TEXT PROPOSED BY THE COMMISSION AMENDMENT

Amendment 1

Proposal for a regulation Recital 3

(3) While traditional support for the use and development of European research infrastructures has essentially taken the form of grants in favour of established research infrastructures in the Member States, the need for additional efforts has become apparent in recent years in order to stimulate the development of new structures by creating an appropriate legal framework which should facilitate their establishment and operation at the level of the Community. (3) While traditional support for the use and development of European research infrastructures has essentially taken the form of grants in favour of established research infrastructures in the Member States, the need for additional efforts has become apparent in recent years in order to stimulate the development of new structures or to upgrade existing structures in order to optimise their use by creating an appropriate legal framework which should facilitate their establishment and operation at the level of the Community.

Amendment 2

Proposal for a regulation Recital 4

(4) This need has been expressed on numerous occasions both at political level by the Member States and the Community institutions, as well as by the various actors within the European research community such as undertakings, research centres and universities. (4) This need has been expressed on numerous occasions both at political level by the Member States and the Community institutions, as well as by the various actors within the European research community such as undertakings, research centres, universities and, in particular, the European Strategy Forum on Research Infrastructures (ESFRI).

Amendment 3

Proposal for a regulation Recital 6 a (new)

(6a) A research infrastructure to be set up under this Regulation as a European Research Infrastructure (ERI) should aim at facilitating and promoting research of pan-European interest. It should do so on a non-economic basis, that is, by not offering to undertake work or to provide supplies and/or services which could distort competition. However, in order to promote innovation, knowledge and technology transfer, the ERI should be allowed to carry out some limited economic activities under certain conditions.

Amendment 4

Proposal for a regulation Recital 7

(7) In contrast to Joint Technology Initiatives (JTI) constituted as Joint Undertakings of which the Community is a member and to which it makes financial contributions, a European Research Infrastructure (hereinafter referred to as “ERI” ) should not be conceived as a Community body within the meaning of Article 185 of the Financial Regulation, but as a legal entity of which the Community is not necessarily a member and to which it does not make financial contributions within the meaning of Article 108(2), point (f), of the Financial Regulation. (7) In contrast to Joint Technology Initiatives (JTI) constituted as Joint Undertakings of which the Community is a member and to which it makes financial contributions, an ERI should not be conceived as a Community body within the meaning of Article 185 of the Financial Regulation, but as a legal entity of which the Community is not a member and to which it does not make financial contributions within the meaning of Article 108(2), point (f), of the Financial Regulation. This should not apply where the Community becomes a member of an ERI and makes a relevant financial contribution referred to in Article 185(1) of the Financial Regulation. Community funding of eris should, in all cases, be subject to the relevant provisions of the Financial Regulation.

Amendment 5

Proposal for a regulation Recital 8

(8) Given the close cooperation between Member States and the Community in programming and implementing their respective research activities in a complementary manner, as set out in Articles 164 and 165 of the Treaty, it should be for interested Member States, on their own or in conjunction with other qualified entities, to define their needs for the establishment of research infrastructures based on their research and technological development activities and on the requirements of the Community. For the same reasons, membership of an ERI should be open for interested Member States with the possible participation of qualified third countries and specialised intergovernmental organisations. (8) Given the close cooperation between Member States and the Community in programming and implementing their respective research activities in a complementary manner, as set out in Articles 164 and 165 of the Treaty, it should be for interested Member States, to define their needs for the establishment of research infrastructures based on their research and technological development activities and on the requirements of the Community. For the same reasons, membership of an ERI should be open for interested Member States with the possible participation of qualified third countries and specialised intergovernmental organisations.

Amendment 6

Proposal for a regulation Recital 9

(9) A European Research Infrastructure (hereinafter referred to as “ERI”) set up under this Regulation should have as its task the establishment and operation of a research infrastructure. It should do so on a non-economic basis in order to prevent distortions of competition. In order to promote innovation and knowledge and technology transfer, the ERI should be allowed to carry out some limited economic activities on certain conditions. The establishment of research infrastructures as ERIs does not exclude that research infrastructures of pan-European interest that have another legal form can equally be recognised as contributing to the implementation of the roadmap developed by the European Strategy Forum for Research Infrastructure (ESFRI) and to the progress of European research. The Commission will ensure that ESFRI members and other interested parties are informed about these alternative legal forms. (9) The establishment of research infrastructures as ERIs under this Regulation does not exclude that research infrastructures of pan-European interest that have another legal form can equally be recognised as contributing to the progress of European research. The Commission will ensure that interested parties are informed about these alternative legal forms.

