Proposal for a Council Regulation on the Community legal framework for a European Research Infrastructure (ERI) {SEC(2008) 2278} {SEC(2008) 2279}
Date: 2008-07-15
Institutions: European Commission
Subjects: EU research policy, drafting of EU law, industrial infrastructure, research and development

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 25.7.2008 
COM(2008) 467 final 

2008/0148 (CNS) 

Proposal for a 

COUNCIL REGULATION 

on the Community legal framework for a European Research Infrastructure (ERI) 

{SEC(2008) 2278} 
{SEC(2008) 2279} 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

•  Grounds for and objectives of the proposal 

The  legal  framework  for  a  European  Research  Infrastructure  is  designed  to  facilitate 
the joint establishment and operation of research facilities of European interest between 
several  Member  States  and  countries  associated  to  the  Community  R&D  Framework 
Programme. It is being developed in response to requests from the Member States and 
the scientific community, because the available national and international legal forms 
are not fully adequate. 

•  General context 

Since  the  EU  Commission  published  its  Communication  "Towards  a  European 
Research  Area"  in  January  2000,  the  idea  of  a  common  European  Research  Area 
(ERA) has been the guiding principle for all Community R&D measures and a central 
pillar  in  attaining  the  research  goals  of  the  Lisbon  Strategy.  The  2007  ERA  Green 
Paper  "The  European  Research  Area:  New  Perspectives"  identified  a  number  of  key 
areas where effective action through partnerships between Member States would have 
the potential to deliver significant gains for Europe's research system and help to create 
a "fifth freedom" - the free movement of knowledge - in Europe. 

In this context, one of the pillars of the ambitious ERA concept that was put forward 
concerns  "Developing  world  class  research  infrastructures",  which  in  turn  provides 
growth, jobs and the basis for a dynamic and knowledge-based European economy. 

Research  infrastructures  are  playing  an  increasing  role  in  the  advancement  of 
knowledge  and  technology.  For  example,  observatories  for  environmental  sciences, 
data  banks  in  genomics  and  data  bases  in  social  science,  imaging  systems  or  clean 
rooms  for  nano-electronics,  irradiation  facilities  for  materials  research  or  super-
computers, are essential tools for knowledge development. By offering unique research 
services,  by  attracting  young  people  to  science  and  through  networking  of  facilities, 
research infrastructures help in structuring the scientific community and therefore play 
a  key  role  in  the  construction  of  an  efficient  research  and  innovation  environment. 
Because  of  their  ability  to  assemble  a  'critical  mass'  of  people  and  investment,  they 
contribute  to  national,  regional  and  European  economic  development.  They  are 
therefore at the core of the "knowledge triangle" of research, education and innovation. 

As  the  frontiers  of  research  evolve  and  advance,  and  as  our  technologies  progress, 
research infrastructures are becoming increasingly complex and more expensive, often 
placing  them  beyond  the  reach  of  a  single  research  group,  region,  nation  or  even 
continent. This was recognised by the Competitiveness Councils of 1-3 July 2004 and 
of  25-26  November  2004  when  the  Council  agreed  that,  as  part  of  the  further 
development  of  the  ERA,  there  was  a  need  for  the  reinforcement  of  competitive 
research,  prevention  of  fragmentation,  and  cooperation  in  the  field  of  research 
infrastructures.  The  Council  emphasized  the  necessity  of  developing  a  European 
strategy  in  the  field  of  research  infrastructures  and  mandated  ESFRI,  -  the  European 
Strategy  Forum  for  Research  Infrastructure-  ,  to  develop  a  strategic  roadmap  for 
Europe for the next generation of research infrastructures. 

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The Competitiveness Council of 30 May 2008 reiterated the need to develop research 
infrastructures  at  European  level,  on  the  basis  of,  among  other  things,  an  efficient 
coordination and an appropriate legal framework. In October 2006, ESFRI released the 
first ever European Roadmap for Research Infrastructures containing 35 key projects of 
European  interest  to  be  developed  in  the  next  10-20  years.  The  challenge  now  is  the 
implementation of these projects.  

However, a major difficulty for setting up new European research infrastructures, apart 
from scarcity of resources and the complexity of technical and organisational issues, is 
the  lack  of  an  adequate  legal  framework  allowing  the  creation  of  appropriate 
partnership with partners from different countries. 

•  Existing provisions in the area of the proposal 

Recent work carried out under the auspices of ESFRI has recognised that existing legal 
forms under national law (e.g. the French société civile, the German Gesellschaft mit 
beschränkter  Haftung  (GmbH),  the  UK  limited  liability  company  (Ltd)  or  the  Dutch 
stichting (foundation)) do not fulfil the needs of these new research infrastructures. The 
analysis is similar for existing legal forms under international or Community law (e.g. 
Interest 
international/intergovernmental 
Groupings).  ESFRI  thus  identified  a  need  to  develop  a  dedicated  Community  legal 
framework for setting-up European research infrastructures involving several Member 
States. 

organisations, 

Economic 

European 

The proposed legislation is therefore designed to facilitate the joint establishment and 
operation  of  research  facilities  of  European  interest  among  several  Member  and 
countries  associated  to  the  Community  R&D  Framework  Programme,  and  to  help 
develop  further  the  European  policy  for  research  infrastructures.  This  should 
complement the advances already achieved since 2004, in particular through ESFRI. A 
wide-ranging  consultation  has  been  carried  out  to  prepare  this  initiative,  including 
analysis conducted by experts and consultation of stakeholders.  

•  Consistency with the other policies and objectives of the Union 

The  rapid  setting-up  of  new  European  research  infrastructures  -  as  identified  for 
example by ESFRI - would enable an easier and quicker achievement of the horizontal 
objectives of the European Union: 

Growth and Jobs: The construction, operation and maintenance of such facilities create 
important  supply  and  demand  effects.  For  example,  the  generation  of  today's  CCD 
cameras  (consumer  products),  or  the  use  of  specific  software  for  ophthalmological 
examinations have their roots in the technological developments done in the last twenty 
years in the large optical astronomy observatories;  

"Sustainable Europe": European research infrastructures help to better understand our 
environment  or  to  develop  new  approaches  to  energy.  As  identified  by  the  Energy 
Council of 28 February 2008, research infrastructures help to improve and enlarge the 
Community's  knowledge  base  of  researchers  and  research  institutes.  They  reduce 
barriers to mobility, attract world-class human capital, and improve science education 
in the field of renewable energy technologies (SET plan);  

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"Knowledge Society": European research infrastructures are key for the efficient access 
to world-level scientific knowledge by large communities of researchers and users. It 
should  be  remembered  that  the  Internet  was  born  in  CERN  many  years  ago.  Today, 
millions  of  kilometres  of  optic  fibres  link  the  different  scientific  centres  of 
competences, research centres and universities, as the backbone of an efficient, quick 
and reliable scientific communication and information system. 

