Proposal for a Decision of the European Parliament and of the Council on the participation by the Community in a Joint Baltic Sea Research and Development Programme (BONUS-169) undertaken by several Member States (Text with EEA relevance) SEC(2009)1476 SEC(2009)1475
Date: 2009-10-29
Institutions: European Commission
Subjects: Baltic Sea, EU financing, EU research policy, degradation of the environment, ecosystem, environmental research, research and development, research programme, sustainable development

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 29.10.2009 
COM(2009)610 final 

2009/0169 (COD) 

Proposal for a 

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on the participation by the Community in a Joint Baltic Sea Research and Development 
Programme (BONUS-169) undertaken by several Member States 

(Text with EEA relevance) 

SEC(2009)1476 
 SEC(2009)1475 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

1.1. 

Objectives 

The  purpose  of  this  proposal,  based  on  Article  169  of  the  EC  Treaty,  is  to  establish  the 
participation  of  the  Community  in  a  Joint  Baltic  Sea  Research  Programme  (BONUS-169) 
undertaken by all eight EU Baltic Sea Member States (Denmark, Estonia, Finland, Germany, 
Latvia,  Lithuania,  Poland,  and  Sweden,  from  now  on  the  "Participant  States")  in  support  of 
the Baltic Sea region’s sustainable development. BONUS-169 will provide scientific outputs 
to facilitate the implementation of ecosystem-based management in the Baltic Sea region and 
support the development and implementation of 'fit-for-purpose' ecosystem-based regulations, 
policies  and  management  practices  aimed  at  safeguarding  the  sustainable  use  of  the 
ecosystem’s goods and services.  

This initiative will also help the establishment and structuring of the ERA in the Baltic Sea 
Region. The previously funded BONUS ERA-NET and ERA-NET PLUS have already made 
significant  contributions  to  improving  the  coordination  of  marine  Baltic  Sea  research. 
BONUS-169  will  give  momentum  to  achieve  the  critical  mass  or  the  level  of  integration 
needed  to  adequately  address  the  very  complex  national  research  systems.  By  bringing 
together  all  8  EU  Baltic  Sea  Member  States,  this  initiative  aims  to  achieve  a  durable 
coordination  and  cooperation  among  their  research  policies  and  scientific  communities  in 
tackling  common  European  challenges  and  thus  make  a  significant  contribution  to  the 
structuring  of  the  European  Research  Area  in  the  Baltic  Sea  Region  by  removing  barriers 
between nationally funded research programmes. There will be scope for participation of the 
Russian  Federation  in  the  Joint  Research  Programme  provided  that  the  necessary  legal 
requirements  are  met.  Furthermore,  BONUS-169  is  expected  to  make  a  significant 
contribution  to  the  implementation  of  the  Baltic  Sea  Strategy  and  to  actively  support  the 
Marine Strategy and Maritime Policy.  

The  Participating  States  have  agreed  that  the  Baltic  Organisations  Network  for  Funding 
Science,  BONUS  EEIG,  established 
the  dedicated 
implementation structure of BONUS-169. 

in  Helsinki,  Finland,  will  be 

1.2. 

Grounds for the proposal 

The  Baltic  Sea  ecosystem  is  seriously  impacted  by  many  natural  and  human-induced 
pressures. The sea and coasts are particularly affected by combined  and  increasing negative 
impacts  from  pollution,  eutrophication,  climate  change,  acidification,  invasive  alien  species, 
overexploitation  of  living  resources  and  biodiversity  loss.  These  threats  are  reducing  the 
capacity of the Baltic Sea to sustainably provide the goods and services upon which humans 
depend.  This  has  critical  implications  for  the  entire  Baltic  Region,  and  the  wider  European 
Community. In the coming decades, global change (including climate change) and long-term, 
as well as long-range influences are predicted to increase, putting additional pressures on the 
Baltic Sea System.  

Sustainable solutions to environmental problems and the development and implementation of 
an ecosystem approach in the Baltic Sea necessitates new scientific knowledge to understand 

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the  behaviour  of  the  extremely  complex  Baltic  Sea  System,  its  interactions  and  feedbacks 
with the multiple natural and anthropogenic drivers. 

However,  while  many  research  activities  are  taking  place  in  the  Baltic  Sea  region,  these 
efforts remain for a large part uncoordinated and lack a jointly agreed regional action plan. As 
a  result,  the  efforts  so  urgently  required  to  meet  the  complex  challenges  faced  are  highly 
fragmented.  

An action at Community level in the Baltic Sea region is urgently called for, given the limited 
research  possibilities  available  at  national,  regional  or  local  level  to  individually  meet  the 
complex  environmental  challenges  of  the  Baltic  Sea  region  as  a  whole.  Integrated  and 
coordinated action between the Baltic Sea States is urgently needed if the very significant and 
pressing environmental challenges faced in the region are to be met effectively.  

BONUS-169 is an opportunity to achieve the critical mass and the level of integration needed 
to  adequately  address  the  very  complex  national  research  systems.  It  seeks  to  improve  the 
efficiency  and  effectiveness  of  the  Baltic  Sea  Region's  fragmented  environmental  research 
programming and approach by integrating the research activities in the Baltic Sea System into 
a durable, cooperative, interdisciplinary well focussed multi-national programme in support of 
the region's sustainable development. 

This is in line with the long-standing political support over the last 15 years by the Council 
and  the  European  Parliament  urging  for  an  improved  coordination  of  research  activities  in 
Europe and for coordination of national and regional research policies and programmes under 
the  support  of  the  Seventh  Framework  Programme  (FP7)  to  avoid  fragmentation  and 
overlapping competencies.  

In reply to this, the Commission is presenting the current proposal on the participation by the 
Community  in  a  Joint  Baltic  Sea  Research  and  Development  Programme  (BONUS-169) 
undertaken by several Member States. 

1.3. 

Existing initiatives in the area of the proposal 

Although  the  Baltic  Sea  environmental  research  community  has  access  to  a  number  of 
programmes  under  the  EU  RTD  Framework  Programme,  there  is  currently  no  jointly 
implemented  scheme  specifically  tailored  to  address  the  environmental  challenges  of  the 
Baltic Sea region itself. 

As a first step to improve coordination in the region, the BONUS ERA-Net (2004-2006) was 
funded  under  the  6th  Framework  Programme.  It  made  a  good  progress  in  initiating 
communication  between  research  funding  institutions  in  the  region,  analysing  the  landscape 
and  developing  the  preconditions  for  further  integration  by  elaborating  a  series  of  Analytic 
Papers, a Science Plan, Legal basis for a Decentralised Implementation Structure (DIS). 

In  2006,  the  European  Parliament  reporting  on  the  Commission  Proposal  for  the  Seventh 
Framework  Programme  (FP7)  acknowledged  the  need  to  address  the  fragmentation  by 
stressing  that  "…it  is  vital  that  the  Seventh  Framework  Programme  should  support  the 
coordination of national and regional research policies and programmes" and that in order "to 
avoid  fragmentation  and  overlapping  competencies,  there  should  be  more  cooperation 
between  national  and  European  research  programmes,  and  between  economic  actors  in  the 

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long-term research agenda". BONUS-169 was one of the four potential Article 169 initiatives 
included in the FP7 Cooperation Specific Programme and Capacities Specific Programme1 to 
promote  such  co-ordination.  Not  being  at  the  time  "mature"  enough  and  ready  for 
implementation, it was not included in the ‘first train’ of Article 169 initiatives. Instead and 
prior to the adoption of a fully-fledged BONUS-169 initiative, an ERA-Net Plus (2007-2011) 
was  funded  under  FP7  as  a  bridging  measure  to  further  develop  and  test  in  practice  the 
identified mechanisms through a joint call. 

1.4. 

Consistency with the other policies and objectives of the Union 

BONUS-169  is  fully  aligned  with  the  objectives  and  spirit  of  the  European  Strategy  for 
Marine and Maritime Research and the EU Strategy for the Baltic Sea Region. Furthermore, it 
will  contribute  to  the  achievement  of  the  objectives  of  the  revised  Lisbon  Strategy  by 
investing more and better in knowledge for growth and jobs, contributing to the realisation of 
the ERA in the Baltic region and helping Europe to respond more effectively to key societal 
challenges  in  the  region  in  relation  to  the  environmental  protection  and  sustainable 
development, tourism, aquaculture, food safety and maritime transport. 

2. 

