to market for hydrogen and fuel alternative liquid or gaseous fuels and heat, surface, maritime and air cells and to bring new options showing with potential for more efficient transport, to reduce time to market for long-term potential to maturity. energy conversion more competitive hydrogen and fuel cells and to bring

and sustainable. to reduce time to new options showing long-term market for hydrogen and fuel cells and potential to maturity. to bring new options showing longterm potential to maturity

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Activities shall also focus on the development and deployment of backup and balancing technologies, including conventional power plants, enabling higher flexibility and efficiency in order to successfully cope with the necessity to step in when variable renewable energy are not able to deliver the system and to ensure grid stability.

(d) A single, smart European (d) A single, smart, flexible, European [no change] electricity grid electricity energy grid

Activities shall focus on research, Activities shall focus on research, Activities shall focus on research, development and full scale development and full scale development and full scale demonstration of new grid demonstration of new grid demonstration of new smart energy technologies, including storage, technologies, including flexible energy grid technologies, including storage, systems and market designs to plan, storage systems along the whole systems and market designs to plan, monitor, control and safely operate electricity chain and market designs to monitor, control and safely operate interoperable networks in an open, plan, monitor, control and safely interoperable networks, including decarbonised, climate resilient and operate interoperable and flexible standardisation issues, in an open, competitive market, under normal and networks and balance an increased decarbonised, climate resilient and emergency conditions. share of renewables in an open, competitive market, under normal and

decarbonised, environmentally emergency conditions. sustainable climate resilient and competitive market, under normal and emergency conditions, thus supporting the full deployment and utilisation of variable renewable energy sources.

Attention shall also be given to 'intelligent grids' in rural areas, which present specific challenges and require innovative technological advances.

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(e) New knowledge and technologies [no change] [no change]

Activities shall focus on multi Activities shall focus on multi Activities shall focus on multidisciplinary research for energy disciplinary research for sustainable disciplinary research for clean, safe technologies (including visionary energy technologies (including and sustainable energy technologies actions) and joint implementation of visionary actions) and joint (including visionary actions) and joint pan-European research programmes implementation of pan-European implementation of pan-European and world-class facilities. research programmes and world-class research programmes and world-class

facilities. Technological innovation facilities. will be accompanied by policies and initiatives that support nontechnological innovation.

(f) Robust decision making and public [no change] [no change] engagement

Activities shall focus on the development of tools, methods and models such as forward-looking scenarios for a robust and transparent policy support, including activities on public acceptance and engagement, user involvement, environmental impact assessment and sustainability.

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(g) Market uptake of energy innovation (g) Market uptake of energy [no change] innovation, empowering markets and

consumers through Intelligent Energy Europe III.

Activities shall focus on applied Activities shall focus on applied Activities shall focus on applied innovation to facilitate the market innovation to facilitate the market innovation and promotion of uptake of energy technologies and uptake of sustainable energy standards to facilitate the market services, to address non-technological technologies and services, to address uptake of energy technologies and barriers and to accelerate the cost non-technological barriers and to services, to address non-technological effective implementation of the accelerate the cost effective barriers and to accelerate the cost

Union's energy policies. implementation of the Union's energy effective implementation of the policies. In this context the Intelligent Union's energy policies. Attention will Energy Europe Programme, also be given to innovation for the successfully implemented throughout smart and sustainable use of existing the Competitiveness and Innovation technologies.

Programme shall be continued with an ambitious budgetary allocation under the current Horizon 2020 programme.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 141 4. SMART, GREEN AND 4. Smart, green and integrated 4. SMART, GREEN AND INTEGRATED TRANSPORT transport and mobility INTEGRATED TRANSPORT

4.1 Specific objective 4.1 Specific objective 4.1 Specific objective

The specific objective is to achieve a The specific objective is to achieve a [no change]

European transport system that is European transport system resource-efficient, environmentally(including its infrastructure networks) friendly, safe and seamless for the that is resource-efficient, affordable, benefit of citizens, the economy and climate- and environmentallysociety. friendly, safe, and seamless

interoperable for the benefit of citizens, the Union economy and society. That transport system shall embrace the "healthy ageing" philosophy, benefiting all, regardless of age, sex and disability and taking into consideration the universal design dimensions.

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Europe must reconcile the growing Europe must reconcile the growing Europe must reconcile the growing mobility needs of its citizens with the mobility changing needs in terms of mobility needs of its citizens and imperatives of economic performance the mobility of its citizens, shaped by goods with the imperatives of and the requirements of a low-carbon new demographic and societal economic performance and the society and climate resilient economy. challenges, and territorial cohesion requirements of an energy-efficient Despite its growth, the transport sector with the imperatives of economic low-carbon society and climate must achieve a substantial reduction in performance and the requirements of a resilient economy. Despite its growth, greenhouse gases and other adverse an energy efficient, low-carbon the transport sector must achieve a environmental impacts, and must break society and climate resilient economy. substantial reduction in greenhouse its dependency on oil, while Despite its growth, the transport sector gases and other adverse environmental maintaining high levels of efficiency must achieve a substantial reduction in impacts, and must break its and mobility. greenhouse gases and other adverse dependency on oil, while maintaining

environmental impacts, and must break high levels of efficiency and mobility. its dependency on oil and other fossil fuels, while maintaining high levels of efficiency, affordability and mobility without increasing the remoteness of regions that are already isolated. Mass transportation systems present security challenges that need to be addressed already in the research stage.

Sustainable mobility can only be Sustainable mobility can only be Sustainable mobility can only be achieved through a radical change in achieved through a radical change in achieved through a radical change in the transport system, inspired by the transport and mobility system, the transport system including in breakthroughs in transport research, inspired by breakthroughs in transport public transport, inspired by far-reaching innovation, and a its research, far-reaching innovation, breakthroughs in transport research, coherent, Europe-wide implementation and a coherent, Europe-wide far-reaching innovation, and a of greener, safer and smarter transport implementation of greener, healthier, coherent, Europe-wide implementation solutions. safer, more reliable and smarter of greener, safer and smarter transport

transport and mobility solutions. solutions.

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Research and innovation must bring Research and innovation must bring Research and innovation must bring about focussed and timely advances about focussed and timely advances about focussed and timely advances that will help achieve key Union policy for each transport mode that will help that will help achieve key Union policy objectives, while boosting economic achieve key Union policy objectives, objectives, while boosting economic competitiveness, supporting the while boosting economic competitiveness, supporting the transition to a climate-resilient and competitiveness, supporting the transition to a climate-resilient and low-carbon economy, and maintaining transition to a climate-resilient and low-carbon economy, and maintaining global market leadership. renewable based and energy efficient global market leadership both for the

low-carbon economy, increasing service industry as well as the mobility across Europe and manufacturing industry. maintaining global market leadership.

Although the necessary investments in Although the necessary investments in Although the necessary investments in research, innovation and deployment research, innovation and deployment research, innovation and deployment will be significant, failing to improve will be significant, failing to improve will be significant, failing to improve the sustainability of transport will the sustainability of the whole the sustainability of the whole result in unacceptably high societal, transport and mobility system will transport system will result in ecological, and economic costs in the result in unacceptably high societal, unacceptably high societal, ecological, long term. ecological, and economic costs in the and economic costs in the long term,

long term. Similarly, failing to and damaging consequences on maintain European technological European jobs and long term leadership in transport will hamper economic growth. the achievement of the above objective and have severe and damaging consequences for European jobs and long term economic growth.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

4.2 Rationale and Union added value 4.2 Rationale and Union added value 4.2 Rationale and Union added value

Transport is a major driver of Europe's Transport is a major driver of Europe's [no change] economic competitiveness and growth. economic competitiveness and growth. It ensures the mobility of people and It ensures territorial cohesion and the goods necessary for an integrated mobility of people and goods European single market and an open necessary for an integrated the and inclusive society. It represents one integration of the European single of Europe's greatest assets in terms of market and an open and inclusive industrial capability and quality of society. It represents one of Europe's service, playing a leading role in many greatest assets in terms of industrial world markets. capability and quality of service,

playing a leading role in many world markets.

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Transport industry and transport Transport industry and transport equipment manufacturing together equipment manufacturing together represent 6.3 % of the Union's GDP. alone represent 6.3 % of the Union's At the same time, the European GDP and around 13 million jobs. transport industry faces increasingly However, the transport sector's fierce competition from other parts of overall contribution to the Union the world. Breakthrough technologies economy is much greater, given that will be required to secure Europe's trade in goods, which accounts for future competitive edge and to mitigate almost 30% of the Union's GDP, the drawbacks of our current transport many services and workers who travel system. as part of their jobs depend entirely

on efficient transport. The contribution transport makes to society by connecting people is also important, but difficult to quantify, and is fundamental to freedom of movement in Europe. At the same time, the European transport industry faces increasingly fierce competition from other parts of the world. Breakthrough technologies will be required to secure Europe's future competitive edge and to mitigate the drawbacks of our current transport system.

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The transport sector is a major The transport sector is a major The transport sector is a major contributor to greenhouse gases and contributor to greenhouse gases and contributor to greenhouse gases and generates up to a quarter of all generates up to a quarter of all generates up to a quarter of all emissions. Transport is 96 % emissions. Transport is 96 % emissions. It is also a major dependent on fossil fuels. Meanwhile, dependent on fossil fuels. Meanwhile, contributor to other air pollution congestion is an increasing problem; congestion is an increasing problem; problems. Transport is still 96 % systems are not yet sufficiently smart; systems are not yet sufficiently smart; dependent on fossil fuels. Meanwhile, alternatives for shifting between alternatives for shifting between It is essential to reduce this different modes of transport are not different towards more sustainable environmental impact through always attractive; road fatalities remain modes of transport are not always targeted technological improvement, dramatically high at 34 000 per year in attractive; road fatalities remain bearing in mind that each mode of the Union; citizens and businesses dramatically high at 34 000 per year in transport faces varying challenges expect a transport system that is safe the Union; citizens and businesses and is characterised by different and secure. The urban context poses expect a transport system that is technology integration cycles. specific challenges to the sustainability accessible to all, safe and secure. The Moreover congestion is an increasing of transport. urban context poses specific challenges problem; systems are not yet

to a better balance of quality of life sufficiently smart; alternatives for and the sustainability of transport and shifting between different modes of mobility. transport are not always attractive; road fatalities remain dramatically high at 34 000 per year in the Union; citizens and businesses expect a transport system that is safe and secure. The urban context poses specific challenges and opportunities to the sustainability of transport.

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Within a few decades the expected Within a few decades the expected Within a few decades the expected growth rates of transport would drive growth rates of transport would drive growth rates of transport would drive European traffic into a gridlock and European traffic into a gridlock and European traffic into a gridlock and make its economic costs and societal make its economic costs and societal make its economic costs and societal impact unbearable. Passengerimpact unbearable, with disastrous impact unbearable. Passengerkilometres are predicted to double over economic and societal repercussions. kilometres are predicted to double over the next 40 years and grow twice as If tendencies of the past continue in the next 40 years and grow twice as fast for air travel. CO 2 emissions the future, passenger-kilometres are fast for air travel. CO 2 emissions

would grow 35 % by 2050. Congestion predicted to double over the next 40 would grow 35 % by 2050. 14

costs would increase by about 50 %, to years and grow twice as fast for air Congestion costs would increase by

nearly EUR 200 billion annually. The travel. CO 2 emissions would grow 35 about 50 %, to nearly EUR 200 billion

external costs of accidents would % by 2050. Congestion costs would annually. The external costs of increase by about EUR 60 billion increase by about 50 %, to nearly EUR accidents would increase by about compared to 2005. 200 billion annually. The external EUR 60 billion compared to 2005.

costs of accidents would increase by __________________ about EUR 60 billion compared to

2005. 14 Commission White Paper on

"Roadmap to a Single European Transport Area – Towards a competitive and resource efficient transport system" COM(2011) 144 i final.

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Business-as-usual is therefore not an [no change] Business-as-usual is therefore not an option. Research and innovation, option. Research and innovation, driven by policy objectives and driven by policy objectives and focused on the key challenges, shall focused on the key challenges, shall contribute substantially to achieve the contribute substantially to achieve the Union's targets of limiting global Union's targets of limiting global

temperature increase to 2ºC, cutting 60 temperature increase to 2ºC, cutting 15

% of CO 2 emissions from transport, 60 % of CO 2 emissions from transport, drastically reduce congestion and drastically reduce congestion and accident costs, and virtually accident costs, and virtually eradicating road deaths by 2050. eradicating road deaths by 2050.

__________________

15 Commission White Paper on

"Roadmap to a Single European Transport Area – Towards a competitive and resource efficient transport system" COM(2011) 144 i final.