Europe as a world partner: The rapid development of European research infrastructures 
will  significantly  affect  the  attractiveness  of  the  European  Research  Area.  Already 
Australia,  India,  Russia  and  the  USA  have  shown  considerable  interest  in  a 
participation in the development of the projects identified by ESFRI. 

Better  regulation  (and  simplification):  Finally,  through  an  optimisation  of  the  legal 
framework at European level, the Council could allow a quicker and efficient process 
for  the  management  of  the  different  files  related  to  the  setting-up  of  new  European 
research facilities using a single legal base instead of several national ones.  

The  regulation  is  complementary  to  other  Community  initiatives  developed  in  the 
context  of  ERA,  such  as  the  Communication  on  Joint  Programming  in  Research1.  It 
also complements  the  European  Institute of Innovation and Technology (EIT),  which 
will create Knowledge and Innovation Communities (KICs) bringing together the best 
resources from higher education, research and business players in partnerships.  

2. 

CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

•  Consultation of interested parties and use of expertise 

In  the  preparation  of  this  proposal,  the  Commission  took  into  account  the  views 
expressed by many stakeholders. ESFRI organised, in collaboration with DG Research, 
two  workshops  with  key  stakeholders  in  2006.  The  two  workshops  showed  the 
limitations  of  the  existing  legal  forms  at  national,  Community  or  international  levels 
for European research infrastructures.  

A  feasibility  study  on  the  creation  of  a  European  legal  instrument  for  European 
research infrastructures was carried out in 2007 by a group of legal experts. The group 
concluded that a solution could be an EC Regulation based on Article 171 of the EC 
Treaty.  

A  Stakeholders  Meeting  was  organised  on  3  March  2008.  Participants  included 
representatives  of  the  projects  in  the  ESFRI  roadmap,  representatives  of  European 
research facilities and legal experts with in-depth knowledge of the subject.  

A vast majority of experts agreed on the usefulness of a new legal form at Community 
level and on the broad orientation of the project of the Commission. 

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The Commission also set up and consulted an advisory expert group (Sounding Board) 
in 2008. The Sounding Board showed strong support to the option of developing a new 
Community legal instrument for European research infrastructures. In their view, such 
a  legal  instrument,  complementing  other  existing  legal  forms,  would  facilitate  and 
speed up the decision making process for new infrastructures. 

•  Impact assessment 

This  proposal  for  a  Council  Regulation  has  been  subject  to  a  Commission  Impact 
Assessment  which  compared  the  potential  impact  of  the  proposed  framework 
regulation with the alternatives, including the 'Business as Usual' situation and 3 other : 

Option  1:  The  "no  specific  EU  action"  option  corresponds  to  the  present  situation, 
where,  each  consortium,  through  an  ad  hoc  process,  tries  to  identify  among  existing 
legal forms the one which could be the most appropriate for their project;  

Option 2 corresponds to a "light" form of intervention from the European Commission, 
helping  those  involved  in  building  European  infrastructures  to  identify  problems  and 
needs,  to  exchange  information  about  how  to  tackle  these  problems  and  to  establish 
best practices.  

Option  3  corresponds  to  the  setting-up  of  Joint  Undertakings  by  the  Community, 
according to Article 171 of the EC-Treaty, on a case by case basis, every time that such 
a need occurs;  

Option  4  is  a  more  direct  response  to  the  problem  at  hand.  It  proposes  a  legislative 
action  to  provide  a  new  legal  instrument  adapted  to  the  needs  of  European  research 
infrastructures,  complementing  existing  forms  at  national  and  European  level;  it  also 
considers  the  empowerment  by  the  legislator  of  the  European  Commission  to  confer 
the "European Research Infrastructure" status.  

A comparative assessment of the different policy options clearly identifies Option 4 as 
the most effective and efficient way to achieve the policy objectives of the proposal. In 
particular  the  proposed  framework  regulation  has  clear  advantages  over  other 
alternatives.  It  would  provide  an  easier,  faster  and  more  cost-efficient  process  of 
setting-up new European research infrastructures. It would provide all the features that 
a legal form should have for European research infrastructures. It would thus increase 
the number of European research infrastructures and contribute to the achievement of 
socio-economic, environmental and societal impacts. 

It  would  also  contribute  to  further  development  of  a  European  policy  for  research 
infrastructures.  Ultimately  the  proposed  framework  regulation  would  increase  the 
attractiveness  of  the  European  Union  at  international  level  as  a  place  to  do  research 
through the reinforcement of the ERA. 

However,  Member  States  in  setting-up  new  research  infrastructures  of  European 
dimension  could  also  use  relevant  existing  international,  national  or  European  legal 
forms (for instance the EGCT and the EEIG). 

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3. 

LEGAL ELEMENTS OF THE PROPOSAL 

•  Summary of the proposed action 

Complementing  national  or  inter-governmental  schemes,  the  proposed  framework 
regulation will provide a common legal framework based on Article 171 EC Treaty. It 
will  set  out  the  main  characteristics  of  European  Research  Infrastructures  (ERIs),  as 
well as clear procedures by which this status will be conferred by the legislator. 

An ERI is a legal entity with legal personality and full legal capacity recognised in all 
Member  States.  It  is  based  on  membership:  its  members  (Member  States,  third 
countries and intergovernmental organisations) jointly contribute to the achievement of 
the  objectives  of  an  ERI,  primarily  the  establishment  and  operation  of  a  research 
infrastructure of European importance. Its internal structure is very flexible, allowing 
the members to define, in the Statutes, their member rights and obligations, the organs 
and  their  competences  and  other  internal  arrangements.  The  liability  of  the  members 
for  the  debts  of  the  ERI  will  in  principle  be  limited  to  their  respective  contributions; 
flexibility  will  however  be  allowed  in  the  statutes  to  modify  such  arrangements.  The 
applicable  law  is  Community  law,  the  law  of  the  State  of  the  statutory  seat  or  of  the 
State of operation regarding certain safety and technical matters. The Statutes and their 
implementing  rules  must  comply  with  such  applicable  law.  The  ERI  shall  also  be 
considered  as  an  international  body  or  organisation  in  the  sense  of  the  directives  on 
value-added tax, on excise duties and on public procurement; it shall be thus exempted 
from VAT and excise duties and its procurement procedures shall be out of the scope 
of the directive on public procurement. 