SUMMARY OF THE PROPOSED ACTION 

BONUS-169 will integrate the national research programmes and activities of the 8 Baltic Sea 
States  into  a  single  joint  research  programme  and  support,  in  particular,  the  research  and 
environmental  objectives  of  the  Baltic  Sea  Strategy,  the  Marine  and  Maritime  Strategy  and 
the Water Framework Directive. Furthermore, the combination of EU and national funds will 
create  a  critical  mass  in  terms  of  capacity,  expertise  and  resources  that  will  stimulate 
structural changes in the Baltic Sea and related river basin and coastal zone research systems 
and  will  promote  the  development  and  implementation  of  a  durable,  cooperative, 
interdisciplinary well integrated and focussed research programme jointly implemented by all 
Participating Member States. 

In order to reach its objectives, BONUS-169 will be implemented in two distinct phases: an 
initial strategic phase, lasting two years, during which appropriate consultation platforms for 
active  stakeholder  involvement  will  be  set-up,  a  Strategic  Research  Agenda  prepared,  and 
precise  Implementation  Modalities  will  be  further  broadened  and  developed;  an 
implementation phase, of minimum 5 years, during which a minimum of three joint calls will 
be  launched  in  view  of  funding  strategically  targeted  BONUS-169  Projects  specifically 
addressing the objectives of the initiative.  

The two-stage approach would allow for engaging a boarder range of funding institutions and 
hence mobilise additional funds and the establishment of a coherent, policy-driven and long 
term research agenda in support of the region's sustainable development.  

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the  specific  programme 
2006/971/EC,  Council  Decision  of  19  December  2006  concerning 
‘Cooperation’  implementing  the  Seventh  Framework  Programme  of  the  European  Community  for 
research, technological development and demonstration activities (2007 to 2013); 

2006/974/EC:Council Decision of 19 December 2006 concerning the specific programme ‘Capacities’ 
implementing  the  Seventh  Framework  Programme  of  the  European  Community  for  research, 
technological development and demonstration activities (2007 to 2013) 

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Since the future success of BONUS-169 will depend to a large extent upon the achievement 
of the objectives set out for the strategic phase, the Commission will evaluate the maturity and 
readiness of the initiative and provided that the results of the evaluation of  are positive, the 
Commission and the BONUS EEIG shall conclude the Implementation Agreement. 

The  European  Community  will  match  the  eligible  Participating  States  contributions  up  to  a 
maximum of EUR 50 million bringing the total expected budget for the initiative to EUR 100 
million.  The  cash  contributions  of  the  Participating  States  and  the  Community  contribution 
will be administered as a real common pot.  

The  strategic  phase  will  be  implemented  by  a  grant  according  to  the  rules  set  out  in  this 
Decision  and  on  Regulation  (EC)  no  1906/2006  of  the  European  Parliament  and  of  the 
Council  of  18  December  2006  laying  down  the  rules  for  the  participation  of  undertakings, 
research centres and universities in actions under the Seventh Framework Programme and for 
the dissemination of research results (2007-2013)2. 

The  implementation  phase  will  be  implemented  by  indirect  centralised  management, 
according to the provisions of Art. 54(2) (c) of the Financial Regulation. According to Article 
56 of the Financial Regulation, the Commission will first obtain evidence of the existence and 
proper  operation  of,  inter-alia,  grant-award  procedures,  an  internal  control  system,  an 
adequate  accounting  system  within  the  entity  to  which  it  entrusts  implementation,  and  an 
independent external audit.  

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

3.1. 

Legal basis 

The proposal for BONUS-169 is based on Article 169 of the EC Treaty, which provides for 
the  participation  of  the  Community  in  research  programmes  jointly  undertaken  by  several 
Member  States,  including  participation  in  the  structures  created  for  the  execution  of  those 
programmes. 

Furthermore  the  Council  Decision  No  971/2006/EC  of  19  December  2006  concerning  the 
Specific Programme "Cooperation" implementing the Seventh Framework Programme of the 
European  Community  for  research,  technological  development  and  demonstration  activities 
(2007-2013) explicitly mentions the BONUS-169 as one of the possible candidates under the 
Coordination of non-Community research programmes.  

3.2. 

Subsidiary principle 

Despite  all  efforts  undertaken  to  address  the  fragmentation  and  duplication  of  Baltic  Sea 
research,  there  is  still  a  need  for  reinforced  integration  among  nationally  funded  research 
efforts  in  order  to  fully  address  the  environmental  challenges  facing  the  Baltic  Sea  Region 
which  are,  for  a  large  part,  of  trans-national  nature.  The  strategic  objectives  of  this  action, 
namely  the  integration  of  the  national  Baltic  Sea  environmental  research  programmes  to 
address urgent environmental problems in the Baltic Sea region and the shortcomings leading 
to  the  fragmentation,  cannot  be  addressed  by  Member  States  acting  in  isolation  and  in  the 
framework of their national constitutional system given that purely inter-governmental actions 

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aimed  at  the  coordination  of  public  environmental  funding  in  the  Baltic  Sea  have  not 
expanded  in  recent  years  and  have  not,  so  far,  been  able  to  address  the  Environmental 
challenges faced successfully.  

The additional funding to be provided through an Article 169 will (1) support cross-thematic 
funding  highly  relevant  with  the  real  research  needs,  but  “falling  out”  of  the  traditional 
funding  schemes,  like  projects  combining  natural/social/humanitarian  science  etc.  (2)  will 
promote the levelling the east-west imbalance in R&D funding, (3) will encourage National 
Research  Funding  Organisations  to  partly  give  up  their  independence  for  a  more  effective 
joint governance scheme implemented overseeing a Baltic Sea System research. This has been 
also  acknowledged  by  the  very  strong  political  support  and  endorsement  by  the  national 
governments  of  the  Baltic  States,  the  various  European  Councils  and  the  European 
Parliament.  

In  addition,  further  to  the  regional  added-value  expected,  the  initiative  will  also  aid  in  the 
development of similar research governance models for other European seas.  

3.3. 

Proportionality principle 

Article 169 invites the Community to make "provision, in agreement with the Member States 
concerned, for participation in research and development programmes undertaken by several 
Member  States,  including  participation  in  the  structures  created  for  the  execution  of  those 
programmes." Against this background, Member States are in the lead and have large scope 
for national decisions. 

The initiative is expected to have a very strong leverage effect by mobilising up to EUR 100 
million for Baltic Sea research - a sum that would not have been committed in the absence of 
an  Article  169  and  deemed  absolutely  essential  in  view  of  the  nature  and  urgency  of  the 
challenges faced. This funding will allow BONUS-169 to drastically shift the current baseline 
from a largely fragmented system of RTD investment in environmental research in the Baltic 
Sea Region towards a structured and balanced investment capable of addressing the complex 
and trans-boundary aspects of the entire Baltic Sea System and contribute to the development 
and implementation of sound sustainable policies in the region. 

3.4. 

Choice of instruments 

Three policy options have been considered for meeting the general and specific objectives of 
the initiative. These are: 

•  Policy  option  1:  The  continuation  of  policies  so  far  developed  under  FP  7  (“business  as 

usual”) 

•  Policy  option  2:  The  recourse  to  regionally-oriented  trans-thematic  call(s)  under  the 

Framework Programme 

•  Policy option 3 - Recourse to Article 169 with three alternative approaches (A, B and C) 
varying in the extent and depth of the strategic orientation and the stakeholder involvement 
in the streamlining and implementation of the calls for proposals  

–  Policy  option  3  through  approach  A  –  Recourse  to  an  Article  169  with  a  focus 
limited  to  marine  research  and  with  the  immediate  launching  of  science-driven 
calls for proposals 

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–  Policy  option  3  through  approach  B  –  Recourse  to  an  Article  169  with  a  focus 
broadened to include the Baltic Sea drainage basin and with a Strategic vision and 
roadmap  to  be  developed  prior  to  the  start  of  the  initiative  and  Commission 
proposal 

–  Policy  option  3  through  approach  C  –  Recourse  to  an  Article  169  with  a  focus 
broadened to include the Baltic Sea drainage basin and with a strategic vision and 
roadmap developed during the first phase of the initiative.  

Policy option 3 through approach C is the preferred option since it can effectively address the 
shortcomings  identified  above  by  achieving  long-lasting  and  durable  integration  at  Member 
State, institutional and research community level.  

The Community contribution would ensure that truly European interest would be reflected in 
the  working  programme  of  the  initiative,  building  upon,  but  not  being  limited  by,  activities 
addressed at purely national level.  

4. 

BUDGETARY IMPLICATION 

The  budgetary  implications  of  this  horizontal  proposal  are  already  mentioned  in  the  legal 
basis of FP73 as well as in the "Cooperation" Specific Programme of FP74. The agreement to 
be  concluded  between  the  Commission  and  the  dedicated  implementation  structure  shall 
ensure that the financial interests of the Community are protected. 

5. 

ADDITIONAL INFORMATION 

5.1. 

Simplification 

The  proposal  provides  for  the  simplification  of  administrative  procedures  for  public 
authorities (EU or national) and for private parties. 