Amendment 7

Proposal for a regulation Recital 10

(10) Research infrastructures should help to safeguard scientific excellence of Community research and the competitiveness of its economy, as based on medium-term to long-term forecasts, through the efficient support of European research activities. To achieve this they should be effectively open to the European research community at large and have the ambition to enhance the European scientific capabilities beyond the current state of the art and thereby contribute to the development of the European Research Area. (10) Research infrastructures should help to safeguard scientific excellence of Community research and the competitiveness of its economy, as based on medium-term to long-term forecasts, through the efficient support of European research activities. To achieve this they should be effectively open to the European research community at large in accordance with the rules established in their Statutes and have the ambition to enhance the European scientific capabilities beyond the current state of the art and thereby contribute to the development of the European Research Area , in particular by promoting synergies with the EU cohesion policy.

Amendment 8

Proposal for a regulation Recital 10a (new)

(10a) In particular, new research infrastructures should take into account, where appropriate, the importance of unlocking the potential for scientific excellence in the convergence regions, as a means of enhancing the EU’s long-term performance in research, innovation and economic competitiveness.

Amendment 9

Proposal for a regulation Recital 12

(12) For reasons of transparency, the decision of setting up an ERI should be published in the Official Journal of the European Union. For the same reasons, an extract from the Statutes, providing their essential elements, should be annexed to that decision. (12) For reasons of transparency, the decision of setting up a research infrastructure as an ERI should be published in the Official Journal of the European Union. For the same reasons, an extract from the Statutes, providing their essential elements, should be annexed to that decision.

Amendment 10

Proposal for a regulation Recital 14

(14) Membership of an ERI must comprise at least three Member States and may include qualified third countries and specialised intergovernmental organisations. Therefore, an ERI should qualify as an international body or organisation for the purpose of the application of the Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax, Council Directive 92/12/EEC of 25 February 1992 on the general arrangements for products subject to excise duty and on the holding, movement and monitoring of such products and Directive 2004/18/EC of the European Parliament and of the Council of 31 March 2004 on the coordination of procedures for the award of public works contracts, public supply contracts and public service contracts, in conformity with State aid rules. In order to support more effectively the research activities of the ERI, Member States and participating third countries should take all possible measures to accord to such ERI the most extensive exemption from other taxes. (14) Membership of an ERI must comprise at least three Member States and may include qualified third countries and specialised intergovernmental organisations. Therefore, an essential provision of this Regulation should be that an ERI should qualify as an international body or organisation for the purpose of the application of the Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax, Council Directive 92/12/EEC of 25 February 1992 on the general arrangements for products subject to excise duty and on the holding, movement and monitoring of such products and Directive 2004/18/EC of the European Parliament and of the Council of 31 March 2004 on the coordination of procedures for the award of public works contracts, public supply contracts and public service contracts, in conformity with State aid rules. In order to support more effectively the research activities of the ERI, thereby making them more competitive at global level, Member States and participating third countries should take all possible measures to accord to such ERI the most extensive exemption from other taxes.