An ERI shall be set up, in conformity with the legal basis of Article 171 EC Treaty, by 
a decision of the Commission acting on the basis of implementing powers conferred by 
the  Council  (Article  202  EC  Treaty).  The  Commission  shall  act  upon  an  application 
submitted by those who wish to become founding members of the ERI. The decision 
setting  up  the  ERI  shall  be  taken  following  the  advisory  procedure.  This  procedure 
should  stimulate  the  setting-up  of  structures  necessary  for  the  efficient  execution  of 
technological 
European  research, 
development  and  demonstration  Community  programmes.  It  would  also  allow  a 
quicker process than if individual decisions were taken by the Council, simplifying the 
complex process of development of international research infrastructures, and avoiding 
uncoordinated activities.  

those  supported  by 

the  research, 

including 

The  European  Commission  will  ensure  the  overall  management  of  the  new  legal 
framework and monitoring of compliance of the ERIs with the Regulation. Five years 
after  its  adoption,  the  Commission  shall  carry  out,  through  a  panel  of  experts,  an 
evaluation of this legal framework and shall report it to the European Parliament and 
the Council. 

•  Legal basis 

The legal basis of the proposal is Article 171 of the Treaty establishing the European 
Community. 

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•  Subsidiarity principle 

The  subsidiarity  principle  applies  insofar  as  the  proposal  does  not  fall  under  the 
exclusive competence of the Community. 

In order for Community action to be justified, it is also necessary for the subsidiarity 
principle to be respected. This involves assessing two aspects. Firstly, it is important to 
be sure that the objectives of the proposed action could not be achieved sufficiently by 
Member States in the framework of their national constitutional system (necessity test). 
Three  options  are  proposed  to  tackle  the  identified  problem,  i.e.  that  no  appropriate 
legal framework for European Research Infrastructures exists: (1) Coordination action 
at  European  level  for  the  development  of  best  practices;  (2)  Development  of  Joint 
Undertakings  and  (3)  Development  of  a  dedicated  legal  framework  at  Community 
level. The Community is best placed to implement these options, on the basis of Article 
165 for the first one, and through Article 171 for the two others. 

The  second  aspect  to  consider  is  whether  and  how  the  objectives  could  be  better 
achieved by action on the part of the Community (test of European value-added). The 
rationale  for  a  European  action  stems  from  the  trans-national  nature  of  the  problem 
(setting-up  of  legal  frameworks  between  Member  States).  Alternative  solutions  exist 
through  the  setting  up  of  inter-governmental  agreements,  however  the  administrative 
and legal processes which typically have to be followed under such intergovernmental 
schemes are considered as too lengthy, difficult and cumbersome. 

The proposal therefore complies with the subsidiarity principle. 

•  Proportionality principle 

The draft Regulation is very short and leaves most of the internal arrangements for the 
planned infrastructure up to the members of the European Research Infrastructure, i.e. 
Member States, third States and intergovernmental organisations.  

The applicable law will be mostly the national law of the country of statutory seat or of 
operation. 

The  amount  of  information  that  the  ERI  and  its  members  have  to  present  to  the 
Commission  is  kept  to  the  minimum  necessary  so  as  to  allow  the  Commission  to 
examine its compliance with the framework regulation. 

For these reasons, the proposal complies with the proportionality principle. 

•  Choice of instruments 

The framework that will be generally applicable to a potentially large number of legal 
entities, the ERIs, which are set up under Article 171 EC Treaty as legal basis, requires 
a regulation. 

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4. 

BUDGETARY IMPLICATION 

The  proposed  regulation  will  facilitate  the  joint  establishment  and  operation  of 
European research facilities among several Member States and Associated States. This 
is  an  activity  additional  to  the  implementation  of  the  research  infrastructures  action 
foreseen in the legal base for the 7th Framework Programme for Research.  

5. 

ADDITIONAL INFORMATION 

•  Simplification 

The  proposal  provides  for  simplification  of  administrative  procedures  for  public 
authorities (Community and national). 

Through an optimisation of the legal framework at European level, the Council could 
allow  a  quicker  and  more  efficient  process  for  the  management  of  the  different  files 
related with the setting-up of new European research facilities using a single legal base 
instead of several national ones.  

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2008/0148 (CNS) 

Proposal for a 

COUNCIL REGULATION 

on the Community legal framework for a European Research Infrastructure (ERI) 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Articles 
171 and the second paragraph of Article 172, thereof, 

Having regard to the proposal from the Commission2, 

Having regard to the opinion of the European Parliament3, 

Having regard to the opinion of the European Economic and Social Committee4, 

Whereas: 

(1) 

(2) 

Pursuant to Article 171 of the Treaty the Community may set up joint undertakings or 
any  other  structure  necessary  for  the  efficient  execution  of  Community  research, 
technological development and demonstration programmes. 

The  support  and  development  of  research  infrastructures  in  Europe  has  been  an 
ongoing objective of the Community, as last reflected in 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 (2007-2013)5 and in particular 
in  Council  Decision  No  2006/974/EC  of  19  December  2006  on  the  specific 
programme "Capacities"6.  

(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 

OJ C , , p. . 

OJ C , , p. . 

OJ C , , p. . 

OJ L 412 of 30 December 2006, p. 1. 
OJ L 54 of 22.2. 2007, p. 101. 

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structures  by  creating  an  appropriate  legal  framework  which  should  facilitate  their 
establishment and operation at the level of the Community. 

(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.  

(5)  While  the  central  role  of  world-class  scientific  research  infrastructures  for  the 
attainment of the Community's RTD objectives set out in Title XVIII of Part Three of 
the  Treaty  has  thus  long  been  recognised  under  Community  RTD  Framework 
Programmes,  the  rules  governing  establishment,  financing  and  operation  of  these 
structures  are  still  fragmented  and  regionalised.  Considering  that  European  research 
infrastructures are in competition with those of the Community's global partners which 
are and will be strongly investing in modern large-scale research infrastructures, and 
that  these  infrastructures  are  becoming  increasingly  complex  and  expensive,  often 
placing them beyond the reach of a single Member State or even continent, it is now 
necessary  to  exploit  and  develop  the  full  potential  of  Article  171  of  the  Treaty  by 
establishing a framework containing the procedures and conditions for the setting-up 
and  operation  of  European  Research  Infrastructures  at  Community  level  which  are 
necessary for the efficient execution of the Community's RTD programmes. This new 
legal framework would complement other, less specialised, legal forms existing under 
national,  international  or  Community  law  (such  as  the  European  Economic  Interest 
Grouping (EEIG) or the European Grouping for Territorial Cooperation (EGCT)). 