The  EU  will  deal  directly  with  the  dedicated  implementation  structure  of  BONUS-169  (the 
BONUS EEIG established in Helsinki) which will be in charge of allocating, administering, 
monitoring  and  reporting  on  the  use  of  the  Community  contribution  and  the  Member  State 
cash  contributions.  The  Community  Contribution  together  with  the  Member  State  cash 
contributions will be administered as a real common pot. 

5.2. 

Reviews 

Before the launching of the implementation phase the Commission will evaluate the maturity 
and  readiness  of  the  initiative.  A  mid-term  review  will  be  held  at  mid-term  of  the 
implementation  phase  and  a  final  review  will  be  held  at  the  end  of  the  joint  research 
programme. 

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Decision No 1982/2006/EC, OJ L 412, 30.12.2006, p. 1 
Decision No 971/2006/EC, OJ L 400, 30.12.2006, p. 86 

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5.3. 

European Economic Area 

The  proposed  act  concerns  an  EEA  matter  and  should  therefore  extend  to  the  European 
Economic Area. 

6. 

CONSULTATION OF INTERESTED PARTIES  

6.1. 

Consultation methods, main sectors targeted and general profile of respondents 

The  advice  of  five  independent  experts  forming  the  BONUS  Impact  Assessment  Expert 
Group (IAEG) was sought in order to accompany the Impact Assessment process. The group 
combined  a  broad  range  of  high-level  expertise,  and  met  regularly  in  Brussels5  throughout 
2008  and  the  first  half  of  2009.  Its  recommendations  formed  the  basis  for  a  revision  of  the 
BONUS-169 Programme by the BONUS consortium with the assistance of two independent 
experts contracted by the Commission to this end.  

Both expert groups analysed a broad range of background documents on the general situation 
of  the  environment  and  the  environmental  research  in  the  Baltic  area  as  well  as  all  the 
documentation provided by the BONUS-169 consortium and advised the BONUS Consortium 
in the drafting of the "Outline of BONUS-169 Joint Baltic Sea System Research Programme". 

6.2. 

Consultation of relevant stakeholders carried out by the Commission 

Consultation within the context of the elaboration, adoption and implementation of the 7th EU 
RTD Framework Programme 

BONUS-169 has formed integral part of the specific programme ‘Cooperation’, and has been 
subject to and benefited from the very broad consultation process organised within the context 
of  FP7.  Furthermore,  falling  under  the  remit  of  the  thematic  area  Environment  (including 
climate  change),  it  is  subject  to  regular  consultations  with  the  corresponding  Programme 
Committee and Programme Advisory Group. 

Consultation on a European Strategy for Marine and Maritime Research 

BONUS-169 has formed an integral part of the European Strategy for Marine and Maritime 
Research and has thus benefited from the consultation process undergone in the framework of 
the Strategy.  

Consultation with Ministers of the EU Baltic Member States regarding political engagement 
in a future BONUS-169  

In  reply  to  a  letter  by  DG  Research  Commissioner  Potočnik  dated  November  2008,  the 
Ministers of Research from the BONUS participating countries reaffirmed their political and 
financial  commitment  to  the  initiative  and  endorsed  the  need  for  revision  of  the  original 
BONUS-169 version in line with the IAEG's recommendations. 

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and 11-12 June 2009 

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Stakeholder consultation within the framework of the EU Strategy for the Baltic Sea Region 6  

The  EU  Strategy  for  the  Baltic  Sea  Region  (EUSBR)  in  its  very  broad  scope  and  coverage 
makes  explicit  reference  to  the  BONUS-169  initiative  both  under  the  policy  oriented  action 
and  the  detailed  action  plan.  In  this  context,  it  has  largely  benefitted  from  the  public  and 
stakeholders consultation carried out within this framework in 2008/20097.  

Opinion of the Impact Assessment Board 

The draft impact assessment report was presented to the Impact Assessment Board - a body 
made  of  high-level  Commission's  officials  mandated  to  check  the  quality  of  the  impact 
assessment  reports  of  the  Commission's  most  significant  initiatives  -  on  9  September  2009. 
Following  the  Board's  opinion  of  11  September  2009,  the  impact  assessment  report  was 
revised  to  take  account,  as  much  as  possible,  of  the  Board's  recommendations.  These 
recommendations mainly led to improvements in explaining the value added of EU action and 
clarifying the objectives of the Bonus initiative. The revised impact assessment report was re-
submitted to the Board on 21 September 2009. While the Board gave a  positive opinion  on 
this latter version, it did make some recommendations for further consideration. The impact 
assessment report in its final version tries to address, as best as possible, some of the Board's 
latest  recommendations  and  provides  justification  as  to  the  reasons  -  mainly  due  to  lack  of 
available data - for failing to address the rest. 

6.3. 

Consultation of Stakeholders carried out by the BONUS Consortium 

In developing the original Science Plan and Implementation Strategy, the BONUS consortium 
engaged with many groups of stakeholders between the period of June 2005 and November 
2006. The process included a variety of consultation mechanisms and feedback procedures in 
all nine Baltic Sea countries (i.e. 8 EU countries and the Russian Federation). A wide range of 
academic and governmental scientists in all relevant disciplines and spheres of marine science 
were  consulted  in  addition  to  the  BONUS  consortium  funding  agencies,  relevant  ministries 
and  their  associated  specialised  institutes,  intergovernmental  and  international  organisations 
as well as management and regulatory decision makers. 

Furthermore, the BONUS Advisory Board comprising a broad spectrum of stakeholders such 
as  HELCOM,  ICES,  DG  MARE,  WWF,  and  Finnish  Farmers  Association  also  played  a 
pivotal role in the preparation of the BONUS-169 Science Plan and Implementation Strategy. 

The  revised  BONUS-169  Outline  Research  Agenda  submitted  to  DG  RTD  in  June  2009  is 
largely  based  on  the  work  and  consultations  carried  out  for  the  original  BONUS-169 
initiative. 

An extensive and strategically-driven programme of stakeholder consultations will be carried 
out during the strategic phase of the Programme addressing stakeholders from other relevant 
sectors such as agriculture, fisheries, aquaculture, transport and water-management. 

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COM 2009, 248/3 
http://ec.europa.eu/regional_policy/consultation/baltic/consultation_en.htm. 

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2009/0169 (COD) 

Proposal for a 

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on participation by the Community in a Joint Baltic Sea Research and Development 
programme (BONUS-169) undertaken by several Member States  

(Text with EEA relevance) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

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

Having regard to the proposal from the Commission, 

Having regard to the opinion of the European Economic and Social Committee8, 

Acting in accordance with the procedure laid down in Article 251 of the Treaty9, 

Whereas: 

(1) 

(2) 

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)10  (hereinafter  ‘the  Seventh  Framework  Programme’)  provides  for 
Community  participation  in  research  and  development  programmes  undertaken  by 
several  Member  States,  including  participation  in  the  structures  created  for  the 
execution of those programmes, within the meaning of Article 169 of the Treaty. 

Council  Decision  No  971/2006/EC  of  19  December  2006  concerning  the  Specific 
Programme  'Cooperation'  implementing  the  Seventh  Framework  Programme  of  the 
European  Community  for  research,  technological  development  and  demonstration 
activities  (2007-2013)11  encourages  a  cross-thematic  approach  to  research  topics 
relevant  to  one  or  more  themes  of  the  Seventh  Framework  Programme,  and  in  this 
context identified an Article 169 initiative in the field of Joint Baltic Sea research as 
one of the fields suitable for Community participation in jointly implemented national 
research programmes. 

(3) 

The Baltic Sea ecosystem, a semi-enclosed European inland sea, is one of the world's 
largest  brackish  water  bodies  and  is  today  seriously  affected  by  many  natural  and 
human-caused  pressures,  such  as  pollution  from  heavy  metals,  persistent  organic 

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OJ C , , p. . 
OJ L 412, 30.12.2006, p. 1. 
OJ L 400, 30.12.2006, p. 86 

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pollutants, radioactive material, oil spills and other harmful and hazardous substances, 
excessive inputs of nutrients and organic material leading to advanced eutrophication, 
the  introduction  of  harmful  alien  organisms,  the  unsustainable  exploitation  of  fish 
stocks,  negative  climate  change  impacts,  loss  of  biodiversity,  and  increasing 
encroachment of human activities on coastal and offshore areas including ecologically 
unsustainable  tourism.  These  pressures  have  seriously  reduced  the  capacity  of  the 
Baltic Sea to sustainably provide the goods and services upon which humans depend 
directly and indirectly for social, cultural and economic benefits. 