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The problems of pollution, congestion, The problems of pollution, congestion, The problems of pollution, congestion, safety and security are common safety and security are common safety and security are common throughout the Union and call for throughout the Union and call for throughout the Union and call for collaborative Europe-wide responses. collaborative Europe-wide responses. collaborative Europe-wide responses. Accelerating the development and Accelerating the development and Accelerating the development and deployment of new technologies and deployment of new technologies and deployment of new technologies and

innovative solutions for vehicles, innovative solutions for vehicles innovative solutions for vehicles 16 ,

infrastructures and transport infrastructures and which ensure the infrastructures and transport management will be key to achieve a coherent development of management will be key to achieve a cleaner and more efficient transport infrastructure and transport cleaner and more efficient intermodal system in the Union; to deliver the management will be key to achieve a and multi-modal transport system in results necessary to mitigate climate cleaner, safer, and more secure, the Union; to deliver the results change and improve resource accessible and efficient transport necessary to mitigate climate change efficiency; to maintain European system in the Union; to deliver the and improve resource efficiency; to leadership on the world markets for results necessary to mitigate climate maintain European leadership on the transport related products and services. change and improve resource world markets for transport related These objectives cannot be achieved efficiency; to maintain European products and services. These objectives through fragmented national efforts leadership on the world markets for cannot be achieved through alone. transport related products and services. fragmented national efforts alone.

These objectives cannot be achieved __________________ through fragmented national efforts

alone. 16 “Vehicles” is to be understood in a

broad sense, including all means of transport.

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It is also essential to support existing solutions by creating effective, smart, interoperable and interconnected systems related to SESAR, Galileo, EG OS, GMES, ERTMS, RIS, SafeSea et, LRIT and ITS systems. Initiatives such as eSafety and eCall must also be continued.

Union level funding of transport Union level funding of transport Union level funding of transport research and innovation will research and innovation will research and innovation will complement Member States’ activities complement Member States’ activities complement Member States’ activities by focussing on activities with a clear by focussing on activities with a clear by focussing on activities with a clear European added-value. This means that European added-value. This means that European added-value. This means that emphasis will be placed on priority emphasis will be placed on priority emphasis will be placed on priority areas that match European policy areas that match European policy areas that match European policy objectives; where a critical mass of objectives; where a critical mass of objectives; where a critical mass of effort is necessary; where Europeeffort is necessary; where Europe-wide effort is necessary; where Europewide, interoperable transport solutions transport systems, up-to-date sources wide, interoperable transport solutions need to be pursued; or where pooling of propulsion and power, need to be pursued; or where pooling efforts trans-nationally can reduce interoperable transport solutions or efforts trans-nationally and making research investment risks, pioneer multimodal integrated transport better use of and effectively common standards and shorten timesolutions and infrastructures need to disseminating existing research to-market of research results. be pursued; or where pooling efforts evidence can reduce research

trans-nationally can remove investment risks, pioneer common bottlenecks in the transport system standards and shorten time-to-market and reduce research investment risks, of research results. pioneer common standards and standardisation and shorten time-tomarket of research results.

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Research and innovation activities Research and innovation activities Research and innovation activities shall include a wide range of initiatives shall include a wide range of initiatives shall include a wide range of that cover the full innovation chain. that cover the full innovation chain initiatives, including relevant public Several activities are specifically and follow an integrated approach to private partnerships, that cover the intended to help bring results to the innovative transport solutions from full innovation chain. Several activities market: a programmatic approach to innovation in relation to vehicles, to are specifically intended to help bring research and innovation, demonstration infrastructures as well as to transport results to the market: a programmatic projects, market take-up actions and systems. Several activities are approach to research and innovation, support for standardisation, regulation specifically intended to help bring demonstration projects, market take-up and innovative procurement strategies results to the market: a programmatic actions and support for standardisation, all serve this goal. In addition, using approach to research and innovation, regulation and innovative procurement stakeholders' engagement and expertise demonstration projects, market take-up strategies all serve this goal. In will help bridge the gap between actions and support for standardisation, addition, using stakeholders' research results and their deployment regulation and innovative procurement engagement and expertise will help in the transport sector. strategies all serve this goal. In bridge the gap between research results

addition, using stakeholders' and their deployment in the transport engagement and expertise will help sector. bridge the gap between research results and their deployment in the transport sector.

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Investing in research and innovation Investing in research and innovation Investing in research and innovation for a greener, smarter and more for a greener, smarter and more fully for a greener, smarter and more fully integrated transport system will make integrated reliable transport system integrated transport system will make an important contribution to the will make an important contribution to an important contribution to the Europe 2020 goals of smart, the Europe 2020 goals of smart, Europe 2020 goals of smart, sustainable and inclusive growth and sustainable and inclusive growth and sustainable and inclusive growth and the objectives of the Innovation Union the objectives of the Innovation Union the objectives of the Innovation Union flagship initiative. The activities will flagship initiative. The activities will flagship initiative. The activities will support the implementation of the support the implementation of the support the implementation of the White Paper on Transport aiming at a White Paper on Transport aiming at a White Paper on Transport aiming at a Single European Transport Area. They Single European Transport Area. They Single European Transport Area. They will also contribute to the policy goals will also contribute to the policy goals will also contribute to the policy goals outlined in the flagship initiatives on outlined in the flagship initiatives on outlined in the flagship initiatives on 'Resource Efficient Europe', 'An 'Resource Efficient Europe', 'An 'Resource Efficient Europe', 'An Industrial Policy for the Globalisation Industrial Policy for the Globalisation Industrial Policy for the Globalisation Era' and 'A Digital Agenda for Europe'. Era' and 'A Digital Agenda for Europe'. Era' and 'A Digital Agenda for Europe'.

They will also interface with the relevant Joint Programming Initiatives.

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4.3. Broad lines of the activities 4.3. Broad lines of the activities 4.3. Broad lines of the activities The activities will be organised in such a way as to allow for an

integrated and mode-specific approach as appropriate. Multiannual visibility and continuity will be necessary in order to take into account the specificities of each transport mode and the holistic nature of challenges, as well as the relevant Strategic Research and Innovation Agendas of the transport European Technology Platforms.

(a) Resource efficient transport that (a) Resource efficient transport that [no change] respects the environment respects the environment and public

health

The aim is to minimise transport's The aim is to minimise transport's The aim is to minimise transport's impact on climate and the environment impact on climate and the systems' impact on climate and the by improving its efficiency in the use environment, as well as on public environment (including noise and air of natural resources, and by reducing health, by improving its quality, pollution) by improving its efficiency its dependence on fossil fuels. efficiency and effectiveness in the use in the use of natural resources, and by

of natural resources, diversifying fuel reducing its dependence on fossil fuels. supply sources and by reducing its dependence on fossil fuels while reducing also greenhouse gas emissions. To increase the cost efficiency attention is to be paid to maintenance, repair, retrofitting and recycling for all transport modes.

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The focus of activities shall be to The focus of activities shall, as a first The focus of activities shall be to reduce resource consumption and step, be to reduce resource reduce resource consumption, greenhouse gas emissions and improve consumption, noise levels and particularly fossil fuels, and vehicle efficiency, to accelerate the greenhouse gas emissions and improve greenhouse gas emissions and, as well development and deployment of a new vehicle the energy efficiency of all as improve vehicle transport generation of electric and other low or kinds of vehicles, to accelerate the efficiency, to accelerate the zero emission vehicles, including development and deployment of a new development, manufacturing and through breakthroughs in engines, generation of electric and other of low deployment of a new generation of batteries and infrastructure; to explore or zero emission vehicles and the clean (electric, hydrogen and other and exploit the potential of alternative accompanying infrastructure, low or zero emission) vehicles, fuels and innovative and more efficient including through breakthroughs in including through breakthroughs and propulsion systems, including fuel engines, batteries and infrastructure; to optimization in engines, batteries infrastructure; to optimise the use of explore and exploit and the use of energy storage and infrastructure; to infrastructures, by means of intelligent renewables in rail, water and air explore and exploit the potential of transport systems and smart transport. Moreover, all innovation alternative fuels and innovative and equipment; and to increase the use of aimed at achieving low or zero more efficient propulsion and demand management and public and emissions in all modes of transport operating systems, including fuel non-motorised transport, particularly in should be encouraged, including infrastructure and charging; to urban areas. developing the huge potential of optimise the planning and use of

alternative and sustainable fuels, and infrastructures, by means of intelligent developing innovative and more transport systems, logistics, and smart efficient propulsion systems, including equipment; and to increase the use of fuel infrastructure; to optimise demand management and public and working on optimising fuel systems, non-motorised transport, particularly in vehicle weights and aerodynamics, urban areas. and development and infrastructure, and optimising the use of infrastructures by means of using intelligent transport systems and smart equipment. It is important to increase the use of demand management and public and non-motorised transport and intermodal mobility chains, particularly in urban areas.

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(b) Better mobility, less congestion, (b) Better mobility and accessibility, [no change] more safety and security less congestion, more safety and

security

The aim is to reconcile the growing The aim is to reconcile the growing The aim is to reconcile the growing mobility needs with improved mobility needs with improved mobility needs with improved transport fluidity, through innovative transport fluidity, through innovative transport fluidity, through innovative solutions for seamless, inclusive, safe, solutions for seamless, intermodal, solutions for seamless, inclusive, secure and robust transport systems. inclusive, accessible, safe, secure, affordable, safe, secure and robust

healthy, and robust transport systems, transport systems. not forgetting the importance of highquality, innovative and intermodal infrastructure.

The focus of activities shall be to The focus of activities shall be to The focus of activities shall be to reduce congestion, improve reduce congestion, improve life reduce congestion, improve accessibility and match user needs by quality, accessibility and accessibility, passenger choices and promoting integrated door-to-door interoperability and match user needs match user needs by promoting transport and logistics; to enhance by promoting integrated door-to-door integrated door-to-door transport and inter-modality and the deployment of transport and logistics and mobility logistics; to enhance inter-modality smart planning and management management; to accelerate and the deployment of smart planning solutions; and to drastically reduce the intermodal solutions for passengers and management solutions; and to occurrence of accidents and the impact (intermodal ticketing); to enhance drastically reduce the occurrence of of security threats. inter-modality inter- and multiaccidents and the impact of security

modality and the deployment of smart threats. planning and management solutions; and to drastically reduce the occurrence of accidents and the impact of security threats.

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(c) Global leadership for the European [no change] [no change] transport industry

The aim is to reinforce the The aim is to reinforce the The aim is to reinforce the competitiveness and performance of competitiveness and performance of competitiveness and performance of European transport manufacturing European transport manufacturing European transport manufacturing industries and related services. industries and related services in view industries and related services

of the promising, but highly including logistic processes and competitive, future global market. retain areas of European leadership Due attention is to be paid to logistic (e.g. such as aeronautics). processes, maintenance, repair, retrofitting and recycling.

The focus of activities shall be to The focus of activities shall be to The focus of activities shall be to develop the next generation of develop the next generation of develop the next generation of innovative transport means and to innovative transport means and to innovative air, waterborne and land prepare the ground for the following prepare the ground for the following transport means, ensure sustainable one, by working on novel concepts and one, by working on novel manufacturing of innovative systems designs, smart control systems and configurations and technologies, and equipment and to prepare the interoperable standards, efficient concepts and designs, smart control ground for the following one future production processes, shorter systems and interoperable standards, transport means, by working on development times and reduced efficient production processes, use of novel technologies, concepts and lifecycle costs. advanced materials and biological bidesigns, smart control systems and

products which are more sustainable, interoperable standards, efficient innovative certification procedures, production processes, innovative shorter development times and reduced services and certification lifecycle costs, or new more procedures, shorter development sustainable materials or coatings. times and reduced lifecycle costs without compromising operational safety and security.

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(ca) Smart logistics

The aim is to reconcile growing new consumer patterns with an efficient resource supply chain and optimal last mile freight distribution.

The focus of activities shall be to better understand the impact of new and future consumer patterns and urban freight logistics, traffic and congestion; develop new IT and management tools for logistics, by improving real time information systems to manage, track and trace freight flows, integration and communication on vehicle and with infrastructure; to develop unconventional systems for goods distribution; to develop competitive intermodal solutions for the supply chain and logistics platforms that improve freight flows.

(d) Socio-economic research and (d) Socio-economic and behavioural [no change] forward looking activities for policy research and forward looking activities making for policy making

The aim is to support improved policy The aim is to support improved policy [no change] making which is necessary to promote making which is necessary to promote innovation and meet the challenges innovation and meet the challenges raised by transport and the societal raised by transport and mobility and needs related to it. the societal and individual needs

related to it.

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The focus of activities shall be to The focus of activities shall be to The focus of activities shall be to improve the understanding of transport improve the understanding of transport improve the understanding of transport related socio-economic trends and related socio-economic trends and related socio-economic impacts, prospects, and provide policy makers prospects, and provide policy makers trends and prospects, including the with evidence-based data and analyses. with evidence-based data and analyses evolution of future demand, and

disseminated inter alia via the provide policy makers with evidence European Commission's Transport based data and analyses. Research Knowledge Centre.