Amendment 11

Proposal for a regulation Recital 17

(17) It is necessary to ensure that, on the one hand, an ERI has flexibility to amend its Statutes and, on the other hand, that the Community which sets up the ERI retains control over certain essential elements. If an amendment concerns a matter covered in the extract from the Statutes annexed to the decision setting up the ERI, such amendment has to be approved, prior to taking effect, by a Commission decision taken following the same procedure as the one for setting up the ERI, since the information contained therein is considered as essential. Any other amendment should be notified to the Commission which has an opportunity to object if it considers it contrary to this Regulation. If no objection is raised, an appropriate notice accompanied by a concise summary of the amendment should be published. (17) It is necessary to ensure that, on the one hand, an ERI has flexibility to amend its Statutes and, on the other hand, that the Community which sets up a research infrastructure as an ERI retains control over certain essential elements. If an amendment concerns a matter covered in the extract from the Statutes annexed to the decision setting up the ERI, such amendment has to be approved, prior to taking effect, by a Commission decision taken following the same procedure as the one for setting up the ERI, since the information contained therein is considered as essential. Any other amendment should be notified to the Commission which has an opportunity to object if it considers it contrary to this Regulation. If no objection is raised, an appropriate notice accompanied by a concise summary of the amendment should be published.

Amendment 12

Proposal for a regulation Recital 20

(20) ERIs may receive co-funding from Cohesion Policy financial instruments in conformity with Council Regulation (EC) No 1083/2006 of 11 July 2006 laying down general provisions on the European Regional Development Fund, the European Social Fund and the Cohesion Fund and repealing Regulation (EC) No 1260/1999. (20) ERIs may receive co-funding from Cohesion Policy financial instruments in conformity with Council Regulation (EC) No 1083/2006 of 11 July 2006 laying down general provisions on the European Regional Development Fund, the European Social Fund and the Cohesion Fund and repealing Regulation (EC) No 1260/1999 , and Council Regulation (EC) No 1084/2006 of 11 July 2006 establishing a Cohesion Fund (1).

Amendment 13

Proposal for a regulation Recital 22

(22) As the ERI is established under Community law, it should be governed by Community law, next to the law of the country where it has its statutory seat. However, the ERI could have a place of operation in another country . In that case, the law of that country should apply as regards public and occupational health and safety, environmental protection, treatment of hazardous substances and issuance of permits required. Further, an ERI should be governed by its Statutes adopted in compliance with the preceding sources of law, and by implementing rules complying with the Statutes. (22) As the ERI is established under Community law, it should be governed by Community law, next to the law of the country where it has its statutory seat. However, the ERI could have places of operation in other countries . In that case, the law of these countries should apply as regards public and occupational health and safety, environmental protection, treatment of hazardous substances and issuance of permits required. Further, an ERI should be governed by its Statutes adopted in compliance with the preceding sources of law, and by implementing rules complying with the Statutes.

Amendment 14

Proposal for a regulation Recital 23

(23) In order to ensure sufficient control of compliance with this Regulation, an ERI should submit to the Commission the annual report of the ERI and any information about circumstances threatening to seriously jeopardise the achievement of the tasks of the ERI . If the Commission obtains indications, through the annual report or otherwise, that the ERI acts in serious breach of this Regulation or other applicable law, it shall request explanations and/or actions from the ERI and/or its members. In extreme cases and if no remedial action is taken, the Commission may repeal the decision setting up the ERI; this will trigger the winding up of the ERI. (23) In order to ensure sufficient control of compliance with this Regulation, an ERI should submit to the Commission the annual report and any information about circumstances threatening to seriously jeopardise the achievement of its objective . If the Commission obtains indications, through the annual report or otherwise, that the ERI acts in serious breach of this Regulation or other applicable law, it shall request explanations and/or actions from the ERI and/or its members. In extreme cases and if no remedial action is taken, the Commission may repeal the decision setting up the ERI; this will trigger the winding up of the ERI.

Amendment 15

Proposal for a regulation Recital 23 a (new)

(23a) Based on the practice of its regular ESFRI Roadmap updates, the Commission should inform the European Parliament on a regular basis on the state of evolution of the ERIs in the European research Area, together with its evaluation and recommendations in this field.

Amendment 16

Proposal for a regulation Recital 24

(24) Since the objectives of the action to be taken; i.e. the establishment of a framework for European Research Infrastructures between Member States, cannot be sufficiently achieved by the Member States in the framework of their national constitutional systems, therefore, by reason of the trans-national nature of the problem, these objectives can better be achieved at Community level. The Community may therefore adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve those objectives. (24) Since the objectives of the action to be taken; i.e. the establishment of a framework for ERIs set up collectively by Member States, cannot be sufficiently achieved by the Member States in the framework of their national constitutional systems, therefore, by reason of the trans-national nature of the problem, these objectives can better be achieved at Community level. The Community may therefore adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve those objectives.