The European Council of 14 December 2007, highlighted the concern for the status of 
the  environment  in  the  Baltic  Sea,  as  reflected  in  the  Communication  from  the 
Commission  concerning  the  European  Union  Strategy  for  the  Baltic  Sea  Region12. 
Moreover,  the  Council  has  invited  the  Commission  to  present  a  proposal  for  Article 
169 initiative for the Baltic Sea Region.  

Science  can  contribute  to  addressing  these  challenges  and  finding  solutions  to  the 
environmental  problems  in  the  Baltic  Sea.  However,  the  gravity  of  the  present 
situation calls for a qualitative and quantitative stepping up of current research in the 
Baltic  region  through  the  development  and  implementation  of  a  fully-integrated 
approach whereby the relevant research programmes of all the bordering States can be 
streamlined  and  focused  in  order  to  address  the  complex  and  urgent  issues  in  a 
coordinated, efficient and effective manner. 

At  present,  a  number  of  research  and  development  programmes  or  activities 
undertaken  by  Member  States  individually  at  national  level  to  support  research  and 
development in the Baltic Sea region are not sufficiently coordinated at European level 
to achieve the critical mass required in strategic research and development areas.  

Furthermore,  existing  sector-specific  research  structures,  which  have  evolved 
throughout  a  long  history  of  national  policies,  are  deeply  rooted  in  national 
governance  systems  and  prevent  the  development  and  funding  of  the  multi-
disciplinary, inter-disciplinary and trans-disciplinary environmental research needed to 
address the Baltic Sea challenges. 

(4) 

(5) 

(6) 

(7) 

(8)  While there is a long tradition of Baltic Sea research cooperation with countries both 
within  and  outside  the  Baltic  Sea  area,  collaborative  efforts  have  so  far  lacked 
adequate financial resources for the optimal exploitation of the research potential due 
to the unequal economic and development situation in the countries as well as highly 
diverse  national  research  agendas,  research  themes  and  priorities.  This  situation  has 
held back the potential to achieve research outputs of significant use to policy making.  

(9) 

The  Commission  in  its  work  programme  for  2007-2008  of  11  June  2007  for  the 
implementation of the Specific Programme 'Cooperation'13, provided financial support 
to BONUS ERA-NET and ERA-NET PLUS in the field of Baltic Sea environmental 
research  in  order  to  strengthen  cooperation  between  environmental  research  funding 
agencies  in  the  Baltic  region  and  facilitate  the  transition  to  a  joint  research  and 
development programme in the Baltic Sea to be implemented on the basis of Article 
169 of the Treaty. 

12 
13 

COM(2009) 248 final of 10 June 2009. 
C(2007)2460 of 11 June 2007. 

EN 

11 

   EN 

                                                 
(10) 

In line with the approach of the Seventh Framework Programme and as acknowledged 
in the consultations with stakeholders undertaken during BONUS ERA-NET, there is 
a need for policy-driven research programmes in the Baltic region.  

(11)  Denmark,  Germany,  Estonia,  Latvia,  Lithuania,  Poland,  Finland  and  Sweden 
(hereinafter  "Participating  States")  have  agreed  to  jointly  undertake  the  Joint  Baltic 
Sea  Research  and  Development  Programme  BONUS-169  (hereinafter  "BONUS-
169").  BONUS-169  aims  to  support  scientific  development  and  innovation  by 
providing  the  necessary  legal  and  organisational  framework  for  trans-national 
cooperation between the Baltic Sea states on environmental research in the Baltic Sea 
region. 

(12)  While  largely  focussed  on  environmental  research,  the  BONUS-169  initiative  cross-
cuts  a  number  of  related  Community  research  programmes  on  a  range  of  human 
activities having accumulated impacts on the ecosystem such as fisheries, aquaculture, 
agriculture,  infrastructure,  transport,  training  and  mobility  of  researchers  as  well  as 
socio-economic  issues.  The  initiative  is  of  considerable  relevance  to  a  number  of 
Community  policies  and  Directives  including  Directive  2008/56/EC  of  the  European 
Parliament  and  of  the  Council  of  17  June  2008  establishing  a  framework  for 
Community  action  in  the  field  of  marine  environmental  policy  (Marine  Strategy 
Framework  Directive)14,  the  EU  Strategy  for  the  Baltic  Sea  Region,  the  Common 
Fisheries  Policy,  the  Common  Agricultural  Policy,  Directive  2000/60/EC  of  the 
European Parliament and of the Council of 23 October 2000 establishing a framework 
for Community action in the field of water policy15 and international EU commitments 
such  as  the  HELCOM  Baltic  Sea  Action  Plan.  As  a  result,  many  other  areas  of 
Community Policy will benefit from BONUS-169. 

(13) 

In  order  to  increase  the  impact  of  the  BONUS-169,  the  Participating  States  have 
agreed to the Community participating in it. 

(14)  BONUS-169 should include a strategic phase, followed by the implementation phase, 
to  provide  an  opportunity  to  carry  out  a  wide  stakeholder  consultation  on  a 
strategically-driven research agenda also capable of tackling emerging research needs. 
During  the  strategic  phase  of  the  initiative,  the  involvement  of  additional,  sectorally 
oriented,  funding  agencies  should  be  sought  to  further  enhance  the  integration  of 
research addressing cross-sectoral end user needs and to ensure the effective use and 
uptake  of  results  for  policy  and  resource  management  arrangements  across  a  wide 
array of economic sectors.  

(15)  At  the  end  of  the  strategic  phase,  the  Commission,  assisted  by  independent  expert 
should  evaluate  the  maturity  and  the  readiness  of  the  initiative  to  enter  the 
implementation phase. 

(16)  Participating States have agreed to contribute EUR 50 million to BONUS-169. Non-
monetary  contributions  in  the  form  of  access  and  use  of  infrastructures  should  be 
allowed,  provided  they  do  not  represent  a  significant  part  of  the  entire  contribution. 
They should be subject to an evaluation of their value and their utility for carrying out 
the BONUS-169 projects. 

14 
15 

OJ L 164, 25.6.2008, p. 19. 
OJ L 327, 22.12.2000, p.1. 

EN 

12 

   EN 

                                                 
(17)  The Community participation in BONUS-169 should be up to EUR 50 million for all 
the  duration  of  BONUS-169  and  match,  within  that  limit,  the  contribution  of  the 
Participating  States  in  order  to  increase  their  interest  in  carrying  out  the  programme 
jointly.  Most  of 
the 
implementation phase. A ceiling should be defined for each phase. The ceiling for the 
increased  by  any  amount  remaining  after 
implementation  phase  should  be 
implementation of the strategic phase. 

the  Community  contribution  should  be  allocated 

to 

(18)  The  joint  implementation  of  BONUS-169  requires  a  dedicated  implementation 
structure, as provided for in Decision No 971/2006/EC. The Participating States have 
agreed  on  such  a  dedicated  implementation  structure  (Baltic  Organisations  Network 
for  Funding  Science,  BONUS  EEIG  (hereinafter  "BONUS  EEIG")  to  implement 
BONUS-169.  BONUS  EEIG  should  be  the  recipient  of  the  Community  contribution 
and  of  the  contributions  of  the  Participating  States.  Those  contributions  should  be 
administered  by  the  BONUS  EEIG  according  to  funding  rules  and  procedures 
common  to  the  programme.  BONUS  EEIG  should  also  ensure  that  the  execution  of 
BONUS-169 complies with sound financial management.  

(19)  The  Community  contribution  should  be  subject  to  commitments  of  resources  by  the 

Participating States and the payment of their financial contributions. 

(20)  The payment of the Community contribution for the strategic phase should be subject 
to  the  conclusion  of  a  grant  agreement  between  the  Commission,  on  behalf  of  the 
Community, and the BONUS EEIG that should be governed by the Regulation (EC) 
no  1906/2006  of  the  European  Parliament  and  of  the  Council  of  18  December  2006 
laying  down  the  rules  for  the  participation  of  undertakings,  research  centres  and 
universities  in  actions  under  the  Seventh  Framework  Programme  and  for  the 
dissemination  of  research  results  (2007-2013)16  in  order  to  facilitate  and  simplify  its 
management. 

(21)  The payment of the Community contribution for the implementation phase should be 
subject  to  the  conclusion  of  an  implementation  agreement  between  the  Commission, 
on  behalf  of  the  Community,  and  the  BONUS  EEIG,  containing  the  detailed 
arrangements for the use of the Community contribution. This part of the Community 
contribution should be managed under indirect centralised management in accordance 
with Articles 54(2)(c) and 56 of the Council Regulation (EC, Euratom) No 1605/2002 
of  25  June  2002  on  the  Financial  Regulation  applicable  to  the  general  budget  of  the 
European Communities17 (hereinafter "Financial Regulation"), and Articles 35, 38(2) 
and 41 of the Commission Regulation (EC, Euratom) No 2342/2002 of 23 December 
2002 laying down detailed rules for the implementation of the Financial Regulation18.  