(6) 

(7) 

(8) 

The term research infrastructure refers to facilities, resources and related services that 
are used by the scientific community to conduct top-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). 

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 
Regulation7, 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.  

Given  the  close  cooperation  between  Member  States  and  the  Community  in 
programming  and 
in  a 
complementary manner, as set out in Articles 164 and 165 of the Treaty, it should be 

research  activities 

implementing 

respective 

their 

7 

OJ L 248 of 16.9. 2002, p. 1. Regulation as amended by Regulation (EC, Euratom) No 1995/2006 ( OJ 
L 390 of 30.12.2006, p.1). 

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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. 

(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. 

(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.  

(11) 

In order to permit an efficient procedure for the setting-up of an ERI, it is necessary 
for  the  entities  willing  to  set  up  an  ERI  to  submit  an  application  to  the  Commission 
which  has  to  assess,  with  the  help  of  independent  experts,  whether  the  proposed 
research infrastructure is in conformity with this Regulation.  

(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. 

(13) 

In  order  to  carry  out  its  tasks  in  the  most  efficient  way,  the  ERI  should  have  legal 
personality and most extensive legal  capacity as from  the day on  which the decision 
setting  it  up  takes  effect.  It  should  have  a  statutory  seat,  in  order  to  determine  the 
applicable law, on the territory of a member of an ERI which is a Member State or a 
country associated to a Community framework programme for research, technological 
development and demonstration.  

(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 

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common  system  of  value  added  tax8,  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 products9 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  contracts10,  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. 

(15) 

In line with the Community dimension of this legal instrument, Member States should 
jointly hold the majority of votes in the assembly of members of an ERI. 

(16)  For  the  implementation  of  this  framework,  more  detailed  provisions  should  be  laid 
down  in  Statutes,  on  the  basis  of  which  the  Commission  should  examine  the 
compliance of an application with the framework established in this Regulation.  

(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. 

(18) 

It  is  necessary  for  an  ERI  to  equip  itself  with  its  own  bodies  for  the  effective 
management of its activities. The Statutes should determine the manner in which these 
bodies legally represent the ERI. 

(19) 

It  is  necessary  for  the  ERI  to  carry  out  its  activities  according  to  sound  budgetary 
principles for the exercise of its financial responsibility.  

(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 1260/199911.  

(21) 

In order to carry out its tasks in the most efficient way and as a logical consequence of 
its  legal  personality,  an  ERI  should  be  liable  for  its  debts.  In  order  to  allow  the 

8 

9 

10 

11 

OJ  L  347,  11.12.2006,  p.  1.  Directive  as  last  amended  by  VAT  Council  Directive  2008/8/EC  of  12 
February 2008 (OJ L 44, 20.2.2008, p. 11) 
OJ L 76, 23.3.1992, p. 1. Directive as last amended by Council Directive 2004/106/EC of 16 November 
2004 (OJ L 359, 4.12.2004, p. 30) 
OJ L 134, 30.4.2004, p. 114. Directive as last amended by Commission Regulation (EC) No 213/2008 
of 28 November 2007 (OJ L 74, 15.3.2008, p. 1 ) 
OJ L 210 of 31.7.2006, p.25 

EN 

12 

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members  to  find  appropriate  solutions  regarding  their  liability,  the  option  should  be 
given to provide in the Statutes for different liability regimes going above the liability 
limited to the contributions of the members.  

(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. 

(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.  

(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. 

(25)  The measures necessary for the implementation of this Regulation should be adopted 
in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the 
procedure for the exercise of implementing powers conferred on the Commission. 12  

HAS ADOPTED THIS REGULATION: 

Article 1 
Subject-matter and scope 

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. 

12 

OJ L 184, 17.7.1999, p.23. 

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13 

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Article 2 
Task and other activities 

1. 

2. 

3. 

The task of an ERI shall be to establish and operate a research infrastructure. 

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.  

The  ERI  shall  record  costs  and  revenues  of  its  economic  activities  separately  and 
shall charge market prices for them, or, if these cannot be ascertained, full costs plus 
a reasonable margin.  

Article 3 
Requirements relating to infrastructure 

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

(a) 

(b) 

(c) 

it  is  necessary  for  the  carrying  out  of  European  research  activities  and  in 
particular  for  the  efficient  execution  of  Community  research,  technological 
development and demonstration programmes; 

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; 

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 

(d) 

it contributes to the dissemination and optimisation of the results of activities in 
Community research, technological development and demonstration. 

Article 4 
Application for the setting-up of an ERI 

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: 

(a) 

(b) 

(c) 

a request to the Commission to set up the ERI; 

the proposed Statutes of the ERI referred to in Article 9; 

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.  

EN 

14 

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(d) 

an extract from the Statutes which contains the information listed in the Annex. 

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.  

Article 5 
Decision on the application 

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: 

(a) 

(b) 

adopt  a  decision  setting  up  the  ERI  after  it  has  satisfied  itself  that  the 
requirements laid down in this Regulation are met; or 

reject  the  application  if  it  concludes  that  the  requirements  laid  down  in  this 
Regulation are not met. 

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. 

The  extract  from  the  Statutes  contained  in  the  application  shall  be  annexed  to  the 
decision setting up the ERI. 

Article 6 
Status of an ERI  

An ERI shall have legal personality as from the date on which the decision setting up 
the ERI takes effect. 

An ERI shall have in each Member State the most extensive legal capacity accorded 
to  legal  entities  under  the  law  of  that  Member  State.  It  may,  in  particular,  acquire, 
own  and  dispose  of  movable,  immovable  and  intellectual  property,  conclude 
contracts and be a party to legal proceedings. 

The  ERI  is  an  international  body  within  the  meaning  of  Article  151(1)(b)  of 
Directive 2006/112/EC, and an international organisation within the meaning of the 
second indent of Article 23(1) of Directive 92/12/EEC and of Article 15, point (c), of 
Directive 2004/18/EC. 