Amendment 17

Proposal for a regulation Article 1

1. This Regulation establishes a framework laying down the requirements and procedures for and the effects of setting up a European Research Infrastructure (hereinafter referred to as ‘ERI’). 2. It shall apply to research infrastructures of pan-European interest. 1. This Regulation establishes the requirements and procedures for a research infrastructure of pan-European interest to be set up as a European Research Infrastructure (hereinafter referred to as ERI).

Amendment 18

Proposal for a regulation Article 1 – paragraph 2 a (new)

2a. A research structure of pan-European interest is a facility, including resources and related services, which can be used by the scientific community to conduct high level research in their respective fields. This definition covers major scientific equipment or sets of instruments; knowledge-based resources such as collections, archives or structured scientific information; enabling ICT-based infrastructures such as grid, computing, software and communications; any other entity of a unique nature essential to achieve excellence in research. Such research infrastructures may be single-sited or distributed (an organised network of resources).

Amendment 19

Proposal for a regulation Article 2 – title

Task and other activities Objective and activities of an ERI

Amendment 20

Proposal for a regulation Article 2 – paragraph 1

1. The task of an ERI shall be to establish and operate a research infrastructure. 1. The objective of an ERI shall be to facilitate and promote research of pan-European interest, either in an existing European infrastructure or in a new infrastructure established jointly by several Member States .

Amendment 21

Proposal for a regulation Article 2 – paragraph 2

2. An ERI shall pursue its task on a non-economic basis . However, it may carry out limited economic activities closely related to its task provided that they do not jeopardise the achievement of that task. 2. The activities pursued by an ERI shall be of a non economic nature. However, it may carry out limited economic activities closely related to its objective provided that they do not jeopardise the achievement of that objective and income from such activities is used exclusively to achieve that objective.

Amendment 22

Proposal for a regulation Article 2 – paragraph 3 a (new)

3a. ERIs shall pay special attention to patents and other valuable intellectual property rights and interests which arise as a result of their activities and shall inform the Commission of such intellectual property rights by means of an annual report.

Amendment 23

Proposal for a regulation Article 3 – title

Requirements relating to infrastructure General requirements

Amendment 24

Proposal for a regulation Article 3 – paragraph 1 – introductory part

The research infrastructure to be established by an ERI shall meet the following requirements: The research infrastructure to be set up as an ERI shall meet the following requirements:

Amendment 25

Proposal for a regulation Article 3 – paragraph 1 – point b

(b) it represents an added value in the development of the European Research Area and a significant improvement in the relevant scientific and technological fields at international level; (b) it represents an added value in the development of the European Research Area including by unlocking research potential in all EU regions, and by improving research methods, a significant improvement in the relevant specialist scientific and technological fields at international level;

Amendment 26

Proposal for a regulation Article 3 – paragraph 1 – point c

(c) the European research community, composed of researchers from Member States and from countries associated to the Community research, technological development and demonstration programmes can effectively have access to it; and (c) it is effectively accessible to the European research community, composed of researchers from Member States and from countries associated to the Community research, technological development and demonstration programmes , in accordance with the rules established in its Statutes ;

Amendment 27

Proposal for a regulation Article 3 – paragraph 1 – point c a (new)

(ca) it contributes to the training of young researchers; and

Amendment 28

Proposal for a regulation Article 3 – paragraph 1 – point d a (new)

(da) it enhances the efficiency of interdisciplinary research as a result of the concentration of research projects within a given time-scale.

Amendment 29

Proposal for a regulation Article 3 – paragraph 1 a (new)

The research infrastructure to be set up as an ERI shall submit an impact assessment with its application.

Amendment 30

Proposal for a regulation Article 3 – paragraph 1 b (new)

The members of a research infrastructure to be set up as an ERI shall commit the necessary human and financial resources for its establishment and operation.