The organisation of all transportrelated activities will follow an integrated and mode-specific approach and be in line with the Strategic Research and Innovation agendas of European Technology Platforms. Multiannual visibility and continuity are essential in order to ensure true Union added-value and to take into account the numerous specificities of each transport mode.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 142

5. CLIMATE ACTION, 5. Climate action, environment, 5. CLIMATE ACTION, RESOURCE EFFICIENCY AND resource efficiency and RESOURCE EFFICIENCY AND

RAW MATERIALS sustainable use of raw materials RAW MATERIALS

5.1. Specific objective 5.1. Specific objective 5.1. Specific objective

The specific objective is to achieve a The specific objective is to achieve a The specific objective is to achieve a resource efficient and climate resource efficient, secure and climate resource - and water - efficient and change resilient economy and a change resilient economy and climate change resilient economy sustainable supply of raw materials, society, the protection and sustainable and society, protection of the in order to meet the needs of a management of natural resources and environment and a sustainable growing global population within the ecosystems, a sustainable use and supply of raw materials, in order to sustainable limits of the planet's supply of raw materials and water, in meet the needs of a growing global natural resources. Activities will order to meet the needs of a growing population within the sustainable contribute to increasing European global population within the limits of the planet's natural competitiveness and improving well sustainable limits of the planet's resources. and eco-systems. being, whilst assuring environmental terrestrial and marine natural Activities will contribute to integrity and sustainability, keeping resources. Activities will contribute increasing European average global warming below 2 °C to increasing European competitiveness, raw materials and enabling ecosystems and society competitiveness and raw materials security and improving well being, to adapt to climate change. security and improving well being, whilst assuring environmental

whilst assuring environmental integrity, resilience and integrity, resilience and sustainability, with the aim of sustainability keeping average global keeping average global warming warming below 2 °C and, enabling below 2°C and enabling ecosystems ecosystems and society to adapt to and society to adapt to climate climate change. change. and other environmental changes.

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During the 20th century, the world [no change] During the 20th century, the world increased both its fossil fuel use and increased both its fossil fuel use and the extraction of material resources by the extraction of material resources by of the order of a factor of ten. This era of the order of a factor of ten. This era of seemingly plentiful and cheap of seemingly plentiful and cheap resources is coming to an end. Raw resources is coming to an end. Raw materials, water, air, biodiversity and materials, water, air, biodiversity and terrestrial, aquatic and marine terrestrial, aquatic and marine ecosystems are all under pressure. ecosystems are all under pressure. Many of the world’s major ecosystems Many of the world’s major ecosystems are being degraded, with up to 60 % of are being degraded, with up to 60 % of the services that they provide being the services that they provide being used unsustainably. In the Union, some used unsustainably. In the Union, some 16 tonnes of materials are used per 16 tonnes of materials are used per person each year, of which 6 tonnes person each year, of which 6 tonnes are wasted, with half going to landfill. are wasted, with half going to landfill. The global demand for resources The global demand for resources continues to increase with the growing continues to increase with the growing population and rising aspirations, in population and rising aspirations, in particular of middle income earners in particular of middle income earners in emerging economies. There needs to emerging economies. There needs to be an absolute decoupling of economic be an absolute decoupling of economic growth from resource use. growth from resource use.

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The average temperature of the Earth's The average temperature of the Earth's The average temperature of the Earth's surface has increased by about 0.8°C surface has increased by about 0.8°C surface has increased by about 0.8°C over the past 100 years and is projected over the past 100 years and is projected over the past 100 years and is projected to increase by between 1.8 to 4°C by to increase by between 1.8 to 4°C by to increase by between 1.8 to 4°C by

the end of the 21 st century (relative to the end of the 21st century (relative to the end of the 21 st century (relative to

the 1980-1999 average) 29 . The likely the 1980-1999 average). The likely the 1980-1999 average) 29 17 . The likely

impacts on natural and human systems impacts on natural and human systems impacts on natural and human systems associated with these changes will associated with these changes will associated with these changes will challenge the planet and its ability to challenge the planet and its ability to challenge the planet and its ability to adapt, as well as threatening future adapt, as well as threatening future adapt, as well as threatening future economic development and the well economic development and the well economic development and the well being of humanity. being of humanity. The consequences being of humanity.

of climate change and pollution, in __________________ combination with growing __________________

urbanisation, mass tourism, human

29 IPCC 4th Assessment Report , 2007, negligence and the over-exploitation 2917 IPCC 4th Assessment Report ,

( www.ipcc.ch ) of resources are endangering the 2007, ( www.ipcc.ch ) fragile cultural fabric of the

communities which embody Europe's cultural heritage.

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The growing impacts from climate The growing impacts from climate The growing impacts from climate change and environmental problems, change and environmental problems, change and environmental problems, such as ocean acidification, ice melting such as ocean acidification, changes in such as ocean acidification, changes in in the Arctic, land degradation and use, ocean circulation, increase of ocean circulation, increase of water shortages, chemical pollution seawater temperature, ice melting in seawater temperature, ice melting in and biodiversity loss, indicate that the the Arctic and decreased seawater the Arctic, land degradation and use, planet is approaching its sustainability salinity, land degradation and use, loss water shortages scarcity, droughts boundaries. For example, without of soil fertility, water shortages, and floods, seismic and volcanic improvements in efficiency, water hydrological anomalies, rainfall hazards, chemical pollution, demand is projected to overshoot temporal and spatial heterogeneity, resources over-exploitation and supply by 40 % in 20 years time. changes in spatial distribution of biodiversity loss, indicate that the Forests are disappearing at an species, chemical pollution and planet is approaching its sustainability alarmingly high rate of 5 million biodiversity loss, indicate that the boundaries. For example, without hectares per year. Interactions between planet is approaching its sustainability improvements in efficiency, water resources can cause systemic risks – boundaries. For example, without demand is projected to overshoot with the depletion of one resource improvements in efficiency, water supply by 40 % in 20 years time. generating an irreversible tipping point demand is projected to overshoot Forests are disappearing at an for other resources and ecosystems. supply by 40 % in 20 years time. alarmingly high rate of 5 million Based on current trends, the equivalent Forests are disappearing at an hectares per year. Interactions between of more than two planet Earths will be alarmingly high rate of 5 million resources can cause systemic risks – needed by 2050 to support the growing hectares per year. Interactions between with the depletion of one resource global population. resources can cause systemic risks – generating an irreversible tipping point

with the depletion of one resource for other resources and ecosystems. generating an irreversible tipping point Based on current trends, the equivalent for other resources and ecosystems. of more than two planet Earths will be Based on current trends, the equivalent needed by 2050 to support the growing of more than two planet Earths will be global population. needed by 2050 to support the growing global population.

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There is an urgent need for integrated water system innovations in Europe. Europe faces an ageing water infrastructure (both waste water and drinking water supply), increased water shortages, higher risks of urban flooding, water pollution and a growing and more specific water demand from agriculture, industries and urban population.

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The sustainable supply and resource The sustainable supply and resource The sustainable supply and resource- efficient management of raw materials, efficient and secure management of efficient management of raw materials, including their exploration, extraction, raw materials, including their including their exploration, extraction, processing, re-use, recycling and exploration, extraction, processing, processing, re-use, recycling and substitution, is essential for the resource efficient use, re-use, substitution, is essential for the functioning of modern societies and recycling and substitution, is essential functioning of modern societies and their economies. European sectors, for the functioning of modern societies their economies. European sectors, such as construction, chemicals, and their economies. European sectors, such as construction, chemicals, automotive, aerospace, machinery and such as construction, chemicals, automotive, aerospace, machinery and equipment, which provide a total automotive, aerospace, machinery and equipment, which provide a total added value of some EUR 1.3 trillion equipment, which provide a total added value of some EUR 1.3 trillion and employment for approximately 30 added value of some EUR 1.3 trillion and employment for approximately 30 million people, heavily depend on and employment for approximately 30 million people, heavily depend on access to raw materials. However, the million people, heavily depend on access to raw materials. However, the supply of raw materials to the Union is access to raw materials. However, the supply of raw materials to the Union is coming under increasing pressure. supply of raw materials to the Union is coming under increasing pressure. Furthermore, the Union is highly coming under increasing pressure Furthermore, the Union is highly dependent on imports of strategically especially considering poor waste dependent on imports of strategically important raw materials, which are cycle management. Furthermore, the important raw materials, which are being affected at an alarming rate by Union is highly dependent on imports being affected at an alarming rate by market distortions. Moreover, the of strategically important raw market distortions. Moreover, the Union still has valuable mineral materials, which are being affected at Union still has valuable mineral deposits, whose exploration and an alarming rate by market distortions. deposits, whose exploration and extraction is limited by a lack of Moreover, the Union still has valuable extraction is limited by a lack of adequate technologies and hampered mineral deposits, whose exploration, adequate technologies and hampered by increased global competition. Given and, extraction and processing is by increased global competition. Given the importance of raw materials for limited by a lack of adequate the importance of raw materials for European competitiveness, the technologies, by missing investment European competitiveness, the economy and for their application in and hampered by increased global economy and for their application in innovative products, the sustainable competition. Given the importance of innovative products, the sustainable supply and resource efficient raw materials for European supply and resource efficient management of raw materials is a vital competitiveness, the economy and for management of raw materials is a vital priority for the Union. their application in innovative priority for the Union.

products, the sustainable supply and resource efficient management of raw materials is a vital priority for the Union.

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The ability of the economy to adapt The ability of the economy to adapt The ability of the economy to adapt and become more climate change and become more climate change and become more climate change resilient, resource efficient and at the resilient, resource efficient and at the resilient, resource efficient and at the same time remain competitive depends same time remain competitive depends same time remain competitive depends on high levels of eco-innovation, of on high levels of eco-innovation, of on high levels of eco-innovation, of both a societal and technological both a societal, organisational and both a societal, economic and nature. With the global market for ecotechnological nature. With the global technological nature. With the global innovation worth around EUR 1 market for eco-innovation worth market for eco-innovation worth trillion per annum and expected to around EUR 1 trillion per annum and around EUR 1 trillion per annum and triple by 2030, eco-innovation expected to triple by 2030, ecoexpected to triple by 2030, ecorepresents a major opportunity to boost innovation represents a major innovation represents a major competitiveness and job creation in opportunity to boost competitiveness opportunity to boost competitiveness European economies. and job creation in European and job creation in European

economies. economies.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

5.2. Rationale and Union added 5.2. Rationale and Union added 5.2. Rationale and Union added value value value

Meeting Union and international Meeting Union and international Meeting Union and international targets for greenhouse gas emissions targets for greenhouse gas emissions targets for greenhouse gas emissions and concentrations and coping with and concentrations and coping with and concentrations and coping with climate change impacts requires the climate change impacts requires the climate change impacts requires a development and deployment of costdevelopment and deployment of costtransition towards a low-carbon effective technologies, and mitigation effective technologies, and sustainable society and the development and and adaptation measures. Union and and effective non-technological and deployment of cost-effective global policy frameworks must ensure technological solutions, and technologies, and mitigation and that ecosystems and biodiversity are mitigation and adaptation measures. adaptation measures., and a stronger protected, valued and appropriately Union and global policy frameworks understanding of societal responses restored in order to preserve their must ensure that ecosystems and to these challenges. Union and global ability to provide resources and biodiversity are protected, valued and policy frameworks must ensure that services in the future. Research and appropriately restored in order to ecosystems and biodiversity are innovation can help secure reliable and preserve their ability to provide protected, valued and appropriately sustainable access to raw materials and resources and services in the future. restored in order to preserve their ensure a significant reduction in Research and innovation can help ability to provide resources and resource use and wastage. secure reliable and sustainable access services in the future. Research and

to and exploitation of raw materials innovation can help secure reliable and

and ensure a significant reduction in sustainable access to and exploitation

resource use and wastage. of raw materials on land and sea bed

and ensure a significant reduction in

resource use and wastage.

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The focus of Union actions shall The focus of Union actions shall The focus of Union actions shall therefore be on supporting key Union therefore be on supporting key Union therefore be on supporting key Union objectives and policies including: the objectives and policies including: the objectives and policies covering the Europe 2020 strategy; the Innovation Europe 2020 strategy; the Innovation whole innovation cycle and the Union; Resource-Efficient Europe and Union; Resource-Efficient Europe and elements of the knowledge triangle the corresponding Roadmap; the the corresponding Roadmap; the including: the Europe 2020 strategy; Roadmap for moving to a competitive Roadmap for moving to a competitive the Innovation Union; the Industrial

low carbon economy in 2050 30 ; low carbon economy in 2050; the Policy for a globalised era, Resource

Adapting to climate change: Towards a Integrated Industrial Policy for the Efficient Europe and the corresponding

European framework for action 31 ; the globalisation era; Adapting to climate Roadmap; the Roadmap for moving to

Raw Materials Initiative 32 ; the Union's change: Towards a European a competitive low carbon economy in

Sustainable Development Strategy 33 ; framework for action; the Raw 2050 3018 ; Adapting to climate change:

an Integrated Maritime Policy for the Materials Initiative; the Union's Towards a European framework for

Union 34 ; the Marine Strategy Sustainable Development Strategy; an action 3119 ; the Raw Materials

Framework Directive 35 ; the Eco Integrated Maritime Policy for the Initiative 3220 ; the Union's Sustainable innovation Action Plan and the Digital Union; the Marine Strategy Development Strategy 3321 ; an Agenda for Europe 36 . Framework Directive; the Eco Integrated Maritime Policy for the __________________ innovation Action Plan and the Digital Union 3422 ; the Marine Strategy

Agenda for Europe; the European Framework Directive 3523 ; the Water

30 COM (2011) 112 i Innovation Partnership for Raw Framework Directive and daughter

31 COM (2009) 147 i Materials; the European Innovation Directives; the Flood Directive; the

32 COM(2011) 25 i Partnership on Water; and the 7th Eco-innovation Action Plan and the

33 COM(2009) 400 i Environmental Action Programme. Digital Agenda for Europe 3624 . These

34 COM(2007) 575 final i actions shall, when appropriate,

35 DIRECTIVE 2008/56/EC interface with relevant European

36 COM(2010) 245 i Innovation Partnerships and Joint

Programming Initiatives. __________________

3018 COM (2011) 112 i 3119 COM (2009) 147 i 3220 COM(2011) 25 i 3321 COM(2009) 400 i 3422 COM(2007) 575 final i 3523 DIRECTIVE 2008/56/EC

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These actions shall reinforce the ability [no change] [no change] of society to become more resilient to environmental and climate change and ensure the availability of raw materials.