Member States shall take all possible measures to accord the ERI the most extensive 
exemption from taxes further to those referred to in paragraph 3, in conformity with 
State aid rules. 

2. 

3. 

1. 

2. 

3. 

4. 

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15 

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Article 7 
Seat and name  

1. 

2. 

An  ERI  shall  have  a  statutory  seat,  which  shall  be  located  on  the  territory  of  a 
member  which  shall  be  a  Member  State  or  a  country  associated  to  a  Community 
research, technological development and demonstration programme. 

An ERI shall have a name containing the words "European Research Infrastructure" 
or the abbreviation "ERI".  

1. 

The following entities may become members of an ERI: 

Article 8 
Membership  

(a)  Member States; 

(b) 

third countries; 

(c) 

inter-governmental organisations. 

2. 

3. 

4. 

5. 

6. 

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. 

Member States shall jointly hold the majority of the voting rights in the assembly of 
members referred to in Article 12 (a). 

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. 

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. 

Third  countries  applying  for  a  membership  of  an  ERI  shall  accord  to  such  ERI  a 
treatment equivalent to that referred to in Article 6(3) and (4). 

The Statutes shall contain at least the following: 

Article 9 
Statutes 

(a) 

a list of members, and where applicable, of entities representing them and the 
conditions of and procedure for changes in membership and representation in 
compliance with Article 8; 

(b) 

tasks and activities of the ERI; 

EN 

16 

   EN 

 
(c) 

(d) 

(e) 

(f) 

statutory seat in compliance with Article 7(1); 

name of the ERI in compliance with Article 7(2); 

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

bodies  of  the  ERI,  their  competencies  and  the  manner  in  which  they  are 
constituted  and  in  which  they  decide,  including  upon  the  amendment  of  the 
Statutes, in compliance with Articles 10, 11 and 12; 

(g) 

duration, and the procedure for the winding-up in compliance with Article 17; 

(h) 

basic principles covering: 

(i) 

access policy for users; 

(ii)  data policy;  

(iii)  scientific evaluation policy; 

(iv) 

intellectual property rights policy; 

(v)  dissemination policy; 

(vi)  employment policy; 

(vii)  procurement  policy  respecting  the  principles  of  transparency,  non-

discrimination and competition; 

(viii)  decommissioning, if relevant; 

(i) 

(j) 

identification of the working language(s); 

references to rules implementing the Statutes. 

The Statutes shall be publicly available on the website of the ERI and at its statutory seat. 

Article 10 
Amendments of the Statutes requiring an amendment of the extract from the Statutes 

1. 

Any amendment of the Statutes which requires an amendment of the extract from the 
Statutes  shall  be  submitted  to  the  Commission  by  the  ERI  for  approval.  Such 
amendment shall not take effect before the decision granting approval has come into 
force. The Commission shall apply, mutatis mutandis, Articles 4(2) and 5. 

EN 

17 

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2. 

The application for the amendment shall contain the following: 

(a) 

the text of the amendment as proposed, including the date on which it 

enters into force; 

(b) 

the amended consolidated version of the Statutes; 

(c) 

the amended extract from the Statutes. 

Article 11 
Other amendments of the Statutes  

1. 

2. 

3. 

4. 

5. 

Any  amendment  of  the  Statutes  other  than  that  referred  to  in  Article  10  shall  be 
submitted to the Commission by the ERI within ten days after its adoption. 

The Commission may raise an objection to such amendment within sixty days from 
submission  giving  reasons  why  the  amendment  does  not  meet  the  requirements  of 
this Regulation.  

If no objections are raised, the Commission shall publish a notice of the amendment 
accompanied  by  the  concise  summary  of  the  amendment  in  the  C  series  of  the 
Official Journal of the European Union.  

The  amendment shall not take  effect before the period for objecting  has  expired or 
has been waived by the Commission or before an objection raised has been lifted. 

The application for the amendment shall contain the following: 

(a) 

the  text  of  the  amendment  as  adopted,  including  the  date  on  which  it 

enters into force; 

(b) 

(c) 

the amended consolidated version of the Statutes; 

the concise summary of the amendment. 

Article 12 
 Organisation of the ERI 

The  Statutes  shall  provide  for  at  least  the  following  bodies  having  the  following 
competencies: 

(a) 

(b) 

an assembly of members as the body having full decision-making competency, 
including the adoption of the budget; 

a director or a board of directors, appointed by the assembly of members, as the 
executive body and legal representative of the ERI. 

The Statutes shall specify the manner in which the members of the board of directors legally 
represent the ERI. 

EN 

18 

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Article 13 
Budgetary principles, accounts, audit and insurance 

1. 

2. 

3. 

4. 

5. 

6. 

All items of revenue and expenditure of an ERI shall be included in estimates to be 
drawn up for each financial year and shall be shown in the budget. The revenue and 
expenditure shown in the budget shall be in balance. 

The members of an ERI shall ensure that the appropriations are used in accordance 
with the principles of sound financial management. 

The  budget  shall  be  established  and  implemented  and  the  accounts  presented  in 
compliance with the principle of transparency. 

The accounts of an ERI shall be accompanied by a report on budgetary and financial 
management of the financial year. 

An  ERI  shall  be  subject  to  the  requirements  of  the  applicable  law  as  regards 
preparation, filing, auditing and publication of accounts. 

An  ERI  shall  take  out  appropriate  insurance  to  cover  all  risks  specific  to  its 
operation. 

Article 14 
 Community funding 

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 
Communities.  
Funding  under  Cohesion  Policy  shall  also  be  possible,  in  conformity  with  the  relevant 
Community legislation. 

European 

general 

budget 

the 

the 

of 

to 

1. 

2. 

Article 15 
Liability 

An ERI shall be liable for its debts. 

The  financial  liability  of  the  members  for  the  debts  of  the  ERI  shall  be  limited  to 
their respective contributions provided to the ERI. The members may specify in the 
Statutes that they will assume a fixed liability above their respective contributions or 
unlimited liability. 

3. 

The Community shall not be liable for any debt of the ERI. 

Article 16 
Applicable law and jurisdiction 

1. 

An ERI shall be governed: 

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19 

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(a)  by  Community  law,  in  particular  this  Regulation  and  the  decisions 

referred to in Articles 5(1)(a) and 10(1);  

(b) 

(c) 

(d) 

(e) 

by the law of the State, where the ERI has its statutory seat in the case 
of matters not, or only partly, regulated by acts referred to in point (a); 

by its Statutes, adopted in conformity with the sources of law referred 
to in points (a) and (b);  

by its implementing rules complying with its Statutes. 