Amendment 31

Proposal for a regulation Article 4 – title

Application for the setting-up of an ERI Application

Amendment 32

Proposal for a regulation Article 4 – paragraph 1 – introductory part

1. The entities applying for the setting up of an ERI (hereinafter referred to as ‘applicants’) shall submit an application to the Commission. The application shall be submitted in writing in one of the official languages of the Community and shall contain the following: 1. The entities applying for a research infrastructure to be set up as an ERI (hereinafter referred to as ‘applicants’) shall submit an application to the Commission. The application shall be submitted in writing in one of the official languages of the Community and shall contain the following:

Amendment 33

Proposal for a regulation Article 4 – paragraph 1 – point a

(a) a request to the Commission to set up the ERI; (a) a request to the Commission for a research infrastructure to be set up as an ERI;

Amendment 34

Proposal for a regulation Article 4 – paragraph 1 – point c

(c) a technical and scientific description of the research infrastructure to be established and operated by the ERI, addressing in particular the requirements set out in Article 3. (c) a technical and scientific description of the research infrastructure to be set up as an ERI, and the socio-economic effects and the contribution to the EU’s convergence objectives, addressing in particular the requirements set out in Article 3;

Amendment 35

Proposal for a regulation Article 4 – paragraph 2

2. The Commission shall assess the application. During the assessment it may obtain the views of independent experts in particular in the field of the intended activities of the ERI. The result of such assessment shall be communicated to the applicants who shall be, if necessary, invited to complete or amend the application within a reasonable time. deleted

Amendment 36

Proposal for a regulation Article 5 – title

Decision on the application Assessment and decision on the application

Amendment 37

Proposal for a regulation Article 5 – paragraph – -1 (new)

-1. The Commission shall assess the application. During the assessment it must obtain the views of independent experts in particular in the field of the intended activities of the ERI. The result of such assessment shall be communicated to the applicants who shall, if necessary, be invited to complete or amend the application within a reasonable time.

Amendment 38

Proposal for a regulation Article 5 – paragraph 1 – introductory part

1. The Commission shall, taking into account the results of the assessment referred to in Article 4(2) and in accordance with the procedure referred to in Article 21: 1. The Commission shall, taking into account the results of the assessment referred to in Article 5(-1) and the needs identified in the European Strategy Forum on Research Infrastructures (ESFRI) Roadmap and in accordance with the procedure referred to in Article 21:

Amendment 39

Proposal for a regulation Article 5 – paragraph 1 – point a

(a) adopt a decision setting up the ERI after it has satisfied itself that the requirements laid down in this Regulation are met; or (a) adopt a decision setting up the research infrastructure as an ERI after it has satisfied itself that the requirements laid down in this Regulation are met; or

Amendment 40

Proposal for a regulation Article 5 – paragraph 2

2. The decision on the application shall be notified to the applicants. The decision setting up the ERI shall also be published in the L series of the Official Journal of the European Union. 2. The decision on the application shall be notified to the applicants. The decision setting up the research infrastructure as an ERI shall also be published in the L series of the Official Journal of the European Union. In cases of refusal, applicants shall have access to the evaluation report.

Amendment 42

Proposal for a regulation Article 6 – paragraph 1 a (new)

1a. In the case of infrastructures with a different legal form, the original legal person shall cease to exist on the date referred to in paragraph 1, and the ERI shall operate as its successor in title by legal succession;

Amendment 43

Proposal for a regulation Article 7 – paragraph 2

2. An ERI shall have a name containing the words ‘European Research Infrastructure’ or the abbreviation ‘ERI’. 2. An ERI shall have a name containing the words ‘European Research Infrastructure’ or the abbreviation ‘ERI’ and a reference to its research area .

Amendment 44

Proposal for a regulation Article 8 – paragraph 2

2. An ERI must at all times have at least three Member States as members. Further Member States may join as members at any time on fair and reasonable terms specified in the Statutes. 2. An ERI must at all times have at least three Member States as members. Further Member States , third countries and international organisations may join as members at any time on fair and reasonable terms specified in the Statutes.

Amendment 45

Proposal for a regulation Article 8 – paragraph 4

4. Any Member State or third country may be represented by one or more public entities, including regions, or private entities with a public-service mission as regards the exercise of specified rights and the discharge of specified obligations as a member of the ERI. 4. Any Member State or third country may be represented in the assembly of members by one or more public entities, including regions, or private entities with a public-service mission as regards the exercise of specified rights and the discharge of specified obligations as a member of the ERI.