Given the transnational and global Given the transnational and global Given the transnational and global nature of the climate and the nature of the climate and the nature of the climate and the environment, their scale and environment, their scale and environment, their scale and complexity, and the international complexity, and the international complexity, and the international dimension of the raw materials supply dimension of the raw materials supply dimension of the raw materials supply chain, activities have to be carried out chain, activities have to be carried out chain, activities have to be carried out at the Union level and beyond. The at the Union level and beyond. The at the Union level and beyond. The multi-disciplinary character of the multi-disciplinary character of the multi-disciplinary character of the necessary research requires pooling necessary research requires pooling necessary research requires pooling complementary knowledge and complementary knowledge and complementary knowledge and resources in order to effectively tackle resources in order to effectively tackle resources in order to effectively tackle this challenge. Reducing resource use this challenge. Reducing resource use this challenge in a sustainable way. and environmental impacts, whilst and environmental impacts, whilst Reducing resource use and increasing competitiveness, will increasing competitiveness, will environmental impacts, whilst require a decisive societal and require a decisive societal and increasing competitiveness, will technological transition to an economy technological transition to an a require a decisive societal and based on a sustainable relationship sustainable economy based on a technological transition to an economy between nature and human well-being. sustainable mutually beneficial based on a sustainable relationship Coordinated research and innovation relationship between nature and between nature and human well-being. activities will improve the biodiversity and the human well-being Coordinated research and innovation understanding and forecasting of population. Coordinated research and activities will improve the climate and environmental change in a innovation activities will improve the understanding and forecasting of systemic and cross-sectoral understanding and forecasting of climate and environmental change in a perspective, reduce uncertainties, climate and environmental change in a systemic and cross-sectoral identify and assess vulnerabilities, systemic and cross-sectoral perspective, reduce uncertainties, risks, costs and opportunities, as well perspective, reduce uncertainties, identify and assess vulnerabilities, as expand the range and improve the identify and assess vulnerabilities, risks, costs and opportunities, as well effectiveness of societal and policy risks, costs and opportunities, as well as expand the range and improve the responses and solutions. as expand the range and improve the effectiveness of societal and policy

effectiveness of societal and policy responses and solutions. responses and solutions.

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Actions will also seek to empower [no change] Actions will also seek to improve actors at all levels of society to actively research and innovation delivery participate in this process. and dissemination to support policymaking

and to empower actors at all levels of society to actively participate in this process. In this context, water challenges include water use in rural, urban and industrial environments and the protection of aquatic ecosystems.

Addressing the availability of raw Addressing the sustainable use and Addressing the availability of raw materials calls for co-ordinated availability of raw materials calls for materials calls for co-ordinated research and innovation efforts across co-ordinated research and innovation research and innovation efforts across many disciplines and sectors to help efforts across many disciplines and many disciplines and sectors to help provide safe, economically feasible, sectors to help provide safe, provide safe, economically feasible, environmentally sound and socially economically feasible, environmentally environmentally sound and socially acceptable solutions along the entire sound and socially acceptable solutions acceptable solutions along the entire value chain (exploration, extraction, along the entire value chain value chain (exploration, extraction, processing, re-use, recycling and (exploration, extraction, design, processing, re-use, recycling and substitution). Innovation in these fields processing, re-use, recycling and substitution). Innovation in these fields will provide opportunities for growth substitution). Innovation in these fields will provide opportunities for growth and jobs, as well as innovative options will provide opportunities for growth and jobs, as well as innovative options involving science, technology, the and jobs, as well as innovative options involving science, technology, the economy, policy and governance. For involving science, technology, the economy, society, policy and this reason, a European Innovation economy, policy and governance. For governance. For this reason, a Partnership on Raw Materials is being this reason, a European Innovation European Innovation Partnership on prepared. Partnerships on Water Efficiency and Raw Materials is being prepared.

Raw Materials is are being prepared and, for the critical raw materials called rare earths, a European Rare Earth Competency etwork set up.

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Eco-innovation will provide valuable [no change] Responsible eco-innovation will may new opportunities for growth and jobs. provide valuable new opportunities for Solutions developed through Union growth and jobs. Solutions developed level action will counter key threats to through Union level action will counter industrial competitiveness and enable key threats to industrial rapid uptake and replication across the competitiveness and enable rapid Single Market and beyond. This will uptake and replication across the enable the transition towards a green Single Market and beyond. This will economy that takes into account the enable the transition towards a green sustainable use of resources. Partners economy that takes into account the for this approach will include: sustainable use of resources. Partners International, European and national for this approach will include: policy makers; international and International, European and national Member State research and innovation policy makers; international and programmes; European business and Member State research and innovation industry; the European Environment programmes; European business and Agency and national environment industry; the European Environment agencies; and other relevant Agency and national environment stakeholders. agencies; and other relevant

stakeholders.

In addition to bilateral and regional In addition to bilateral and regional [no change] cooperation, Union level actions will cooperation, Union level actions will also support relevant international also support relevant international efforts and initiatives, including the efforts and initiatives, including the Intergovernmental Panel on Climate Intergovernmental Panel on Climate Change (IPCC), the Intergovernmental Change (IPCC), the Intergovernmental Platform on Biodiversity and Platform on Biodiversity and

Ecosystem Services (IPBES) and the Ecosystem Services (IPBES), the

Group on Earth Observations (GEO). International Resource Panel, and the

Group on Earth Observations (GEO).

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

5.3. Broad lines of the activities 5.3. Broad lines of the activities 5.3. Broad lines of the activities (a) Fighting and adapting to climate [no change] [no change] change

The aim is to develop and assess The aim is to develop and assess The aim is to develop and assess innovative, cost-effective and innovative, cost-effective and innovative, cost-effective and sustainable adaptation and mitigation sustainable adaptation and mitigation sustainable adaptation and mitigation

measures, targeting both CO 2 and nonmeasures and strategies, targeting both measures, targeting both CO 2 and non

CO 2 greenhouse gases, and underlining CO2 and non-CO2 greenhouse gases CO 2 greenhouse gases, and underlining both technological and nonand particles, rising levels of sea and both technological and nontechnological green solutions, through inland waters; and underlining both technological green solutions, through the generation of evidence for technological and non-technological the generation of evidence for informed, early and effective action green solutions, through the generation informed, early and effective action and the networking of the required of evidence for informed, early and and the networking of the required competences. Activities shall focus on: effective action and the networking of competences. Activities shall focus on: improving the understanding of the required competences. Activities improving the understanding of climate change and the provision of shall focus on: improving the climate change and the provision of reliable climate projections; assessing understanding of climate change and reliable climate projections; assessing impacts, vulnerabilities and developing the risks associated with extreme impacts, vulnerabilities and developing innovative cost-effective adaptation events and abrupt changes through innovative cost-effective adaptation and risk prevention measures; the provision of reliable climate and risk prevention and management supporting mitigation policies. projections; understanding the ozonemeasures; supporting mitigation

climate interactions and the water policies. including studies that focus cycle in the atmosphere; assessing on impact from other sectoral

impacts at global, regional and local policies .

level, vulnerabilities and developing innovative cost-effective adaptation and risk prevention and management measures in key socio-economic sectors (e.g. agriculture, energy, transport, tourism, built environment and cultural heritage); supporting mitigation policies and defining fastaction strategies for climate responses within few decades.

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(b) Sustainably managing natural (b) Protecting the environment, (b) Sustainably managing Protection resources and ecosystems sustainably managing natural of the environment, sustainable

resources, water, biodiversity and management of natural resources, ecosystems water, biodiversity and ecosystems

The aim is to provide knowledge for The aim is to provide knowledge and The aim is to provide knowledge and the management of natural resources tools for the management and tools for the management and that achieves a sustainable balance protection of natural resources that protection of natural resources that between limited resources and the achieves a sustainable balance between achieves a sustainable balance between needs of society and the economy. limited resources and the needs of limited resources and the present and Activities shall focus on: furthering our society and the economy. Activities future needs of society and the understanding of the functioning of shall focus on: ensuring action to economy. Activities shall focus on: ecosystems, their interactions with safeguard the sustainable transition, furthering our understanding of social systems and their role in management and use of water biodiversity and the functioning of sustaining the economy and human resources and water services, ecosystems, their interactions with well-being; and providing knowledge furthering our understanding of the social systems and their role in and tools for effective decision making functioning of ecosystems, including sustaining the economy and human and public engagement. the regulatory role played by oceans well-being; developing integrated

and forests to prevent global approaches for the sustainable warming, their interactions with social management of water-related systems and their role in sustaining the challenges; and providing knowledge economy and human well-being; and and tools for effective decision making providing knowledge and tools for and public engagement. effective decision making and public engagement.

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(c) Ensuring the sustainable supply of (c) Ensuring the sustainable use, [no change] non-energy and non-agricultural raw management and supply of nonmaterials energy and non-agricultural raw

materials

The aim is to improve the knowledge The aim is to improve the knowledge The aim is to improve the knowledge base on raw materials and develop base on raw materials and develop base on raw materials and develop innovative solutions for the costinnovative solutions for the costinnovative solutions for the costeffective and environmentally friendly effective, resource efficient and effective and environmentally friendly exploration, extraction, processing, environmentally friendly exploration, exploration, extraction, processing, re- recycling and recovery of raw extraction, processing, use, re-use and use, recycling and recovery of raw materials and for their substitution by recycling and recovery of raw materials and for their substitution by economically attractive alternatives materials and for their substitution by economically attractive and with a lower environmental impact. economically attractive alternatives environmentally sustainable

Activities shall focus on: improving with a lower environmental impact. alternatives with a lower the knowledge base on the availability Activities shall focus on: improving environmental impact. Activities shall of raw materials; promoting the the knowledge base on the availability focus on: improving the knowledge sustainable supply and use of raw of raw materials; promoting ecobase on the availability of raw materials; finding alternatives for design; promoting the sustainable materials; promoting the sustainable critical raw materials; and improving supply, and use efficient use and resupply and use of raw materials, societal awareness and skills on raw use of raw materials; finding including mineral resources, from materials. alternatives for critical raw, materials, land and sea; finding alternatives for

developing closed-loop processes and critical raw materials; and improving systems, support recycling and re-use societal awareness and skills on raw strategies and technology; demandmaterials. side measure empowering citizens and consumers for the reduction of raw materials consumption and wastage; and improving societal awareness and skills on raw materials, establishing and stimulating regional and national raw material clusters.

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(d) Enabling the transition towards a [no change] (d) Enabling the transition towards a green economy through eco-innovation green economy and society through

eco-innovation

The aim is to foster all forms of eco The aim is to foster all forms of eco The aim is to foster all forms of ecoinnovation that enable the transition to innovation that enable the transition to innovation that enable the transition to a green economy. Activities shall focus a green economy. Activities shall focus a green economy. Activities shall focus on: strengthening eco-innovative on: strengthening eco-innovative on: strengthening eco-innovative technologies, processes, services and technologies, processes, services and technologies, processes, services and products and boosting their market products and boosting their market products, including exploring ways to uptake and replication, with special uptake and replication, with special reduce the quantities of raw attention for SMEs; supporting attention for SMEs; supporting materials in production and innovative policies and societal innovative policies sustainable consumption, and overcoming changes; measuring and assessing economic models and societal barriers in this context, and boosting progress towards a green economy; changes; supporting the research of their market uptake and replication, and fostering resource efficiency safe substitutes for substances with special attention for SMEs; through digital systems. indicated as dangerous under supporting innovative policies and

Regulation (EC) o 1907/2006 i of the societal changes; measuring and European Parliament and of the assessing progress towards a green Council of 18 December 2006 economy; and fostering resource (REACH Regulation); measuring and efficiency through digital systems. assessing progress towards a green economy; and fostering resource efficiency through digital systems. In particular the Eco-Innovation Programme successfully implemented under the Competitiveness and Innovation Programme in the previous EU Multi-Annual Financial Framework shall be continued under Horizon 2020.

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(e) Developing comprehensive and [no change] [no change] sustained global environmental observation and information systems

The aim is to ensure the delivery of the The aim is to ensure the delivery of the The aim is to ensure the delivery of the long-term data and information long-term data and information long-term data and information required to address this challenge. required to address this challenge. required to address this challenge.