In derogation from point (b), an ERI shall be governed by the law of 
the States in which the ERI operates as regards  

(i) 

public and occupational health and safety;  

(ii) 

environmental protection; 

(iii) 

treatment of hazardous substances; 

(iv) 

issuance of permits required for its operation. 

2. 

3. 

1. 

2. 

3. 

4. 

The  Court  of  Justice  of  the  European  Communities  shall  have  jurisdiction  over 
litigation  among  the  members,  between  the  members  and  the  ERI  and  over  any 
litigation where the Community is a party. 

Community  legislation  on  jurisdiction  shall  apply  to  disputes  between  an  ERI  and 
third  parties.  In  cases  not  covered  by  such  Community  legislation,  the  law  of  the 
State, where the ERI has its statutory seat shall determine the competent jurisdiction 
for the resolution of such disputes. 

Article 17 
Winding-up, insolvency 

The Statutes shall determine the procedure to be applied in the case of winding-up of 
the ERI following a decision of the assembly of members. 

Without undue delay after the adoption of the decision by the assembly of members 
to wind up, and in any event within ten days after such adoption, the ERI shall notify 
the Commission thereof. The Commission shall publish an appropriate notice in the 
C series of the Official Journal of the European Union. 

Without undue delay after the closure of the winding-up procedure, and in any event 
within ten days after such closure, the ERI shall notify the Commission thereof. The 
Commission shall publish an appropriate notice in the C series of the Official Journal 
of the European Union. The ERI shall cease to exist on the day of publication of the 
notice. 

At any time, in the event that the ERI is unable to pay its debts, it shall immediately 
notify the Commission thereof. The Commission shall publish an appropriate notice 
in the C series of the Official Journal of the European Union. 

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Article 18 
Reporting and control 

1. 

2. 

3. 

4. 

5. 

An  ERI  shall  produce  an  annual  activity  report  and  submit  it  to  the  Commission 
within six months from the end of the corresponding financial year. This report shall 
be made publicly available. 

An  ERI  and  the  Member  States  concerned  shall  inform  the  Commission  of  any 
circumstances which threaten to seriously jeopardise the achievement of the task of 
the ERI. 

Where the Commission obtains indications that an ERI is acting in serious breach of 
this Regulation, the decisions adopted on the basis thereof or other applicable law, it 
shall request explanations from the ERI and/or its members. 

If  the  Commission  concludes,  after  having  given  the  ERI  and/or  its  members  a 
reasonable  time  to  provide  their  observations,  that  such  ERI  is  acting  in  serious 
breach  of  this  Regulation,  the  decisions  adopted  on  the  basis  thereof  or  other 
applicable law, it may propose remedial action to the ERI and its members. 

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. 

Article 19 
Appropriate provisions 

Member  States  shall  make  such  provisions  as  are  appropriate  to  ensure  the  effective 
application of this Regulation. 

Article 20 
Report and Review 

Five years from the entry into force of this Regulation, the Commission shall forward to the 
European  Parliament  and  the  Council  a  report  on  its  application  and  proposals  for 
amendments, where appropriate. 

Article 21 
Committee procedure 

1. 

2. 

The Commission shall be assisted by an advisory committee. 

Where reference is made to this Article, Articles 3 and 7 of Decision 1999/468/EC 
shall apply. 

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Article 22 
Entry into force 

This Regulation shall enter into force on the twentieth day following that of its publication in 
the Official Journal of the European Union. 

This Regulation shall be binding in its entirety and directly applicable in all Member States. 

Done at Brussels,  

For the Council 
The President 

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ANNEX  

EXTRACT FROM THE STATUTES 

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

Name  of  the  ERI  (Articles  7(2)  and  9,  letter  (d)):  [name  according  to  the  Statutes, 
including the words "European Research Infrastructure" or the abbreviation "ERI"] 

Task (Articles 2(1) and 9, letter (b)): [task according to the Statutes consisting in the 
establishment and operation of a research infrastructure] 

Statutory  seat  (Articles  7(1)  and  9,  letter  (c)):  [reference  preferably  to  the  smallest 
administrative or self-governing territorial unit, such as a commune] 

Duration (Article 9, letter (g)): [e.g. "indeterminate", or a final date or number of years 
from setting-up] 

Basic  principles  of  access  policy  for  users  (Article  9,  letter  (h),  first  indent): 
[according to the Statutes] 

Basic  principles  of  scientific  evaluation  policy  (Article  9,  letter  (h),  third  indent): 
[according to the Statutes] 

Basic principles of dissemination policy (Article 9, letter (h), fifth indent): [according 
to the Statutes] 

Basic principles of employment policy (Article 9, letter (h), sixth indent): [according 
to the Statutes] 

Basic principles of procurement policy respecting the principles of transparency, non-
discrimination and competition (Article 9, letter (h), seventh indent): [according to the 
Statutes] 

(10)  Liability  regime  (Article  15(2)):  [according  to  the  Statutes  and/or  first  sentence  of 

Article 15(2)] 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Council  Regulation  on  the  Community  legal  framework  for  a  European  Research 
Infrastructure (ERI) 

2. 

ABM / ABB FRAMEWORK 

Policy Area(s) concerned and associated Activity/Activities: 

Research - Research infrastructures 

3. 

BUDGET LINES 

3.1. 

Budget  lines  (operational  lines  and  related  technical  and  administrative 
assistance lines (ex- B..A lines)) including headings: 

•    08.01.05.01 : Officials and Temporary Staff of Research 

•    08.01.05.02 : External Staff (contractual, END, etc.) 

3.2. 

Duration of the action and of the financial impact: 

Long  term  action,  since  the  proposed  legislation  is  designed  to  facilitate  the  joint 
establishment  and  operation  of  research  facilities  among  several  Member  and 
Associated States, and since, through an empowerment to the European Commission, 
this  regulation  will  allow  a  simpler  process  than  if  individual  decisions  would  be 
taken by the Council. 

In the short term, this would not necessitate more resources than those presently used 
to  follow  the  preparatory  phase  of  the  new  research  infrastructures  projects  (FP7 
resources). In the medium to long term, however, additional human resources should 
be  needed  to  follow  the  political  development  of  the  regulation,  leading  e.g.  to  a 
possible revision of the regulation after 5 years. 

3.3. 