(22)  Any  interest  yielded  by  the  contributions  paid  to  the  BONUS  EEIG  should  be 
considered to be its revenue and assigned to the implementation of BONUS-169. 

(23) 

In  order  to  protect  its  financial  interests,  the  Community  should  have  the  right  to 
reduce, withhold or terminate its financial contribution in the event that BONUS-169 
is  implemented  inadequately,  partially  or  late,  or  the  Participating  States  do  not 

16 
17 
18 

OJ L 391, 30.12.2006, p. 1. 
OJ L 248, 16.09.2002, p. 1. 
OJ L 357, 31.12.2002, p. 1. 

EN 

13 

   EN 

                                                 
contribute, or contribute partially or late, to the financing of BONUS-169, on the terms 
set out in the agreements to be concluded between the Community and BONUS EEIG.  

(24) 

In  order  to  efficiently  implement  BONUS-169,  during  the  implementation  phase, 
financial support should be granted to participants in BONUS-169 projects selected at 
the  central  level  under  the  responsibility  of  the  BONUS  EEIG  following  calls  for 
proposals. 

(25)  Whilst  the  Joint  Research  Centre  is  a  department  of  the  Commission,  its  institutes 
nevertheless possess research capabilities that are relevant to BONUS-169 and could 
contribute  to  its  implementation.  It  is  therefore  appropriate  to  define  the  role  of  the 
Joint Research Centre in terms of its eligibility for funding. 

(26) 

In  order  to  assure  equal  treatment,  the  evaluation  should  follow  the  same  principles 
applicable  to  proposals  submitted  under  the  Seventh  Framework  Programme. 
Therefore  the  evaluation  of  proposals  should  be  performed  centrally  by  independent 
experts  under  the  responsibility  of  the  BONUS  EEIG.  Ranking  and  priority  order 
should  be  approved  by  the  BONUS  EEIG  strictly  following  the  outcome  of  the 
independent evaluation which should be binding.  

(27)  Any Member State and any country associated to the Seventh Framework Programme 

should be entitled to join BONUS-169. 

(28) 

In line with the objectives of the Seventh Framework Programme, participation by any 
other  countries  in  BONUS-169  should  be  possible  where  such  participation  is 
provided by the relevant international agreement and where both the Commission and 
the  participating  Member  States  agree  to  it.  In  accordance  with  the  Seventh 
Framework  Programme,  the  Community  should  have  the  right  to  agree  on  the 
conditions  relating  to  its  financial  contribution  to  BONUS-169  with  regard  to  the 
participation by other countries in accordance with the rules and conditions set out in 
this Decision. 

(29)  Appropriate  measures  should  be  taken  to  prevent  irregularities  and  fraud  and  the 
necessary steps should be taken to recover funds lost, wrongly paid or incorrectly used 
in  accordance  with  Council  Regulation  (EC,  Euratom)  No  2988/95  of  18  December 
1995 on the protection of the European Communities financial interests19, Regulation 
(EC, Euratom) No 2185/96 of 11 November 1996 concerning on-the-spot checks and 
inspections  carried  out  by  the  Commission  in  order  to  protect  the  European 
Communities' financial interest against fraud and other irregularities20 and Regulation 
(EC) No 1073/1999 of the European Parliament and of the Council of 25 May 1999 
concerning investigations conducted by the European Anti-Fraud Office (OLAF)21

 . 

(30) 

It  is  essential  that  the  research  activities  carried  out  under  BONUS-169  conform  to 
basic  ethical  principles,  including  those  reflected  in  Article  6  of  the  Treaty  on  the 
European Union and in the Charter of Fundamental Rights of the European Union, and 
follow the principles of gender mainstreaming and gender equality. 

19 
20 
21 

OJ L 312, 23.12.1995, p. 1. 
OJ L 292, 15.11.1996, p 2. 
OJ L 136, 31.05.1999, p. 1. 

EN 

14 

   EN 

                                                 
(31)  The  Commission  should  conduct  interim  evaluations,  assessing  the  quality  and 
efficiency of the implementation of BONUS-169 and progress towards the objectives 
set, as well as a final evaluation.  

(32)  The  BONUS  EEIG  should  encourage  the  participants  in  the  selected  BONUS-169 
projects  to  communicate  and  disseminate  their  results  widely  and  to  make  this 
information publicly available. 

HAVE ADOPTED THIS DECISION: 

Article 1 
Community contribution 

1. 

2. 

3. 

1. 

2. 

3. 

The  financial  contribution  of  the  Community  to  the  Joint  Baltic  Sea  Research  and 
Development  Programme  BONUS-169  (hereinafter  "BONUS-169")  undertaken 
jointly  by  Denmark,  Germany,  Estonia,  Latvia,  Lithuania,  Poland,  Finland  and 
Sweden  (hereinafter  "Participating  States"),  shall  be  provided  under  the  conditions 
set out in this Decision.  

The Community shall make a financial contribution up to EUR 50 million for all the 
duration  of  BONUS-169  in  accordance  with  Regulation  (EC)  no  1906/2006  during 
the  strategic  phase  and  in  accordance  with  Article  54(2)(c)  of  the  Financial 
Regulation  during  the  implementation  phase.  Within  that  ceiling,  the  Community 
contribution shall match the contribution of the Participating States.  

The  Community  financial  contribution  shall  be  paid  jointly  from  the  budget 
appropriations  allocated  to  all  the  relevant  themes  of  the  Specific  Programme 
"Cooperation". 

Article 2 
Implementation of BONUS-169 

BONUS-169  shall  be  implemented  by  Baltic  Organisations’  Network  for  Funding 
Science, BONUS EEIG (hereinafter "BONUS EEIG") 

BONUS-169  shall  be  implemented  in  two  phases  in  accordance  with  Annex  I:  a 
strategic phase followed by an implementation phase.  

The strategic phase of the Programme shall last up to two years. It shall prepare the 
implementation phase. During the strategic phase, BONUS EEIG shall carry out the 
following tasks:  

(a) 

(b) 

preparation of the Strategic Research Agenda - defining the part on scientific 
content of the programme focussing on calls for proposals, in conformity with 
the objectives set in the Seventh Framework Programme; 

setting  up  of  the  Stakeholder  Consultation  Platforms  -  with  the  aim  of 
strengthening  and  institutionalising  the  involvement  of  stakeholders  from  all 
relevant sectors; 

EN 

15 

   EN 

4. 

1. 

2. 

(c) 

preparation  of  the  implementation  modalities  including  legal  and  financial 
rules  and  procedures,  provisions  governing  the  intellectual  property  rights 
arising from the BONUS-169 activities, human resources and communication 
aspects.  

The  implementation  phase  shall  last  for  a  minimum  of  five  years.  During  the 
implementation phase at least three calls for proposals shall be published with a view 
to  funding  projects  which  address  the  objectives  of  the  BONUS-169.  These  calls 
shall  be  targeted  at  multi-partner  and  trans-national  projects,  and  include  research, 
technological  development,  training  and  dissemination  activities.  Projects  shall  be 
selected  according  to  the  principles  of  equal  treatment,  transparency,  independent 
evaluation,  co-financing,  no-profit,  financing  not  cumulated  with  other  Community 
sources, as well as the principle of non-retroactivity  

Article 3 
Conditions for the Community contribution  

The  Community  financial  contribution  for  the  strategic  phase  shall  be  up  to  EUR 
1.25 million and match, within that limit, the contribution of the Participating States. 
The  commitment  of  the  Community  to  contribute  to  the  strategic  phase  shall  be 
conditional upon an equivalent commitment from the Participating States.  

The  Community  financial  contribution  for  the  implementation  phase  shall  be  up  to 
EUR 48.75 million and match, within that limit, the contribution of the Participating 
States.  This  ceiling  may  be  increased  by  any  amount  remaining  after  the 
implementation of the strategic phase. During the implementation phase, up to 25% 
of the contribution from the Participating States may consist in providing access to 
research infrastructures (hereinafter "in kind infrastructure contribution").  

3. 