Amendment 46

Proposal for a regulation Article 8 – paragraph 5

5. Third countries and intergovernmental organisations applying for a membership of an ERI shall recognise that that ERI shall have legal personality and capacity in accordance with Article 6(1) and (2) and that it shall be subject to rules determined in application of Article 16. 5. Third countries and intergovernmental organisations applying for a membership of an ERI shall recognise that that ERI shall have legal personality and capacity in their respective territories and organisations in accordance with Article 6(1) and (2) and that it shall be subject to rules determined in application of Article 16. In the event that Community funds are being used by an ERI, the international or intergovernmental ERI members shall maintain their ERI status only if they commit to sending their internal and external audits to the European Court of Auditors and to the Internal Auditor of the Commission.

Amendment 47

Proposal for a regulation Article 8 – paragraph 6 a (new)

6a. Should the Community become a member of an ERI either directly or through any intermediary, the Commission shall notify the two arms of the budgetary authority immediately.

Amendment 48

Proposal for a regulation Article 9 – paragraph 1 – point b

(b) tasks and activities of the ERI; (b) objective and activities of the ERI;

Amendment 49

Proposal for a regulation Article 9 – paragraph 1 – point e

(e) rights and obligations of the members, including the obligation to make contributions to a balanced budget; (e) rights and obligations of the members, including the obligation to make contributions to a balanced budget and voting rights ;

Amendment 50

Proposal for a regulation Article 9 – paragraph 1 – point h – point i

(i) access policy for users; (i) access policy for users based on scientific excellence ;

Amendment 51

Proposal for a regulation Article 9 – paragraph 1 – point h – point i a (new)

(ia) investment policy;

Amendment 52

Proposal for a regulation Article 9 – paragraph 1 – point h – point vi a (new)

(via) an anti-discrimination policy, taking particular account of gender equality and equal opportunities for the disabled;

Amendment 53

Proposal for a regulation Article 9 – paragraph 1 – point j a (new)

(ja) an agreement on the individual authorised to deal with patents and other intellectual property rights and interests which arise as a result of the activities of the ERI and the use to which the income deriving from such rights is put;

Amendment 54

Proposal for a regulation Article 13 – paragraph 6

6. An ERI shall take out appropriate insurance to cover all risks specific to its operation. 6. An ERI shall take out appropriate insurance to cover all risks specific to the construction of the infrastructure and its operation.

Amendment 55

Proposal for a regulation Article 14

Community funding to an ERI may be awarded solely in accordance with Title VI of Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities. Funding under Cohesion Policy shall also be possible, in conformity with the relevant Community legislation. Community funding to an ERI may only be awarded in accordance with Title VI of Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities. Funding under Cohesion Policy shall also be possible, in conformity with the relevant Community legislation. Should the Community at any time become a member of an ERI either directly or through any intermediary, that ERI shall be treated as a body having legal personality under Article 185 of the Financial Regulation. This also applies to an ERI which receives contributions (operative grants) under Article 185 of the Financial Regulation.

Amendment 56

Proposal for a regulation Article 16 – paragraph 1 – point a

(a) by Community law, in particular this Regulation and the decisions referred to in Articles 5(1)(a) and 10(1); (a) by Community law, in particular this Regulation and the decisions referred to in Articles 5(1)(a) and 10(1) and the Financial Regulation where applicable ;

Amendment 57

Proposal for a regulation Article 18 – paragraph 5

5. If no remedial action is taken, the Commission may repeal the decision establishing the ERI. Such decision shall be notified to the ERI and be published in the L series of the Official Journal of the European Union. This shall trigger the winding-up of the ERI. 5. If no remedial action is taken, the Commission may repeal the decision setting up the research infrastructure as an ERI. Such decision shall be notified to the ERI and be published in the L series of the Official Journal of the European Union. This shall trigger the winding-up of the ERI.

Amendment 58

Proposal for a regulation Article 18 – paragraph 5 a (new)