Activities shall focus on the Activities shall focus on the Activities shall focus on the capabilities, technologies and data capabilities, technologies and data capabilities, technologies and data infrastructures for earth observation infrastructures for earth observation infrastructures for Earth observation and monitoring that can continuously and monitoring from both remote and monitoring that can continuously provide timely and accurate sensing and in situ measurements that provide timely and accurate information, forecasts and projections. can continuously provide timely and information, forecasts and projections. Free, open and unrestricted access to accurate information and permit Free, open and unrestricted access to interoperable data and information will forecasts and projections. Free, open interoperable data and information will be encouraged. and unrestricted access to interoperable be encouraged. Activities shall help

data and information will be define future operational activities of encouraged. the European Earth Monitoring programme (GMES) and enhance the use of GMES data for research activities.

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(f) Cultural heritage

The aim is to research into the strategies, methodologies and tools needed to enable a dynamic and sustainable cultural heritage in Europe in response to climate change. Cultural heritage in its diverse physical forms provides the living context for resilient communities responding to multivariate changes. Research in cultural heritage requires a multidisciplinary approach to improve the understanding of historical material. Activities shall focus on identifying resilience levels via observations, monitoring and modelling as well as provide for a better understanding on how communities perceive and respond to climate change and seismic and volcanic hazards.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

(part of)AMD 143 6. INCLUSIVE, INNOVATIVE 6. Understanding Europe in a 6. EUROPE IN A CHANGING

AND SECURE SOCIETIES changing world - inclusive, WORLD – INCLUSIVE,

innovative and securereflective INNOVATIVE AND SECURE

societies REFLECTIVE SOCIETIES

6.1 Specific objective 6.1 Specific objective 6.1 Specific objective

The specific objective is to foster The specific objective is to foster The specific objective is to foster a inclusive, innovative and secure inclusive, innovative, and secure greater understanding of Europe, European societies in a context of creative and reflective European provide solutions and support unprecedented transformations and societies through a greater inclusive, innovative and secure growing global interdependencies. understanding of Europe in a context reflective European societies in a

of unprecedented transformations context of unprecedented and growing global transformations and growing global interdependencies. interdependencies.

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Europe is confronted with major socio Europe is confronted with major socio Europe is confronted with major socioeconomic challenges which economic challenges which economic challenges which significantly affect its future - such as significantly affect its future, such as significantly affect its common future growing economic and cultural growing economic and cultural such as. These include: growing interdependencies, ageing, social interdependencies, ageing and economic and cultural exclusion and poverty, inequalities and demographic change, social exclusion interdependencies, ageing and migration flows, closing the digital and poverty, inequalities and migration demographic change, social exclusion divide, fostering a culture of flows, closing the digital divide, and poverty, integration and innovation and creativity in society and fostering a culture of science, disintegration, inequalities and enterprises, as well ensuring security innovation and creativity in society and migration flows, closing the a growing and freedom, trust in democratic enterprises, as well as ensuring digital divide, fostering a culture of institutions and between citizens security and freedom, trust in innovation and creativity in society and within and across borders. These democratic institutions and between enterprises, as well ensuring security challenges are enormous and they call citizens within and across borders. and freedom, a decreasing sense of for a common European approach. Moreover the role of public social trust in democratic institutions and

policies in Europe is increasingly between citizens within and across perceived as a critical element for the borders. These challenges are sustainability of the European social enormous and they call for a common model itself. These challenges are European approach. enormous and they call for a common European approach an increasingly complex mix of approaches, based upon shared scientific knowledge that social sciences and humanities can provide.

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First, significant inequalities persist in First, Significant inequalities persist in First, Significant inequalities persist in the Union both across countries and the Union both across countries and the Union both across countries and within them. In 2010 the Human within them. In 2010 the Human within them. In 2010 2011 the Human Development Index, an aggregate Development Index, an aggregate Development Index, an aggregate measure of progress in health, measure of progress in health, measure of progress in health, education and income, scores the education and income, scores the education and income, scores the Union's Member States between 0,743 Union's Member States between 0,743 Union's Member States between and 0,895, thus reflecting considerable and 0,895, thus reflecting considerable 0, 743 771 and 0, 895 910, thus divergences between countries. divergences between countries. reflecting considerable divergences Significant gender inequalities also Significant gender inequalities also between countries. Significant gender persist: for instance, the gender pay persist: for instance, the gender pay inequalities also persist: for instance, gap in the Union remains at 17.8 % in gap in the Union remains at 17.8 % in the gender pay gap in the Union

favour of men 37 . One in every six favour of men. One in every six Union remains at an average of 17.8 % in

Union citizens today (around 80 citizens today (around 80 million favour of men 25 . One in every six

million people) is at risk of poverty. people) is at risk of poverty. Over the Union citizens today (around 80

Over the past two decades the poverty past two decades the poverty of young million people) is at risk of poverty. of young adults and families with adults and families with children has Over the past two decades the poverty children has risen. The youth risen. The youth unemployment rate is of young adults and families with unemployment rate is above 20 %. 150 above 20 %. 150 million Europeans children has risen. The youth million Europeans (some 25 %) have (some 25 %) have never used the unemployment rate is above 20 %. 150 never used the internet and may never internet and may never get sufficient million Europeans (some 25 %) have get sufficient digital literacy. Political digital literacy. Political apathy and never used the internet and may never apathy and polarisation in elections has polarisation in elections has also risen, get sufficient digital literacy. Political also risen, reflecting citizen's faltering reflecting citizen's faltering trust in apathy and polarisation in elections has trust in current political systems. current political systems. also risen, reflecting citizen's faltering __________________ trust in current political systems.

__________________

38 COM(2010) 491 final i.

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These figures suggest that some social [no change] These figures suggest that some social groups and communities are groups and communities are persistently left out of social and persistently left out of social and economic development and/or economic development and/or democratic politics. democratic politics. These inequalities

do not only stifle societal development but hamper the economies in the European Union and reduce the research and innovation capacities within and across countries.

A central challenge in addressing these inequalities will be the fostering of settings in which European, national and ethnic identities can coexist and be mutually enriching.

Moreover, the number of Europeans aged over 65 is expected to rise significantly by 42% from 87 million in 2010 to 124 million in 2030. This presents a major challenge for the economy, society and the sustainability of public finances.

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Second, Europe's productivity and Second, Europe's productivity and Second, Europe's productivity and economic growth rates have been economic growth rates have been economic growth rates have been relatively decreasing for four decades. relatively decreasing for four decades. relatively decreasing for four decades. Furthermore, its share of the global Furthermore, its share of the global Furthermore, its share of the global knowledge production and its knowledge production and its knowledge production and its innovation performance lead compared innovation performance lead compared innovation performance lead compared to key emerging economies such as to key emerging economies such as to key emerging economies such as Brazil and China are declining fast. Brazil and China are declining fast. Brazil and China are declining fast. Although Europe has a strong research Although Europe has a strong research Although Europe has a strong research base, it needs to make this base a base, it needs to make this base a base, it needs to make this base a powerful asset for innovative goods powerful asset for innovative goods powerful asset for innovative goods and services. and services. and services.

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Whereas it is well-known that Europe Whereas it is well-known that Europe Whereas it is well-known that Europe needs to invest more in science and needs to invest more in science and needs to invest more in science and innovation, it will also have to innovation, it will also have to innovation, it will also have to coordinate these investments much coordinate these investments much coordinate these investments much more smartly than in the past: more more smartly than in the past: more more smartly than in the past: more than 95 % of national R&D budgets is than 95 % of national R&D budgets is than 95 % of national R&D budgets is spent without any coordination across spent without any coordination across spent without any coordination across the Union, a formidable potential the Union, a formidable potential the Union, a formidable potential waste of resources at a time of waste of resources representing waste of resources at a time of shrinking funding possibilities. significant inefficiencies at a time of shrinking funding possibilities. Furthermore, the innovation capacities shrinking funding possibilities. Furthermore, the innovation capacities of the Member States, despite some Furthermore, the innovation capacities of the Member States, despite some recent convergence, remain very of the Member States, despite some recent convergence, remain very different, with large gaps between recent convergence, remain very different, with large gaps between 'innovation leaders' and 'modest different, with large gaps between 'innovation leaders' and 'modest

38

innovators' . ‘innovation leaders’ and ‘modest innovators' 30. Since the financial crisis

__________________ innovators’. many economic and social inequalities in Europe have been

38 Innovation Union Scoreboard 2010. aggravated even further and the

return of pre-crisis rates of economic growth seems a long way off for most of the European Union. The current crisis also suggests that it is challenging to find solutions to crises that reflect the heterogeneity of Member States and their interests. __________________

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[nota bene: the part of the Commission [nota bene: the part of the EP [nota bene: the part of the PGA text on text on specific objectives on secure AMD143 specific objectives on secure specific objectives on secure societies societies has been moved to new SC7 societies has been moved to new SC7 is in the new SC7 where Secure where Secure societies are adressed] where Secure societies are adressed] societies are adressed]

These challenges must be tackled These challenges must be tackled These challenges must be tackled together and in innovative ways together and in innovative ways together and in innovative and multibecause they interact in complex and because they interact in complex and disciplinary ways because they often unexpected ways. Innovation often unexpected ways. Innovation interact in complex and often may lead to weakening inclusiveness, may lead to weakening inclusiveness, unexpected ways. Innovation may lead as can be seen, for instance, in the as can be seen, for instance, in the to weakening inclusiveness, as can be phenomena of digital divide or labour phenomena of digital divide or labour seen, for instance, in the phenomena of market segmentation. Social market segmentation. Social digital divide or labour market innovation, social trust and security are innovation, social trust and security are segmentation. Social innovation, and sometimes difficult to reconcile in sometimes difficult to reconcile in social trust and security are sometimes policies, for instance in socially policies, for instance in socially difficult to reconcile in policies, for depressed areas in large cities in depressed areas in large cities in instance in socially depressed areas in Europe. Besides, the conjunction of Europe. Besides, the conjunction of large cities in Europe. Besides, the innovation and citizens' evolving innovation and citizens' evolving conjunction of innovation and citizens' demands also lead policymakers and demands also lead policymakers and evolving demands also lead economic and social actors to find new economic and social actors to find new policymakers and, economic and social answers that ignore established answers that ignore established actors to find new answers that ignore boundaries between sectors, activities, boundaries between sectors, activities, established boundaries between goods or services. Phenomena such as goods or services. Phenomena such as sectors, activities, goods or services. the growth of Internet, of the financial the growth of Internet, of the financial Phenomena such as the growth of systems, of the ageing economy and of systems, of the ageing economy and of Internet, of the financial systems, of the ecological society abundantly show the ecological society abundantly show the ageing economy and of the how it is necessary to think and how it is necessary to think and ecological society abundantly show respond to these issues across their respond to these issues across their how it is necessary to think and dimensions of inclusiveness, dimensions of inclusiveness, and respond to these issues across their innovation and security at the same innovation and security at the same dimensions of inclusiveness and, time. time. innovation and security at the same

time.

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The in-built complexity of these The in-built complexity of these The in-built complexity of these challenges and the evolutions of challenges and the evolutions of challenges and the evolutions of demands thus make it essential to demands thus make it essential to demands thus make it essential to develop innovative research and new develop innovative research and new develop innovative research and new smart technologies, processes and smart technologies, processes and smart technologies, processes and methods, social innovation methods, social innovation methods, social innovation mechanisms, coordinated actions and mechanisms, coordinated actions and mechanisms, coordinated actions and policies that will anticipate or policies that will anticipate or policies that will anticipate or influence major evolutions for Europe. influence major evolutions for Europe. influence major evolutions for Europe. It calls for understanding the It calls for understanding the It calls for a renewed understanding underlying trends and impacts at play underlying trends and impacts at play of determinants of innovation, in these challenges and rediscovering in these challenges and rediscovering interactions between science and or reinventing successful forms of or reinventing successful forms of society as well as principles and solidarity, coordination and creativity solidarity, coordination and creativity practices with respect to responsible that make Europe a distinctive model that make Europe a distinctive model research and innovation. In of inclusive, innovative and secure of inclusive, and innovative and secure addition, it calls for understanding the societies compared to other world societies compared to other world underlying trends and impacts at play regions. It requires a more strategic regions. It requires a more strategic within these challenges and approach to cooperation with third approach to cooperation with third rediscovering or reinventing successful countries. Finally, as security policies countries. Finally, as security policies forms of solidarity, behaviour, should interact with different social should interact with different social coordination and creativity that make policies, enhancing the societal policies, enhancing the societal Europe a distinctive model in terms of dimension of security research will be dimension of security research will be inclusive, innovative and secure an important aspect of this challenge. an important aspect of this challenge. reflective societies compared to other