Budgetary characteristics: 

Budget line 

Type of expenditure 

New 

EFTA 
contribution 

Contributions from 
applicant countries 

08.01 05 01  Non-comp  Non-Diff 

NO 

08.01 05 02  Non-comp  Non-diff  

NO 

08.01.05.03  Non-comp  Non-diff 

NO 

YES 

YES 

YES 

YES 

YES 

YES 

Heading in 
financial 
perspective 

No 1A 

No 1A 

No 1A 

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4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

Summary of commitment (CA) and payment appropriations (PA) 

EUR million (to 3 decimal places) 

Expenditure type 

Section 
no. 

2009 

2010 

2011 

2012 

2013 

2014 
and 
later 

Administrative expenditure not included in reference amount 

Human  resources  /  associated 
expenditure (NDA) 

Administrative costs (NDA) 

8.2.5. 

a 

0.423  0.657 

0.711 

0.828 

0.828 

1.062 

8.2.6. 

b 

0.080  0.250 

0.280 

0.250 

0.250 

0.250 

Total indicative financial cost of intervention 

TOTAL CA including cost 
of Human Resources 

TOTAL PA including cost of 
Human Resources 

a+b 

0.503 

0.907 

0.991 

1.078 

1.078 

1.312 

a+b 

0.503 

0.907 

0.991 

1.078 

1.078 

1.312 

4.1.2.  Compatibility with Financial Programming (heading 1) 

X 

Proposal is compatible with existing financial programming. 

(cid:133) 

(cid:133) 

Proposal  will  entail  reprogramming  of  the  relevant  heading  in  the 
financial perspective. 

Proposal  may  require  application  of  the  provisions  of  the  Inter-
institutional Agreement (i.e. flexibility instrument or revision of the 
financial perspective). 

4.1.3.  Financial impact on Revenue 

X 

Proposal has no financial implications on revenue 

(cid:133) 

Proposal has financial impact – the effect on revenue is as follows: 

4.2. 

Human Resources FTE – see detail under point 8.2.1. 

Not applicable 

5. 

CHARACTERISTICS AND OBJECTIVES 

5.1. 

Need to be met in the short or long term 

As  the  frontiers  of  research  evolve  and  become  more  advanced  and  as  our 
technologies  progress,  research  infrastructures  are  becoming  increasingly  complex 
and more expensive, often placing them beyond the reach of a single research group, 
region,  nation  or  even  continent.  However,  a  major  difficulty  for  setting  up  new 

EN 

25 

   EN 

 
 
 
 
 
 
 
 
 
 
 
European  research  infrastructures  is  the  lack  of  an  adequate  legal  framework 
allowing  the  creation  of  appropriate  partnership  with  partners  from  different 
countries.  The  need  to  be  met  is  therefore  the  provision  of  a  Community  legal 
framework  for  the  setting-up  and  operation  of  research  infrastructures  of  pan-
European interest. 

5.2. 

Value-added  of  Community  involvement  and  coherence  of  the  proposal  with 
other financial instruments and possible synergy 

further 

the  European  policy 

The  proposed  legislation  is  designed  to  facilitate  the  joint  establishment  and 
operation of research facilities among several Member and Associated States, and to 
help  develop 
Infrastructures. 
Complementing  national  or  inter-governmental  schemes,  the  proposed  framework 
regulation will provide a common legal framework based on Article 171 EC. It will 
set out the main characteristics of European Research Infrastructures (ERI), as well 
as clear procedures by which this status will be conferred by the legislator. Through 
an  empowerment  to  the  European  Commission,  this  regulation  will  also  allow  a 
simpler  process  than  if  individual  decisions  would  be  taken  by  the  Council,  and 
avoiding uncoordinated activities. 

research 

for 

5.3. 

Objectives, expected results and related indicators of the proposal in the context 
of the ABM framework 

The  overall  objective  of  this  proposal  is  to  help  Europe  address  the  various 
challenges  it  is  confronted  with  through  the  timely  development  of  efficient 
European research infrastructures (ERI) which would in turn: 

•  Help strengthen the development of an efficient European Research Area by better 
integrating national efforts, avoiding sub-critical facilities, and placing Europe as 
a world leader for high-level research services;  

•  Help  Europe  to  pool  its  resources  for  a  new  generation  of  large-scale  facilities 
which  are  indispensable  for  staying  at  the  forefront  of  research  over  the  next 
decades,  providing  researchers  with  the  research  facilities  they  need,  increasing 
therefore European attractiveness and potential; 

•  Help to better tackle social and environmental challenges such as climate change, 
energy  production, water supplies, quality  of the environment, or quality  of life, 
through  excellent  research  services  provided  by  such  new  European  Research 
Infrastructures, including e-infrastructures; 

•  Contribute  to  long-term  economic  competitiveness,  through  the  acceleration  of 
scientific  advances  in  Europe  favoured  by  such  new  European  facilities  and 
knowledge-based growth. 

The expected result of this regulation is to help the development of more favourable 
conditions  for  the  development  of  basic  research  in  Europe.  Through  the 
development of more favourable legal conditions at Community level, this work will 
indeed support the timely implementation of new European research infrastructures 
(such  as  those  identified  by  ESFRI).  This  will  in  addition  help  develop  further  the 
European policy for research infrastructures. Related indicators will be: 

EN 

26 

   EN 

 
•  the  number  new  European  research  infrastructures  (such  as  those  identified  by 

ESFRI) being set-up though Europe wide partnerships; 

•  the speed for these setting-up; 

•  the resources needed for such process; 
•  the  strengthening  and  increased  recognition  of  the  European  policy  for  research 

Infrastructures. 

5.4.  Method of Implementation  

(cid:133)  Centralised  Management  (directly  by  the  Commission  or  indirectly  by 
delegation  to  executive  Agencies,  bodies  set  up  by  the  Communities  or 
national public-sector bodies/bodies with public-service mission) 

X 

Shared or decentralised management 

X  with Member states 

(cid:133)  with Third countries 

(cid:133) 

Joint management with international organisations (please specify) 

Comments:  The  membership  of  ERIs  will  be  limited  to  Member  States,  third 
countries  and  intergovernmental  organisations  with  the  possibility  of  participating 
countries  to  mandate  public  or  private  entities  with  a  public-service  mission  to 
exercise  their  rights  and  duties  on  their  behalf.  The  European  Commission  will 
ensure  the  overall  coordination  of  this  initiative.  A  Committee  will  support  the 
European Commission in the management of the new legal framework. 