The  Community  financial  contribution  for  the  implementation  phase  shall  be 
provided under the following conditions:  

(a) 

(b) 

(c) 

(d) 

a positive evaluation of the strategic phase carried out by the Commission with 
the assistance of independent experts; this evaluation shall cover the progress 
made towards the achievement of objectives and deliverables set out in Article 
2(3) and Annex I; 

demonstration by the BONUS EEIG of its capacity to implement BONUS-169 
including  receiving,  allocating  and  monitoring  the  Community  financial 
contribution under indirect centralised management in accordance with Articles 
54(2)(c)  and  56  of  the  Regulation  (EC,  Euratom)  No  1605/2002  (hereinafter 
"Financial  Regulation")  and  Articles  35,  38(2)  and  41  of  Regulation  (EC, 
Euratom) No 2342/2002 and in accordance with sound financial management. 

the  maintenance  and  application  of  an  appropriate  and  efficient  governance 
model for BONUS-169 in conformity with Annex II;  

the efficient carrying out of the activities relating to the implementation phase 
of  BONUS-169  set  out  in  Annex  I  by  the  BONUS  EEIG,  which  entails  the 
launch of calls for proposals for the award of grants; 

EN 

16 

   EN 

(e) 

(f) 

(g) 

in  kind 

a  commitment  by  each  participating  State  to  contribute  its  share  of  the 
financing to BONUS-169 and the payment of cash and the effective provision 
of 
these 
commitments  shall  be  included  in  a  financing  plan  agreed  by  the  competent 
national authorities in order to contribute to the joint execution of the BONUS-
169 implementation phase; 

infrastructure  contribution  when 

is  requested; 

this 

compliance with the State aid rules of the Community,  and in particular with 
the  Community  Framework  for  State Aid for Research and Development and 
Innovation22;  

ensuring a high level of scientific excellence, observance of ethical principles 
in  accordance  with  the  general  principles  of  the  Decision  No  1982/2006/EC 
(hereinafter  "Seventh  Framework  Programme"),  and  adherence 
the 
principles  of  gender  mainstreaming  and  gender  equality,  and  the  principle  of 
sustainable development; 

to 

Article 4 
Participation of the Joint Research Centre 

1. 

2. 

1. 

2. 

The  Joint  Research  Centre  shall  be  eligible  for  funding  by  BONUS-169  under  the 
same conditions as those for eligible entities of the Participating States. 

The own resources of the Joint Research Centre, which are not covered by funding 
from  BONUS-169,  shall  not  be  considered  as  part  of  the  Community  contribution 
within the meaning of Article 1. 

Article 5 
Agreements between the Community and BONUS EEIG 

The  detailed  arrangements  for  the  management  and  control  of  funds  and  the 
protection of the Communities' financial interests during the strategic phase shall be 
laid down in a grant agreement to be concluded between the Commission, on behalf 
of  the  Community,  and  the  BONUS  EEIG  according  to  the  rules  set  out  in  this 
Decision and in Regulation (EC) no 1906/2006. 

The  detailed  arrangements  for  the  management  and  control  of  funds  and  the 
protection  of  the  Communities'  financial  interests  during  the  implementation  phase 
shall be laid down in an implementation agreement and annual financial agreements 
to  be  concluded  between  the  Commission,  on  behalf  of  the  Community,  and  the 
BONUS EEIG.  

The implementation agreement shall in particular include the following provisions: 

(a) 

definition of the tasks delegated; 

(b) 

provision for the protection of Community funds;  

22 

OJ C 323, 30.12.2006, p. 1. 

EN 

17 

   EN 

                                                 
(c) 

the  conditions  and  detailed  arrangements  for  performing  the  tasks,  including 
funding rules and upper funding limits applicable to the BONUS-169 projects, 
appropriate  provisions  for  demarcating  responsibilities  and  implementing 
controls; 

(d) 

rules on reporting to the Commission on how the tasks are performed; 

(e) 

(f) 

(g) 

(h) 

(i) 

(j) 

(k) 

the conditions under which the performance of tasks ceases; 

detailed arrangements for Commission scrutiny; 

conditions  governing  the  use  of  a  separate  bank  account  and  the  treatment  of 
the interest yielded; 

provisions  guaranteeing  the  visibility  of  Community  action  in  relation  to  the 
other activities of the BONUS EEIG; 

an  undertaking  to  refrain  from  any  act  that  may  give  rise  to  a  conflict  of 
interests within the meaning of Article 52(2) of the Financial Regulation; 

provisions  governing  the  intellectual  property  rights  arising  from  the 
implementation of BONUS-169 as referred to in Article 2.  

the  criteria  to  be  used  in  the  interim  and  final  evaluations,  including  those 
referred to in Article 13. 

3. 

The Commission shall make an ex-ante assessment of the BONUS EEIG in order to 
obtain evidence of the existence and proper operation of the procedures and systems 
referred to in Article 56 of the Financial Regulation. 

Article 6 
Interest generated from contributions 

The  interest  generated  by  the  financial  contributions  allocated  to  BONUS-169  shall  be 
considered as revenue of BONUS EEIG and shall be assigned to BONUS-169. 

Article 7 
Reduction, withholding or termination of the Community financial contribution  

If  BONUS-169  is  not  implemented  or  is  implemented  inadequately,  partially  or  late,  the 
Community may reduce, withhold or terminate its financial contribution taking into account 
the progress in the implementation of BONUS-169.  

If the Participating States do not contribute or contribute only partially or late to the financing 
of BONUS-169, the Community may reduce its financial contribution taking into account the 
amount  of  public  funding  allocated  by  the  Participating  States  under  the  terms  of  the  grant 
agreement referred to in Article 5(1).  

EN 

18 

   EN 

Article 8 
Protection of the Communities' financial interests by the Participating States 

In  implementing  BONUS-169,  the  Participating  States  shall  take  the  legislative,  regulatory, 
administrative or other measures necessary for protecting the Communities' financial interest. 
In particular, the Participating States shall take the necessary measures to ensure full recovery 
of  any  amounts  due  to  the  Community  in  accordance  with  the  Financial  Regulation  and 
Regulation (EC, Euratom) No 2342/2002. 

Article 9 
Control by the Commission and the Court of Auditors 

The Commission and the Court of Auditors shall be entitled to carry out all the checks and 
inspections  necessary  to  ensure  proper  management  of  the  Community  funds  and  to  protect 
the  Communities'  financial  interest  against  any  fraud  or  irregularity.  To  this  end,  the 
Participating States and the BONUS EEIG shall make available all the relevant documents to 
the Commission and the Court of Auditors.  

Article 10 
Mutual information 

The Commission shall communicate all relevant information to the European Parliament, the 
Council and the Court of Auditors. The Participating States shall submit to the Commission, 
through the BONUS EEIG, any additional information requested by the European Parliament, 
the Council and the Court of Auditors concerning the financial management of the BONUS 
EEIG.  

Article 11 
Participation of other Member States and associated countries  

Any  Member  State  and  any  country  associated  to  the  Seventh  Framework  Programme  may 
join BONUS-169 in accordance with the criteria set out in Article 3(1) and 3points (e) and (f) 
of Article 3(4). Member States and countries that have joined BONUS-169 shall be regarded 
as Participating States for the purposes of this Decision. 

Article 12 
Participation of other countries  

The  Participating  States  and  the  Commission  may  agree  to  the  participation  of  any  other 
country  subject  to  the  criteria  set  out  in  Article  3(1)  and  3points  (e)  and  (f)  of  Article  3(4), 
provided that such participation is provided by the relevant international agreement.  

The  Participating  States  and  the  Commission  shall  define  the  conditions  under  which  legal 
entities established or resident in such country shall be eligible for BONUS-169 funding. 

EN 

19 

   EN 

Article 13 
Annual reporting and evaluation 

The Commission shall include a report of the activities of BONUS-169 in the annual report 
on the Seventh Framework Programme presented to the European Parliament and the Council 
pursuant to Article 173 of the Treaty. 

The  Commission  shall  carry  out  an  interim  evaluation  of  BONUS-169  no  later  than  31 
December 2014. This evaluation shall cover progress towards the objectives set out in Article 
2 and Annex I, as well as recommendations of BONUS-169 on the most appropriate ways to 
further  enhance  integration  and  the  quality  and  efficiency  of  the  implementation,  including 
scientific,  management  and  financial  integration  and  whether  the  level  of  the  financial 
contributions of the Participating States is appropriate, given the potential demand from their 
national research communities. 

The  Commission  shall  communicate 
observations, to the European Parliament and the Council. 

the  conclusions 

thereof,  accompanied  by 

its 

At  the  end  of  Community  participation  in  BONUS-169  but  no  later  than  by  31  December 
2017,  the  Commission  shall  conduct  a  final  evaluation  of  BONUS-169.  The  Commission 
shall submit results of that evaluation to the European Parliament and the Council. 

Article 14 
Entry into force 

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

Article 15  

This Decision is addressed to the Member States. 

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

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ANNEX I 

Objectives and implementation of the BONUS-169 

1. 