Both objective-driven research as well world regions. It also requires a more

as bottom-up research are needed to strategic approach to cooperation with

address effectively those challenges. third countries. Finally that is based

Finally, a more strategic approach to on a deeper understanding of the

cooperation with third countries is Union’s past and its current and

required. future role as security policies should

interact with different social policies,

enhancing the societal dimension of

security research will be an important

aspect of this challenge a global

player.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

6.2. Rationale and Union added 6.2. Rationale and Union added 6.2. Rationale and Union added value value value

These challenges ignore national These challenges ignore national These challenges ignore go beyond borders and thus call for more complex borders and thus call for more complex national borders and thus call for more comparative analyses of mobility (of comparative analyses of mobility (of complex comparative analyses of people, goods, services and capital but people, goods, services and capital but mobility (of people, goods, services also of competences and knowledge) also of competences and knowledge) and capital but also of competences and forms of institutional cooperation, and forms of institutional cooperation, and, knowledge and ideas) and forms intercultural interactions and intercultural interactions and of institutional cooperation, international cooperation. If they are international cooperation. If they are intercultural interactions and not better understood and anticipated, not better understood and anticipated, international cooperation. If they are forces of globalisation also push forces of globalisation also push not better understood and anticipated, European countries to compete with European countries to compete with forces of globalisation also push each other rather than cooperate, thus each other rather than cooperate, thus European countries to compete with accentuating differences in Europe accentuating differences in Europe each other rather than cooperate, thus rather than commonalities and a right rather than commonalities and a right accentuating differences in Europe balance between cooperation and balance between cooperation and rather than commonalities and a right competition. Addressing such critical competition. Addressing such critical balance between cooperation and socio-economic challenges only at socio-economic challenges only at competition. Addressing such critical national level carries the danger of national level carries the danger of issues, including socio-economic inefficient use of resources, inefficient use of resources, challenges, only at national level, externalisation of problems to other externalisation of problems to other carries the danger of inefficient use of European and non-European countries European and non-European countries resources, externalisation of problems and the accentuation of social, and the accentuation of social, to other European and non-European economic and political tensions that economic and political tensions that countries and the accentuation of may directly affect the aims of the may directly affect the aims of the social, economic and political tensions European Treaty regarding its values, European Treaty regarding its values, that may directly affect the aims of the in particular Title I of the Treaty on in particular Title I of the Treaty on European Treaty regarding its values, European Union. European Union. in particular Title I of the Treaty on

European Union.

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across the European societies. Their links with national and European public policies in the context of globalisation, require not only setting up mutually recognised research agendas but also creating a shared and denser European knowledge base upon which national and European policies can be better understood and evaluated.

In order to build inclusive, innovative In order to build inclusive, innovative In order to understand, analyse and and secure societies, Europe requires a and secure reflective societies, Europe build inclusive, innovative and secure response which implies to develop new requires a response which implies to reflective societies, Europe requires a knowledge, technologies and develop new knowledge, and response which implies unfolds the capabilities as well as the identification technologies and capabilities as well as potential of shared ideas for the of policy options. Such endeavour will the identification of policy options. European future to develop create help Europe tackle its challenges not Such endeavour will help Europe new knowledge, technologies and only internally but also as a global tackle its challenges not only internally capabilities as well as the identification player on the international scene. This, but also as a global player on the of policy options.. The concept of in turn, will also help Member States international scene. This, in turn, will inclusive societies acknowledges the benefit from experiences elsewhere also help Member States benefit from diversity in culture, regions and and allow them to better define their experiences elsewhere and allow them socio-economic settings as a own specific actions corresponding to to better define their own specific European strength. Turning their respective contexts. actions corresponding to their European diversity into a source of

respective contexts. innovation and development is needed. Such endeavour will help Europe tackle its challenges not only internally but also as a global player on the international scene. This, in turn, will also help Member States benefit from experiences elsewhere and allow them to better define their own specific actions corresponding to their

respective contexts.

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Fostering new modes of cooperation Fostering new modes of cooperation Fostering new modes of cooperation between countries within the Union between countries within the Union between countries within the Union and worldwide, as well as across and worldwide, as well as across and worldwide, as well as across relevant research and innovation relevant research and innovation relevant research and innovation communities, will therefore be a communities, will therefore be a communities, will therefore be a central task under this challenge. central task under this challenge. central task under this challenge. Engaging citizens and industry, Engaging citizens and industry, Engaging citizens and industry, supporting social and technological supporting social and technological supporting social and technological innovation processes, encouraging innovation processes, Encouraging innovation processes, encouraging smart and participatory public smart and participatory public smart and participatory public administration, as well as promoting administration, as well as promoting administration, as well as informing evidence based policymaking will be evidence based policymaking will be and promoting evidence based systematically pursued in order to systematically pursued in order to policymaking will be systematically enhance the relevance of all these enhance the relevance of all these pursued in order to enhance the activities for policymakers, social and activities for policymakers, social and relevance of all these activities for economic actors and citizens. In this economic actors and citizens. In this policymakers, social and economic regard, research and innovation will be regard, research and innovation will be actors and citizens. In this regard, a precondition for the competitiveness a precondition for the competitiveness research Research and innovation will of European industries and services, in of European industries and services. be a precondition for the particular in the areas of security, , in particular in the areas of security, competitiveness of European industries digital development and privacy digital development and privacy businesses and services, in with protection. protection. particular in the areas of security,

digital development and privacy protection attention to sustainability, advancing education, increasing employment, and reducing poverty.

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Union funding under this challenge Union funding under this challenge Union funding under this challenge will thus support the development, will thus support the development, will thus support the development, implementation and adaptation of key implementation and adaptation of key implementation and adaptation of key Union policies, notably Europe 2020 Union policies, notably Europe 2020 Union policies, notably Europe 2020 priorities for smart, sustainable and priorities for smart, sustainable and priorities for smart, sustainable and inclusive growth, the Common Foreign inclusive growth,the Common Foreign inclusive growth, the Common Foreign and Security Policy and the Union's and Security Policy and the Union's and Security Policy and the Union's Internal Security Strategy, including Internal Security Strategy, including Internal Security Strategy, including policies on disaster prevention and policies on disaster prevention and policies on disaster prevention and response. Coordination with the Joint response. It will interface with Joint response. Coordination. It will Research Centre direct actions will be Programming Initiatives and interface, as and when appropriate, pursued. coordination with the Joint Research with Joint Programming Initiatives,

Centre direct actions will be pursued. including “Cultural Heritage”, “More Years, Better Lives” and “Urban Europe” and coordination with the Joint Research Centre direct actions will be pursued.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

6.3. Broad lines of activities 6.3. Broad lines of activities 6.3. Broad lines of activities

6.3.1. Inclusive societies 6.3.1. Inclusive societies 6.3.1. Inclusive societies

The aim is to enhance solidarity as The aim is to enhance solidarity as The aim is to enhance solidarity as well as social, economic and political well as social, gain a greater well as understand, analyse and inclusion and positive inter-cultural understanding of societal changes in develop social, economic and political dynamics in Europe and with Europe, their impact on social inclusion and positive inter-cultural international partners, through cuttingcohesion and economic and political dynamics in Europe and with edge science and interdisciplinarity, inclusion and positive inter-cultural international partners, through cuttingtechnological advances and dynamics in Europe and with edge science and interdisciplinarity, organisational innovations. international partners, through cuttingtechnological advances and

edge science and interdisciplinarity, organisational innovations. The main technological advances and challenges to be tackled concerning a organisational innovations the main European models for social cohesion consequences for the well-being and are migration, integration, quality of life of individuals, families demographic change, the ageing and societies. The main challenges to society and disability, as well as the be tackled will address the European reduction of poverty taking into models for social cohesion and wellaccount the different regional and being and the need for a considerable cultural characteristics. knowledge base in the areas of inequalities and social exclusion, demographic change and the ageing society, life course and family transitions, working and living conditions, migration and mobility, education and lifelong learning, multilingualism, social policies and governance dynamics, while also taking into account the economic and social European diversity.

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Humanities research can play an Social sciences and humanities Social Sciences and Humanities important role here. Research shall research can play an important role research can play an important a support policymakers in designing here. Research shall support leading role here. as they explore policies that combat poverty and policymakers in designing policies, changes over time and space and prevent the development of various that combat poverty, conflict, political enable exploration of imagined forms of divisions, discriminations and and social exclusion and prevent the futures. Europe has a huge shared inequalities in European societies, such development of various forms of history of both co-operation and as gender inequalities or digital or divisions, discriminations and conflict. Its dynamic cultural innovation divides, and with other inequalities in European societies, such interactions provide inspiration and world regions. It shall in particular as gender inequalities or digital or opportunities. Research shall is feed into the implementation and the innovation divides, and with other needed to understand identity and adaptation of the Europe 2020 strategy world regions. It shall in particular belonging across communities, and the broad external action of the feed into the implementation and the regions and nations. Research will Union. Specific measures shall be adaptation of the Europe 2020 strategy support policymakers in designing taken to unlock excellence in less and the broad external action of the policies that foster employment, developed regions, thereby widening Union. Specific measures shall be combat poverty and prevent the participation in Horizon 2020. taken to unlock excellence in less development of various forms of

developed regions, thereby widening divisions, discriminations and participation in Horizon 2020. It is inequalities in European societies, such also essential to understand and as gender and intergenerational explore as well as promote the access inequalities, discrimination due to and preservation of Europe's vast disability or ethnic origin or digital or cultural heritage as a means of innovation divides, and with other bringing Union citizens closer world regions. It shall in particular together and strengthening the feed into the implementation and the cohesion of European society. adaptation of the Europe 2020 strategy and the broad external action of the Union. Specific measures shall be taken to unlock excellence in less developed regions, low performing RDI regions, and thereby widening participation in Horizon 2020.

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The focus of activities shall be to: [no change] The focus of activities shall be to understand and foster or implement:

(a) promote smart, sustainable and [no change] (a) the mechanisms to promote smart, inclusive growth; sustainable and inclusive growth; (b) build resilient and inclusive [no change] (b) trusted organisations, practices, societies in Europe; services and policies that are

necessary to build resilient and, inclusive, participatory, open and creative societies in Europe;, in particular taking into account migration, integration and demographic change;

(ba) address the European models for social cohesion and well-being;

(c) strengthen Europe's role as a global [no change] (c) strengthen Europe's role as a global actor; actor; notably regarding human

rights and global justice;

(d) close the research and innovation (d) close the research and innovation (d) the processes and practices to divide in Europe. divide in Europe. close the research and innovation

divide in Europe.;

(e) the promotion of sustainable and inclusive environments through innovative spatial and urban planning and design.

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6.3.2. Innovative societies 6.3.2. Innovative and reflective 6.3.2. Innovative societies societies

The aim is to foster the development of The aim is to foster the development of The aim is to foster the development of innovative societies and policies in innovative societies and policies in innovative societies and policies in Europe through the engagement of Europe through the engagement of Europe through the engagement of citizens, enterprises and users in citizens, civil society organisations, citizens, enterprises and users in research and innovation and the enterprises and users in research and research and innovation and the promotion of coordinated research and innovation and the promotion of promotion of coordinated research and innovation policies in the context of coordinated research and innovation innovation policies in the context of globalisation. Particular support will be policies in the context of globalisation. globalisation and the need to promote provided for the development of the Particular Support will be provided for the highest ethical standards. ERA and the development of research related to the development of Particular support will be provided for framework conditions for innovation. the ERA and the development of the development of the ERA and the

framework conditions for innovation, development of framework conditions

including a better understanding of for innovation. Cultural and societal

societal constrains and opportunities knowledge is a major source of

and their role in the innovation creativity and innovation, including

process. business, public sector and social

innovation. In many cases social and

user-led innovations also precede the

development of innovative

technologies, services and economic

processes. The creative industries

are a major resource to tackle

societal challenges and for

competitiveness. As interrelations

between social and technological

innovation are complex, and rarely

linear, further research, including

cross-sectoral and multidisciplinary

research, is needed into the

development of all types of

innovation and activities funded to

encourage its effective development

into the future.

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The focus of activities shall be to: [no change] [no change]

(a) strengthen the evidence base and [no change] [no change] support for the Innovation Union and

ERA;

(b) explore new forms of innovation, (b) explore and understand new forms (b) explore new forms of innovation, including social innovation and of innovation, including social including with special emphasis on creativity; innovation and creativity; social innovation and creativity; and

understand how all forms of innovation are developed, succeed or fail;

(ba) explore processes which provide (c) make use of the innovative, a favourable background to creativity creative and productive potential of and innovation; all generations;

(c) ensure societal engagement in (c) ensure societal engagement in (c) (d) ensure societal engagement in research and innovation; research and innovation; research and innovation;

(d) promote coherent and effective (d) promote understand how coherent (d) (e) promote coherent and effective

cooperation with third countries . and effective cooperation in research cooperation with third countries.

and advanced training with third countries fosters innovation.

(da) promote cultural heritage and European identity

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6.3.3. Secure societies 6.3.3. . Secure societies Reflective [nota bene: the part of the Commission Societies – cultural heritage and text on broad lines of activities on European identity secure societies has been moved to new SC7 where Secure societies are adressed]

The aim is to contribute to an understanding of Europe's intellectual basis: its history and the many European and non-European influences; as an inspiration for our lives today. Europe is characterized by a variety of different peoples (including minorities and indigenous people), traditions and regional and national identities as well as by different levels of economic and societal development. Migration and mobility, the media, industry and transport contribute to the diversity of views and lifestyles. This diversity and its opportunities should be recognized and considered.