6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

A  monitoring  and  evaluation  system  will  be  put  in  place  to  monitor  the  European 
research  infrastructures  that  are  set  up,  and  to  assess  the  extent  to  which  the  new 
legal framework has met its objectives. 

Whereas  the  European  Commission  will  ensure  the  overall  coordination  of  this 
initiative,  an  advisory  Committee  will  support  the  European  Commission  in  the 
management of the new legal framework. 

In addition, whenever they are officially approved, each ERI will be asked to provide 
annual  reports  and  to  send  them  to  the  European  Commission  and  the  financing 
Member States. These reports will provide an overview of activities for the year in 
the  question,  as  well  as  detail  of  budgetary  issues,  and  should  allow  the  European 
Commission  and  Member  States  to  verify  that  the  infrastructure  is  still  complying 
with the conditions necessary for the European status. 

6.2. 

Evaluation 

6.2.1.  Ex-ante evaluation 

An ex-ante assessment report has been drawn up 

EN 

27 

   EN 

 
6.2.2.  Terms and frequency of future evaluation 

Five years after the adoption of the legal framework, an evaluation will be carried by 
a panel of experts reporting to the Member States and the European Commission in 
order to assess: 
•  The  take-up  of  the  legal  framework  (i.e.  number  of  new  or  upgraded  European 

infrastructures using the framework); 

•  To what extent it delivered its anticipated benefits, and, in particular, its ease of 
use,  and  how  far  it  has  helped  to  speed  up  the  creation  of  European  research 
infrastructures; 

•  The need to review or adapt the legal framework. 

7. 

ANTI-FRAUD MEASURES  

Whenever  they  are  officially  approved,  each  ERI  will  be  asked  to  provide  annual 
reports  and  to  send  them  to  the  European  Commission  and  the  financing  Member 
States.  These  reports  will  provide  an  overview  of  activities  for  the  year  in  the 
question,  as  well  as  detail  of  budgetary  issues,  and  should  allow  the  European 
Commission  and  Member  States  to  verify  that  the  infrastructure  is  complying  with 
the  conditions  necessary  for  the  European  status.  In  addition,  while  providing 
research  services,  each  ERI  will  automatically  be  monitored  through  the  recurrent 
research activities supported by national, European or international programmes. 

8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

No operational budget is linked with this regulation 

8.2. 

Administrative Expenditure 

8.2.1.  Number and type of human resources 

Not applicable  

8.2.2.  Description of tasks deriving from the action 

The political follow-up of this regulation will necessitate a few staff of "AD" type for 
political tasks which will encompass from 2010 onwards the follow-up of the use - 
and possible revision after 5 years - of the regulation. 

EN 

28 

   EN 

 
 
8.2.3. 

Sources of human resources (statutory) 

(cid:133) 
(cid:133) 
(cid:133) 
x 

(cid:133) 

posts currently allocated to be replaced or extended 
Posts pre-allocated within the APS/PDB exercise for year n 
Posts to be requested in the next APS/PDB procedure 

Posts  to  be  redeployed  using  existing  resources  within  the  managing  services 
(internal redeployment) 
Posts required for year n although not foreseen in the APS/PDB exercise of the 
year in question 

8.2.4.  Other  Administrative  expenditure  included  in  reference  amount  (XX  01  04/05  – 

Expenditure on administrative management) 

Not applicable 

8.2.5.  Financial cost of human resources and associated costs not included in the reference 

amount 

Type of human resources 

Officials and temporary staff 
(08 01 05 01) - existing 

Staff financed Art 08 01 05 02 
(e.g. END, contract) - existing 

Total cost of HR and 
associated costs (NOT in 
reference amount) 

2009 

2010 

2011 

2012 

2013 

2014  
and later 

EUR million (to 3 decimal places) 

0.234 

0.468 

0.585 

0.702 

0.702 

0.936 

0.189 

0.189 

0.126 

0.126 

0.126 

0.126 

0.423 

0.657 

0.711 

0.828 

0.828 

1.062 

2009 

2010 

2011 

2012 

2013 

2014 
and 
later 

08 01 02 11 01 + 08 01 05 03 – Missions 

0.03 

0.03 

0.03 

0.03 

0.03 

0.03 

08 01 02 11 02 + 08 01 05 03 – Meetings & Conferences 

0.02 

0.1 

0.1 

0.06 

0.06 

0.06 

08 01 02 11 03 + 08 01 05 03 – Committees  

0 

0.06 

0.09 

0.09 

0.09 

0.09 

08 01 02 11 04 + 08 01 05 03 – Studies & consultations 

0.03 

0.03 

0.03 

0.05 

0.06 

0.06 

08 01 02 11 05 + 08 01 05 03 - Information systems 

0 

0.03 

0.03 

0.02 

0.01 

0.01 

Total Administrative expenditure, other than 
human resources and associated costs (NOT 
included in reference amount) 

0.08 

0.25 

0.28 

0.25 

0.25 

0.25 

EN 

29 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
Calculation– Officials and Temporary agents as well as for staff financed under art. 08 01 02 

The cost of an official, per year, is calculated on the basis of 117.000 €.  
The cost of the other staff (contractual agent, SNE) is calculated on the basis of 63.000 € 
per year 

Description of tasks deriving from the action: 

The first months following the adoption of the regulation will be devoted to the development of 
the procedures and guidelines for applying for an ERI. 

Later on, from mid 2009, the regular work will be gradually devoted to: 

• 

• 

the follow-up of potential applications from founding members (Member States), 

the treatment  of files (eligibility, scientific  evaluation, analysis of administrative, legal and 
financial data),  

• 

the interservice consultations and Committee meetings, 

• 

the preparation of the possible decisions from the EC, 

• 

the registration and future annual follow-up of the ERI. 

The  number  of  staff  needed  would  be  in  the  short  term  supported  by  the  current  resources. 
However,  from  2010,  few  posts  of  officials  (redeployment)  should  reinforce  the  political  work 
which would be delegated by the Council to the Commission (i.e. Committee meetings, follow-up 
of files for Commission decision, follow-up and possible revision of the regulation after 5 years): 

2009 

2010 

2011 

2012 

2013 

AD* / AST  
(ref. 8.2.5) 
END / contract 
staff* (ref. 8.2.5) 

Total 

2 

3 

5 

4 

3 

7 

5 

2 

7 

6 

2 

8 

6 

2 

8 

2014  
and later 

8 

2 

10 

* of which one A/AD and one END lawyer 

EN 

30 

   EN