OBJECTIVES OF BONUS-169 

BONUS-169  shall  enhance  the  Baltic  Sea  Region's  research  capacity  to  underpin  the 
development  and  implementation  of  'fit-for-purpose'  regulations,  policies  and  management 
practices,  to  respond  effectively  to  the  major  environmental  and  key  societal  challenges  the 
region faces and will face in the coming years and to improve the efficiency and effectiveness 
of the Baltic Sea Region's fragmented environmental research programming and approach by 
integrating  the  research  activities  in  the  Baltic  Sea  System  into  a  durable,  cooperative, 
interdisciplinary well integrated and focussed multi-national programme. 

This  initiative  shall  also  contribute  to  the  establishment  and  structuring  of  the  ERA  in  the 
Baltic Sea Region.  

In order to achieve these objectives it is necessary to improve the efficiency and effectiveness 
of  the  Baltic  Sea  Region's  fragmented  environmental  research  programming  by  integrating 
research activities into a durable, cooperative, interdisciplinary well-integrated and focussed 
multi-national programme in support of the region's sustainable development. To this end the 
BONUS-169 initiative shall: 

a) 

b) 

c) 

d) 

e) 

f) 

g) 

establish a policy-driven Strategic Research Agendas  

increase  sustainable  cross-border  and  cross-sectoral  public  research  programme 
coordination and integration  

raise the research capacity level of the new EU Baltic States  

establish  appropriate  Stakeholder  Consultation  Platforms  including  representation 
from all relevant sectors  

mobilise  additional  financial  resources  from  enhanced  cross-sectoral  Baltic  Sea 
system research collaboration 

appropriate 

establish 
effective 
implementation  of  the  programme  through  a  joint  management  legal  entity  and 
governance structure  

Implementation  Modalities 

enabling 

an 

launch  at  least  three  cross-thematic,  strategically  focussed  and  multi-partner  joint 
calls for proposals  

2. 

STRATEGIC PHASE 

2.1 

Objective 

The  strategic  phase  shall  prepare  the  implementation  phase.  It  shall  deal  with  the  strategic 
development  of  the  programme  to  ensure  that  an  optimal  integration  of  Baltic  Sea  research 
can be achieved. It shall seek to strengthen the involvement of stakeholders and user groups to 

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ensure that the research is relevant to policy, and management, and that the prioritisation of 
research  themes  is  driven  by  policy  needs  and  the  full  involvement  of  scientists  and  their 
respective research institutions as well as the broad stakeholder communities shall be actively 
sought. 

2.2 

Deliverables 

The  BONUS  EEIG  shall  send  to  the  Commission  the  deliverables  set  out  in  the  following 
paragraphs no later than 18 months from the start of the strategic phase.  

The  Commission  shall  provide  advice  and  assistance  upon  request  of  the  BONUS  EEIG 
during the preparation of these deliverables. The BONUS EEIG shall report on the progress 
upon request of the Commission. 

2.2.1  The Strategic Research Agenda  

The  Strategic  Research  Agenda  shall  be  developed  and  agreed  upon  in  consultation  among 
Participating States, a broad range of stakeholders and the Commission. It shall be the basis 
for a policy-driven programme. It shall broaden the research focus to embody, in addition to 
the marine ecosystem, a basin approach that addresses the key issues affecting the quality and 
productivity of the Baltic Sea Region ecosystems. 

It  shall  include  a  description  of  the  baseline  and  state-of-the-art  of  the  Baltic  Sea  research, 
provide a clear strategic vision and roadmap about how to achieve the stated objectives and 
set-out  indicative  policy-driven  call  topics,  their  budgets,  publication  timetable  and  the 
expected  duration  of  projects.  In  addition,  it  shall  include  measures  to  address  emerging 
research  needs,  advance  the  pan-Baltic  integration  of  research,  and  include  a  joint  roadmap 
for  the  shared  use  and  possible  planning  for  future  investments  in  regional  infrastructure 
capacities.  

2.2.2  The Stakeholder Consultation Platforms 

On the basis of a comprehensive analysis of the BONUS-169 relevant stakeholders in local, 
national,  regional,  and  European  contexts,  Stakeholder  Consultation  Platforms  and 
mechanisms  shall  be  established  aiming  at  strengthening  and  institutionalising  the 
involvement of stakeholders from all relevant sectors for the identification of critical gaps, the 
prioritisation  of  research  themes  and  the  enhancement  of  research  output  uptake.  This  shall 
include participation of scientists, including from other relevant non-marine natural sciences 
and from social and economic science disciplines, to ensure the required multi-disciplinarity 
in developing the Strategic Research Agenda, its strategic vision and research priorities.  

A  Forum  of  Sector  Research  (a  body  of  representatives  from  ministries  and  other  actors 
dealing with Baltic Sea System research and governance) shall be established as a permanent 
body  in  support  of  the  programme  responsible  for  discussing  the  programme’s  planning, 
outcomes  and  emerging  research  needs  from  the  decision-making  perspective.  This  forum 
shall facilitate and advance the pan-Baltic integration of research, including the joint use and 
planning  of  infrastructure  capacities,  assist  in  highlighting  research  needs,  advance  the 
utilisation of the research results, and facilitate the integration of research funding. 

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2.2.3  The Implementation Modalities 

The  Implementation  Modalities  shall 
the  successful 
implementation of the Strategic Research Agenda. They shall, where appropriate, follow the 
rules  of  the  Seventh  Framework  Programme.  They  shall  consist  inter  alia  of  the  following 
elements: 

include  all  aspects  securing 

a) 

b) 

c) 

d) 

e) 

f) 

g) 

h) 

i) 

adopting measures (drafting documents, establishing procedures, hiring and training 
staff) required by the Financial Regulation for indirect centralised management; 

obtaining  formal  commitments  of  Participating  States  amounting  to  at  least  EUR 
48.75  million  among  which  a  maximum  of  25%  in  the  form  of  an  in-kind 
infrastructure contribution; 

providing  a  realistic  and  evidence-based  estimate  of  the  value  of  the  in-kind 
infrastructure  contribution  of  Participating  States  consisting  in  the  use  of  their 
infrastructure by BONUS-169 beneficiaries;  

compiling an exhaustive list of all infrastructures, including contacts to their owners, 
operators  or  other  responsible  authorities,  and  publish  it  and  update  it  whenever 
necessary; 

ensuring  that  common  implementation  modalities  are  agreed  upon  and  in  place  for 
the grant agreements with BONUS-169 beneficiaries to be concluded centrally by the 
BONUS  EEIG  including  common  and  agreed  rules  for  participation,  model  grant 
agreement,  guidelines  for  applicants,  participants  and  independent  evaluators,  and 
modalities for the audit of beneficiaries, including the possibility for the Commission 
and the Court of Auditors to carry out such audits; 

developing  an  appropriate  governance  structure  for  the  management  of  the 
programme in all phases of the project life-cycle; 

ensuring that adequate funding is provided to strengthen the BONUS EEIG in terms 
of  human  resources  and  multidisciplinary  expertise  to  enable  it  to  support  the 
strategic aspects as well as the efficient implementation of the programme; 

developing a financing structure of funding BONUS-169 project based on a pool of 
funds  consisting  of  cash  contributions  of  the  Participating  States  and  of  the 
Community; 

developing  a  communication  and  dissemination  strategy  which,  as  far  as  possible 
ensures  that  the  results  and  data  follow  the  standards  of  the  European  Marine 
Observation and Data Network.  

With  regard  to  in-kind  infrastructure  contributions,  a  specific  approach  and  rules  shall  be 
developed during the strategic phase whereby the Participating States commit themselves to 
provide to the BONUS-169 beneficiaries access to and use of infrastructure (notably research 
ships)  free  of  charge.  Costs  for  the  use  of  such  infrastructure  shall  not  be  eligible  project 
costs.  In  this  regard,  the  BONUS  EEIG  shall  conclude  relevant  agreements  with  the 
Participating States or the infrastructure owners, which shall: 

a) 

define the methodology for evaluating in kind infrastructure contributions; 

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b) 

c) 

ensure that the BONUS EEIG, the Commission and the Court of Auditors can audit 
the access to and use of the infrastructure and costs arising from it;  

stipulate  that  the  contracting  parties  shall  report  annually  on  the  costs  incurred  in 
providing the access to or use of the infrastructure to the BONUS-169 beneficiaries. 

2.2.4  Community Funding of the Strategic Phase 

Eligible costs shall be reimbursed up to 50% and shall be those actual costs incurred by the 
BONUS  EEIG  and  recorded  in  its  accounting  necessary  for  the  fulfilment  of  the  objective 
identified in point 1. Costs may be eligible as of January 1st, 2010 and shall be further defined 
in the Grant Agreement for the strategic phase.  

3. 

Implementation Phase  

Provided that the results of the evaluation and the ex-ante audit of BONUS EEIG are positive, 
the Commission and the BONUS EEIG shall conclude the Implementation Agreement. 

3.1. 