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European collections in libraries, including digital ones, archives, museums, galleries and other public institutions have a wealth of rich, untapped documentation and objects for study. These archival resources, together with intangible heritage, represent the history of individual Member States but also the collective heritage of a European Union that has emerged through time. Such materials should be made accessible, also through new technologies, to researchers and citizens to enable a look to the future through the archive of the past. Accessibility and preservation of cultural heritage in these forms is needed for the vitality of the living engagements within and across European cultures now and contributes to sustainable economic growth.

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The focus of activities shall be to: [no change]

(a) study European heritage, memory, identity, integration and cultural interaction and translation, including its representations in cultural and scientific collections, archives and museums, to better inform and understand the present by richer interpretations of the past;

(b)research into European countries’ and regions’ history, literature, art, philosophy and religions and how these have informed contemporary European diversity;

(c) research on Europe's role in the world, on the mutual influence and ties between the world regions, and a view from outside on European cultures.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

(part of)AMD 144 (point 6 a (new)) 6a. Secure societies – protecting 7. SECURE SOCIETIES – freedom and security of europe and PROTECTING FREEDOM AND its citizens SECURITY OF EUROPE AND ITS CITIZENS 6a.1. Specific objective 7.1. Specific objective

The specific objective is to protect The specific objective is to foster freedom and foster security in Europe secure European societies in a in a context of global context of unprecedented interdependencies and sophistication transformations and growing global of threats while strengthening the interdependencies and threats, while European culture of freedom and strengthening the European culture justice and its compliance. of freedom and justice.

Europe has never been so peacefully consolidated and the levels of security enjoyed by European citizens are considerably high compared to other parts of the world. However, Europe's vulnerability continues to exist in a context of ever-increasing globalisation in which societies are facing security threats and challenges that are growing in scale and sophistication.

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The threat of large-scale military aggressions has been subsided and security concerns are focused on new multifaceted, interrelated and transnational threats. Consequently the concept of security has been broadened from a military definition to include other aspects such as human rights, environmental degradation, political stability and democracy, social issues, cultural and religious identity or immigration. In this context the internal and external aspects of security are inextricably linked. The current threats to security and freedom are numerous, complex and fluid and include terrorism, organised crime, cyber attacks, piracy, regional instability or natural and man-made disasters, violence, privacy abuses and other forms of social and economic disorders. These threats affect citizens and have an impact on notions of trust, care and communication as well as economic and social impact, and therefore demand a corresponding variety of preventive and counter actions.

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[nota bene: parts of the text have been (part of)AMD 143 moved here from SC6 where Secure societies are adressed in the

Commission proposal]

Third, many forms of insecurity, Third, many forms of insecurity, Third, many formsThere is a whether crime, violence, terrorism, whether crime, violence, terrorism, widespread perception of insecurity, cyber attacks, privacy abuses and other cyber attacks, privacy abuses and other whether from crime, violence, forms of social and economic disorders forms of social and economic disorders terrorism, natural/man-made increasingly affect citizens. increasingly affect citizens. disasters, cyber attacks, privacy

abuses and other forms of social and economic disorders increasingly. This affects citizens directly and has a wider impact on notions of trust, care and communication and links to the level of preparation and organisation of society.

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According to estimates, there is likely According to estimates, there is likely According to estimates, there is are to be up to 75 million direct victims of to be up to 75 million direct victims of likely to be up to 75 million direct

crime every year in Europe 39 . The crime every year in Europe. The direct victims of crime every year in direct cost of crime, terrorism, illegal cost of crime, terrorism, illegal Europe 26 . The direct cost of crime,

activities, violence and disasters in activities, violence and disasters in terrorism, illegal activities, violence

Europe has been estimated at at least Europe has been estimated at at least and disasters in Europe has been

EUR 650 billion (about 5 % of the EUR 650 billion (about 5 % of the estimated at least EUR 650 billion

Union's GDP) in 2010. A vivid Union's GDP) in 2010. Terrorism has (about 5 % of the Union's GDP) in example of the consequences of shown its fatal consequences in 2010. A vivid example of the terrorism is the attack against the Twin several parts of Europe costing consequences of terrorism is the attack Towers in Manhattan on 11 September thousands of lives, and important against the Twin Towers in Manhattan 2001. Thousands of lives were lost and economic losses.A vivid example of on 11 September 2001. it is estimated that this event caused the consequences of terrorism is the losses in US productivity amounting to attack against the Twin Towers in Thousands of lives were lost and it is US$ 35 billion, US$ 47 billion in total Manhattan on 11 September 2001. estimated that this event caused losses output and a rise in unemployment by Thousands of lives were lost and it is in US productivity amounting to US$ almost 1 % in the following quarter. estimated that this event caused losses 35 billion, US$ 47 billion in total

Citizens, firms and institutions are in US productivity amounting to US$ output and a rise in unemployment by increasingly involved in digital 35 billion, US$ 47 billion in total almost 1 % in the following quarter. It interactions and transactions in social, output and a rise in unemployment by also had a significant cultural and financial and commercial areas of life almost 1 % in the following quarter. global impact. Citizens, firms and but the development of Internet has Citizens, firms and institutions are institutions are increasingly involved also led to cyber crime worth billion of increasingly involved in digital in digital interactions and transactions Euros each year and breaches of interactions and transactions in social, in social, financial and commercial privacy affecting individual or financial and commercial areas of life areas of life but the development of associations across the continent. The but the development of Internet has Internet has also led to cyber crime development of insecurity in everyday also led to cyber crime worth billion of worth billion of Euros each year and life and because of unexpected Euros each year and breaches of breaches of privacy affecting situations is likely to affect the citizens' privacy affecting individual or individuals or associations across the trust not only in institutions but also in associations across the continent. continent. The development Changes each other. Cyber attacks are also having a in the nature and perception of

__________________ serious impact on critical insecurity in everyday life is are likely infrastructures. The development of to affect citizens' trust not only in

39 COM(2011) 274 final i. insecurity in everyday life and because institutions but also in each other.

of unexpected situations is likely to __________________ affect the citizens' trust not only in

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In order to anticipate, prevent and In order to anticipate, prevent and manage these threats, it is necessary manage these threats, it is necessary to understand and address the root to develop and apply innovative causes of insecurity and to develop technologies, solutions, foresight and apply innovative technologies, tools and knowledge, stimulate solutions, foresight tools and cooperation between providers and knowledge, stimulate cooperation users, find civil security solutions, between providers and users, find civil improve the competitiveness of the security solutions, improve the European security industry and competitiveness of the European services, including ICT, and prevent security and services industries and and combat the abuse of privacy and prevent and combat the abuse of breaches of human rights in the privacy and breaches of human rights Internet, and elsewhere, while in the Internet, and elsewhere, while ensuring European citizens ensuring European citizens individual individual rights and freedom. rights and freedom. To enhance better cross-border To enhance better cross-border collaboration between different kinds collaboration between different of emergency services, attention kinds of emergency services, should be given to interoperability attention should be given to and standardisation. interoperability and standardisation.

Finally, as security policies should Finally, as security policies should interact with different social policies, interact with different social policies, enhancing the societal dimension of enhancing the societal dimension of security research will be an important security research will be an aspect of this challenge. important aspect of this challenge.

Respecting fundamental values is a building block of each effective security research and policy. Seeking and implementing security solutions implies to respect values such as freedom, democracy, equality and the rule of law. This must be at the base of any activity to provide security to European citizens.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

(part of) AMD 144

6a.2. Rationale and Union added 7.2. Rationale and Union added

value value

o single Member State is able to Security is a legitimate concern for respond to threats on its own because Europe and its citizens and in this most security challenges are crossrespect represents a major challenge border and cross-sectoral and for society. The European Union, its consequently require complex and citizens, its industry and its broad comparative analyses and international partners are reinforced forms of institutional and confronted with a range of security international cooperation. threats like crime, terrorism, illegal

trafficking and mass emergencies due to man-made or natural disasters. These threats can span across borders and aim at physical targets or the cyberspace with attacks arising from different sources. Attacks against information or communication systems of public authorities and private entities, for instance, not only undermine the citizen's trust in information and communication systems and lead to direct financial losses and a loss of business opportunities, but may also seriously affect critical infrastructure and services such as energy, aviation and other transport, water and food supply, health, finance or telecommunications.

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In order to protect freedom and These threats could possibly security, the Union requires effective endanger the inner foundations of responses using a comprehensive and our society. Technology and creative innovative suite of security design can bring an important instruments. Research and innovation contribution to any response to be can play a clear supporting role as a made. Yet, new solutions should be force enabler although it cannot developed while bearing in mind the alone guarantee security. Research appropriateness of the means and and innovation activities should aim their adequacy to the societal at understanding, preventing, demand, in particular in terms of deterring, preparing and protecting guarantees for citizens’ fundamental against security threats. Furthermore, rights and freedoms. security presents fundamental challenges that cannot be resolved by independent and sector-specific treatment but rather need more ambitious, coordinated and holistic approaches.

Cooperation among Member States Finally, security also represents a but also with third countries and major economic challenge. The international organisations is a security market is worth around 100 central part of this challenge. billion euro per year worldwide, of which Europe's share is between 25 and 35%. Moreover, it is a fast growing market despite the present economic crisis. Given the potential impact of some threats on services, networks or businesses, the deployment of adequate security solutions has become critical for the economy and European manufacturing competitiveness.

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Union research and innovation Union funding under this challenge funding under this challenge will thus will thus support the development, underpin the development, implementation and adaptation of implementation and adaptation of key key Union policies, notably Europe Union policies notably Europe 2020 2020 priorities for smart sustainable priorities for smart and inclusive and inclusive growth, the Common growth, the Common Foreign and Foreign and Security Policy, the Security Policy and the Union's Union's Internal Security Strategy Internal Security Strategy. and the Digital Agenda for Europe. Coordination with the Joint Research Coordination with the Joint Centre direct actions will be persued. Research Centre direct actions will be pursued.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

[nota bene: in the CIO proposal (parts of)AMD 143 and of AMD 144

under 6.3.3] 6a.3. Broad lines of activities 7.3. Broad lines of activities

The aim is to support Union policies The aim is to support Union policies The aim is to support Union policies for internal and external security and to for internal and external security and to for internal and external security and to ensure cyber security, trust and privacy ensure cyber security, trust and privacy ensure cyber security, trust and privacy in the Digital Single Market, whilst at in the Digital Single Market, whilst at in the Digital Single Market, whilst at the same time improving the the same time improving the the same time improving the competitiveness of the Union's competitiveness of the Union's competitiveness of the Union's security, ICT and service industries. security, ICT and service industries. security, ICT and service industries. This will be done by developing The activities will include a focus on industry and services, including innovative technologies and solutions understanding the causes of ICT. The activities will include a that address security gaps and lead to insecurity and conflict and research focus on the research and the prevention of security threats. and development of the next development of the next generation

generation of innovative solutions, by of innovative solutions, by working working on novel concepts and on novel concepts and designs, and designs, and interoperable standards. interoperable standards. This will be This will be done by developing done by developing innovative innovative policies technologies and technologies and solutions that address solutions that address security gaps and security gaps and lead to a reduction in lead to the prevention of security the risk from security threats. threats.

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These mission-oriented actions will These mission-oriented activities will [no change] integrate the demands of different endintegrate the demands of different endusers (citizens, businesses, and users (citizens, businesses, and administrations, including national and administrations civil society international authorities, civil organisations and administrations, protections, law enforcement, border including national and public sector guards, etc.) in order to take into institutions and agencies international account the evolution of security authorities, civil protections, law threats and privacy protection and the enforcement, border guards, etc) in necessary societal aspects. order to take into account the evolution

of security threats and challenges, privacy protection by design and the necessary societal aspects.

Research in this challenge will thus be aimed at preventing, deterring, preparing and protecting against security threats, and supporting the Common Foreign and Security Policy and the Union's Internal Security Strategy, including policies on disaster prevention and response.

The focus of activities shall be to: [no change] [no change]

(a) fight crime and terrorism; [no change] (a) fight crime, illegal trafficking and terrorism, including understanding

and tackling terrorist ideas and beliefs;

(b) protect and improve resilience of (b) protect and improve the critical infrastructures; resilience of critical infrastructures, supply chains and transport modes;

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(b) strengthen security through border (c) strengthen security through border (b) (c) [no change] management; management and maritime security;

(c) provide cyber security; (c) (d) [no change] (c) (d) provide improve cyber security;

(d) increase Europe's resilience to (d) (e) [no change] (d) (e) [no change] crises and disasters ;

(e) ensure privacy and freedom in the (e) (f) enhance the societal dimension (e) (f) ensure privacy and freedom,

Internet and enhance the societal of security and ensure privacy and including in the Internet and enhance dimension of security. freedom in the Internet; the societal dimension legal and

ethical understanding of all areas of security, risk and management;

(i) enhance standatisation and (g) Enhance standardisation and interoperability; interoperability of systems, including for emergency purposes.

(g) support the Union's internal and external security policies;

(h) strengthen security and the transformation of conflicts within third countries through conflict prevention, peacebuilding, dialogue, mediation and reconciliation and civilian security sector reform;

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PART IV: PART IV:

Non-Nuclear Direct Actions of the Non-Nuclear Direct Actions of the

Joint Research Centre (JRC) Joint Research Centre (JRC)

NON-NUCLEAR DIRECT ACTIONS OF THE JOINT RESEARCH CENTRE (JRC)

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 145 1. Specific objective 1. Specific objective 1. Specific objective The specific objective is to provide [no change] [no change] customer-driven scientific and technical support to Union policies, while flexibly responding to new policy demands.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

2. Rationale and Union added value 2. Rationale and Union added value 2. Rationale and Union added value

The Union has defined an ambitious [no change] The Union has defined an ambitious policy agenda to 2020 which addresses policy agenda to 2020 which addresses a set of complex and interlinked a set of complex and interlinked challenges, such as sustainable challenges, such as sustainable management of resources and management of resources and competitiveness. In order to competitiveness. In order to successfully tackle these challenges, successfully tackle these challenges, robust scientific evidence is needed robust scientific evidence is needed which cuts across different scientific which cuts across different scientific disciplines and allows the sound disciplines and allows the sound assessment of policy options. The JRC, assessment of policy options. The JRC, further strengthening its role as the further strengthening playing its role science service for Union policy as the science service for Union policy making will provide the required making will provide the required scientific and technical support scientific and technical support throughout all stages of the policythroughout all stages of the policymaking cycle, from conception to making cycle, from conception to implementation and assessment. To implementation and assessment. To this aim it will focus its research this aim it will focus its research clearly on Union policy priorities while clearly on Union policy priorities while enhancing cross-cutting competences. enhancing cross-cutting competences

and cooperation with the Member States.

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The JRC's independence of special The JRC's independence of special [no change] interests, whether private or national, interests, whether private or national, combined with its scientific-technical combined with its scientific-technical reference role enable it to facilitate the reference role enable it to facilitate the necessary consensus building between necessary consensus building between stakeholders and policy makers. stakeholders and policy makers. Member States and Union citizens' Member States and Union citizens' benefit from the research of the JRC, regions will benefit from the research most visibly in areas such as health and support of the JRC to their Smart consumer protection, environment, Specialisation Strategies and from its safety and security, and management research, most visibly in areas such as of crises and disasters. health and consumer protection,

environment, safety and security, and management of crises and disasters. Union citizens' will also be beneficiaries of that research.

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The JRC is an integral part of the ERA [no change] The JRC is an integral part of the ERA and will continue to actively support and will continue to actively support its functioning through close its functioning through close collaboration with peers and collaboration with peers and stakeholders, opening access to its stakeholders, opening maximizing facilities and through the training of access to its facilities and through the researchers. This will also promote the training of researchers and by close integration of new Member States and cooperation with MS and Associated Countries; for these, the international institutions that pursue JRC will continue to provide dedicated similar objectives. This will also training courses on the scientificpromote the integration of new technical basis of the body of Union Member States and Associated law. The JRC will establish Countries; for these, the JRC will coordination links with relevant other continue to provide dedicated training Horizon 2020 specific objectives. As a courses on the scientific-technical complement to its direct actions and basis of the body of Union law. The for the purpose of further integration JRC will establish coordination links and networking in the ERA, the JRC with relevant other Horizon 2020 may also participate in Horizon 2020 specific objectives. As a complement indirect actions and co-ordination to its direct actions and for the purpose instruments in areas where it has the of further integration and networking relevant expertise to produce added in the ERA, the JRC may also value. participate in Horizon 2020 indirect

actions and co-ordination instruments in areas where it has the relevant expertise to produce added value.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

3. Broad lines of activities 3. Broad lines of activities 3. Broad lines of activities The JRC activities in Horizon 2020 [no change] [no change] will focus on the Union policy priorities and the societal challenges addressed by them; they are aligned with Europe 2020 and its main objectives of smart, sustainable and inclusive growth, Security and

Citizenship, and Global Europe.

The JRC's key competence areas will The JRC's key competence areas will The JRC's key competence areas will be energy, transport, environment and be energy, transport, environment and be energy, transport, environment and climate change, agriculture and food climate change, agriculture and food climate change, agriculture and food security, health and consumer security, health and consumer security, health and consumer protection, information and protection, information and protection, information and communication technologies, reference communication technologies, reference communication technologies, reference materials, and safety and security materials, and safety and security materials, and safety and security (including nuclear in the Euratom (including nuclear in the Euratom (including nuclear in the Euratom programme). programme). The JRC activities in programme). The JRC activities in

these areas will be conducted taking these areas will be conducted taking into account relevant initiatives at the into account relevant initiatives at level of regions, Member States or the the level of regions, Members States Union, within the perspectives of or the EU, within the perspective of shaping the ERA. shaping the European Research Area.

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These competence areas will be [no change] These competence areas will be significantly enhanced with capacities significantly enhanced with capacities to address the full policy cycle and to to address the full policy cycle and to assess policy options. This includes assess policy options. This includes strengthening capacities in strengthening capacities in

(a) anticipation and foresight - pro[no change] [no change] active strategic intelligence on trends and events in science, technology and society and their possible implications for public policy.

(b) economics - for an integrated [no change] [no change] service covering both the scientifictechnical and the macro-economic aspects.

(c) modelling - focussing on [no change] [no change] sustainability and economics and making the Commission less dependent on outside suppliers for vital scenario analysis.

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(d) policy analysis - to allow cross[no change] [no change] sectoral investigation of policy options.

(e) impact assessment - providing [no change] [no change] scientific evidence to support policy options.

The JRC shall continue to pursue [no change] The JRC shall continue to pursue excellence in research as the basis for excellence in research and extensive credible and robust scientific-technical interaction with research institutions policy support. To that aim, it will as the basis for credible and robust strengthen collaboration with European scientific-technical policy support. To and international partners, i.a. by that aim, it will strengthen participation in indirect actions. It will collaboration with European and also carry out exploratory research and international partners, i.a. by build up competences in emerging, participation in indirect actions. It will policy-relevant areas on a selective also carry out exploratory research and basis. build up competences in emerging,

policy-relevant areas on a selective basis.

The JRC shall focus on: [no change] [no change]

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

3.1 Excellent science 3.1 Excellent science 3.1 Excellent science Carry out research to enhance the [no change] [no change] scientific evidence base for policy making and examine emerging fields of science and technology, including through an exploratory research programme.

3.2 Industrial leadership 3.2 Industrial leadership 3.2 Industrial leadership Contribute to European [no change] [no change] competitiveness through support to the standardisation process and standards with pre-normative research, development of reference materials and measurements, and harmonization of methodologies in five focal areas

(energy; transport; Digital Agenda; security and safety; consumer protection). Carry out safety assessments of new technologies in areas such as energy and transport and health and consumer protection.

Contribute to facilitating the use, standardisation and validation of space technologies and data, in particular to tackle the societal challenges.

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COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

3.3 Societal challenges 3.3 Societal challenges 3.3 Societal challenges (a) Health, demographic change and [no change] [no change] wellbeing

Contribute to health and consumer [no change] [no change] protection through scientific and technical support in areas such as food, feed, consumer products; environment and health; health-related diagnostic and screening practices; and nutrition and diets.

(b) Food security, sustainable (b) Food quality, safety and security, (b) European bioeconomy agriculture, marine and maritime sustainable agriculture and forestry, challenges: Food security, sustainable research and the bio-economy marine and maritime research and the agriculture and forestry, marine and

bio-economybased industries maritime and inland water research the bio-economy

Support the development, Support the development, [no change] implementation and monitoring of implementation and monitoring of

European agriculture and fisheries European agriculture and fisheries policies, including food safety and policies, including food safety and security and the development of a biosecurity and the development of a bioeconomy through e.g. crop production economy through e.g. crop production forecasts, technical and socioforecasts, technical and socioeconomic analyses and modelling. economic analyses and modelling, and

promoting healthy and productive seas.

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(c) Secure, clean and efficient energy [no change] [no change]

Support the 20/20/20 climate and [no change] [no change] energy targets with research on technological and economic aspects of energy supply, efficiency, low-carbon technologies, energy/electricity transmission networks.

(d) Smart, green and integrated (d) Smart, green and integrated [no change] transport transport and mobility

Support the Union's policy for the [no change] [no change] sustainable, safe and secure mobility of persons and goods with laboratory studies, modelling and monitoring approaches, including low carbon technologies for transport, such as electrification, clean and efficient vehicles and alternative fuels, and smart mobility systems.

(e) Climate action, resource efficiency (e) Climate action, environment, [no change] and raw materials resource efficiency and sustainable

use of raw materials;

Investigate the cross-sectoral [no change] [no change] challenges of the sustainable management of natural resources through monitoring of key environmental variables and the development of an integrated modelling framework for sustainability assessment.

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Support resource efficiency, emission [no change] [no change] reductions and sustainable supply of raw materials through the integrated social, environmental and economic assessments of clean production processes, technologies, and products and services.

Support Union development policy [no change] [no change] goals with research to help ensure adequate supplies of essential resources focussing on monitoring environmental and resource parameters, food safety and security related analyses, and knowledge transfer.

(f) Inclusive, innovative and secure (f) Understanding Europe in a (f) Europe in a changing world -

Societies changing world - inclusive, innovative Inclusive, innovative and reflective and secure reflective societyies secure Societies

Contribute to and monitor the [no change] [no change] implementation of the Innovation

Union with macro-economic analyses of the drivers and barriers of research and innovation, and development of methodologies, scoreboards and of

indicators .

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Support the European Research Area [no change] [no change]

(ERA) by monitoring the functioning of the ERA and analysing drivers of and barriers to some of its key elements; and by research networking, training, opening JRC facilities and databases to users in Member States and Candidate and Associated

Countries.

Contribute to the key goals of the [no change] [no change]

Digital Agenda by qualitative and quantitative analyses of economic and social aspects (Digital Economy,

Digital Society, Digital Living).

(fa) Secure societies - Protecting (g) Secure societies - Protecting freedom and security of Europe and freedom and security of Europe and its citizens its citizens.

Support internal safety and security Support internal safety and security [no change] through the identification and through the identification and assessment of the vulnerability of assessment of the vulnerability of critical infrastructures as vital critical infrastructures as vital components of societal functions; and components of societal functions; and through the operational performance through the operational, social and assessment of technologies related to ethical performance assessment of the digital identity; Address global technologies related to the digital security challenges including emerging identity; Address global security or hybrid threats through the challenges including emerging or development of advanced tools for hybrid threats through the development information mining and analysis as of advanced tools for information well as for crisis management. mining and analysis as well as for

crisis management

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Enhance the Union capacity for Enhance the Union's capacity for [no change] managing natural and man-made managing natural and man-made disasters by strengthening the disasters by strengthening the monitoring of infrastructures and the monitoring of infrastructures and the development of global multi-hazard development of test facilities, global early warning and risk management multi-hazard early warning and risk information systems, making use of management information systems, satellite-based earth observation making use of satellite-based earth frameworks. observation frameworks.

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PART V: PART V:

The European Institute of The European Institute of

Innovation and Technology (EIT) Innovation and Technology

COMMISSION PROPOSAL EUROPEAN PARLIAMENT COUNCIL COMPROMISE TEXT (ITRE VOTE 28.11.12) (PGA ADOPTED ON 31.05.12)

AMD 146 1. Specific objective 1. Specific objective 1. Specific objective The specific objective is to integrate The specific objective is to integrate The specific objective is to integrate the knowledge triangle of research, the knowledge triangle of research, the knowledge triangle of research, innovation and education and thus innovation and education and thus innovation and higher education and to reinforce the Union's innovation to reinforce, accelerate and widen the thus to reinforce the Union's capacity and address societal Union's innovation capacity and innovation capacity and address challenges. address in particular societal societal challenges.

challenges.

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Europe is facing a number of structural Europe is facing a number of structural Europe is facing a number of structural weaknesses when it comes to weaknesses when it comes to weaknesses when it comes to innovation capacity and the ability to innovation capacity and the ability to innovation capacity and the ability to deliver new services, products and deliver new services, products and deliver new services, products and processes. Among the main issues at processes. Among the main issues at processes thereby hampering hand are Europe's relatively poor hand are Europe's relatively poor sustainable economic growth and record in talent attraction and record in talent attraction and job creation. Among the main issues retention; the underutilisation of retention; the underutilisation of at hand are Europe's relatively poor existing research strengths in terms of existing research strengths in terms of record in talent attraction and creating economic or social value; low creating economic or social value; the retention; the underutilisation of levels of entrepreneurial activity; a lack of research results brought to the existing research strengths in terms of scale of resources in poles of market; low levels of entrepreneurial creating economic or social value; low excellence which is insufficient to activity and mindset; low leverage of levels of entrepreneurial activity; a compete globally; and an excessive private investment in R&D, a scale of scale of resources in poles of number of barriers to collaboration resources, including human excellence which is insufficient to within the knowledge triangle of resources, in poles of excellence compete globally; and an excessive higher education, research and which is insufficient to compete number of barriers to collaboration business on a European level. globally; and an excessive number of within the knowledge triangle of

barriers to collaboration within the higher education, re