Objectives 

During the implementation phase, at least three joint calls for proposals shall be published and 
implemented  in  view  of  funding  strategically  targeted  BONUS-169  projects  addressing  the 
objectives  of  the  initiative.  The  topics  shall  originate  from  the  BONUS-169  Strategic 
Research  Agenda,  respect  as  much  as  possible  the  established  roadmap  and  cover  research, 
technological development, and training and/or dissemination activities. 

3.2. 

Implementation of BONUS-169 Projects 

BONUS-169 calls shall be implemented via multi-partner trans-national projects involving at 
least three independent eligible legal entities from three different Member States or associated 
countries, of which at least two shall be from the BONUS-169 Participating States.  

Legal  entities  from  Member  States  and  associated  countries  may  receive  BONUS-169 
funding.  Any  consortium  submitting  a  proposal  for  a  BONUS-169  project  may  include 
participants from a non-Member State provided that it can realistically ensure that it disposes 
of the resources needed to fully cover the costs for its participation. BONUS funding to such a 
participant  could  be  justified  on  a  case-by-case  basis  if  its  contribution  to  the  project  is 
absolutely essential for the project's successful outcome. 

Each  call  for  proposals  shall  clearly  indicate  the  scientific  topics.  These  topics  shall  be 
identified by the BONUS EEIG in consultation with the Commission. When identifying the 
topics, they shall take account of emerging needs, the results and outcomes of the previously 
implemented calls and of the wide stakeholder consultations undertaken during the strategic 
phase and throughout the programme. 

The  BONUS  EEIG  shall  publish  the  call  for  proposals  as  widely  as  possible  using  specific 
information  support,  particularly  Internet  sites  on  the  Seventh  Framework  Programme  and 
addressing all relevant stakeholders, the specialised press and brochures. The call shall remain 
open for at least three months. Proposed projects shall be submitted centrally to the BONUS 
EEIG by the applicants in response to the calls and in a single-stage evaluation procedure.  

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Proposed projects shall be evaluated and selected centrally on the basis of independent review 
against  defined  eligibility  and  selection  and  award  criteria.  The  core  evaluation  criteria  are 
scientific  excellence,  the  quality  of  implementation  and  the  impact  to  be  expected  from  the 
project. The call for proposals shall concretise the core evaluation criteria. Additional criteria 
may  be  introduced  on  condition  that  they  are  published  in  the  call  for  proposals,  are  non-
discriminatory and do not prevail over the core evaluation criteria. 

The BONUS EEIG shall ensure that each proposal received is evaluated with the assistance of 
at  least  three  independent  experts  appointed  by  it  on  the  basis  of  the  criteria  set  out  in  the 
Regulation  (EC)  no  1906/2006.  A  rating  shall  be  given  for  each  project  proposal.  The 
independent experts shall examine the projects against the evaluation criteria and score these 
on a scale from 0 to 5 per criterion according to the rules for submission of proposals, and the 
related evaluation, selection and award procedures of the Seventh Framework Programme. 

The BONUS EEIG shall establish a funding list strictly in accordance with the results of the 
independent  evaluation.  The  ranking  list  established  by  the  independent  experts  shall  be 
considered binding for the allocation of BONUS-169 funds.  

The  administrative  management  of  the  grants awarded  to  the  selected  BONUS-169  projects 
shall be handled centrally under the responsibility of the BONUS EEIG.  

3.3 

Further Activities 

Besides the management of the BONUS-169 set out in points 3.1 and 3.2., the BONUS EEIG 
shall also engage in the following activities: 

a) 

b) 

c) 

d) 

e) 

f) 

g) 

regular  updating  of  the  Strategic  Research  Agenda  and  prioritisation  of  research 
themes to take account of emerging needs and results and outcome of the previously 
implemented calls and on the basis of the wide stakeholder consultation procedures 
referred to in point 2.2.2; 

facilitating  access  for  trans-national  and  multidisciplinary  research  teams  from 
BONUS-169 funded projects to unique research infrastructures and facilities; 

promoting  an  effective  science-policy  interface  to  ensure  an  optimal  uptake  of 
research results;  

securing  funding  by  the  Participating  States  that  would  ensure  sustainability  of  the 
initiative without Community funding in the post BONUS-169 period;  

increased  collaboration  between  the  regional  environmental  research  programmes 
with the relevant science communities in the other European sea basins; 

communication and dissemination activities. 

BONUS  EEIG  shall  proactively  engage  in  the  sharing  of  best  practice  to  the  other 
European regional sea basins, as well as good articulation to the pan-European level 
to secure harmonisation and streamlining.  

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3.4. 

Contributions during the Implementation Phase 

The  implementation  phase  of  BONUS-169  is  co-funded  by  the  Participating  States  and  the 
Community  over  a  minimum  five-year  period  until  the  full  life-cycle  of  all  BONUS-169 
funded projects is closed, provided that commitments from Community are done up to 2013 
and  all  obligations  to  report  to  the  Commission  are  fulfilled.  The  Community  contribution 
during the implementation phase shall match the cash, in-kind infrastructure contributions of 
the Participating States to BONUS-169 projects made through the BONUS EEIG as well as 
the running costs incurred by the BONUS EEIG in the implementation phase. These running 
costs cannot exceed EUR 5 million.  

The Community financial contribution and the cash contribution of the Participating States to 
BONUS-169 shall be pooled and administered centrally by the BONUS EEIG. 

Subject to the conditions agreed in the annual financial agreements referred to in Article 5(2) 
the Community financial contribution shall be disbursed on the basis of evidence of payment 
of the cash contribution of the Participating States to the BONUS EEIG and of provision of 
in-kind infrastructure contributions for BONUS-169 projects. 

The  proper  use  of  BONUS-169  funding  by  the  beneficiaries  is  the  responsibility  of  the 
BONUS EEIG, and shall be established by the independent financial auditing of projects to be 
carried out by the BONUS EEIG, or on its behalf.  

3.5 

Funding of BONUS-169 Projects 

Subject to point (f) of Article 3(3), funding of BONUS-169 projects shall cover up to 100 % 
of the eligible costs to be calculated according to common funding rules and common funding 
rates, as established by the BONUS EEIG in the Implementation Modalities and agreed by the 
Commission in the Implementation Agreement. 

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ANNEX II 

Governance of BONUS-169 

1.  The  BONUS-169  shall  be  managed  by  BONUS  EEIG  through  its  Secretariat.  BONUS 
EEIG  shall  establish  the  following  structures  for  the  purposes  of  BONUS-169:  Steering 
Committee, Secretariat, Advisory Board, Forum of Sector Research, and the Forum of Project 
Coordinators.  

2. The Steering Committee shall be the highest authority of the BONUS EEIG, forming its 
decision-making  body  and  board  governing  its  secretariat.  The  Steering  Committee  shall  be 
composed  of  senior  officers  of  the  research  funding  and  management  institutions  appointed 
by the members of the BONUS EEIG. It shall be presided by the Chairperson, a position that 
shall  be  rotated  annually  between  the  BONUS  EEIG  members.  The  previous,  current  and 
future  chairpersons  shall  form  the  Strategy  Task  Force  that  supports  the  Secretariat 
concerning  matters  of  strategic  importance.  On  the  basis  of  proposals  by  the  Secretariat  the 
Steering Committee shall decide on the strategic orientation of the BONUS-169, including the 
decisions on defining and updating the BONUS-169, on the planning of call for proposals, on 
the  budget  profile,  on  the  eligibility  and  selection  criteria,  on the  pool  of  evaluators,  on  the 
approval of the ranking list of the BONUS-169 projects to be funded,  on  the  monitoring  of 
progress  of  the  funded  BONUS-169  projects  and  on  the  supervision  of  the  adequate  and 
orderly work of the Secretariat concerning the BONUS-169. 

3.  The  Secretariat  shall  be  headed  by  the  Executive  Director  who  shall  implement  the 
decisions  of  the  Steering  Committee  and  shall  act  as  the  principal  representative  of  the 
BONUS-169  to  both  the  Commission  and  the  various  national  funding  agencies.  The 
Secretariat  shall  be  responsible  for  the  overall  coordination  and  monitoring  of  activities  of 
BONUS-169, the publication, evaluation and implementation of the calls and the monitoring 
of  the  funded  projects,  both  from  the  contractual as  well  as  scientific point  of  view  and  for 
reporting on progress to the Steering Committee. It shall also be responsible for the planning 
and  organisation  of  consultations  with  the  stakeholders  and  the  Advisory  Board  and  their 
subsequent  integration  and  streamlining  into  the  Strategic  Research  Agenda  and  the 
promotion of effective science-policy interfaces. 

4.  The  Advisory  Board  shall  assist  the  Steering  Committee  and  Secretariat.  It  shall  be 
composed  of  scientists  of  high  international  reputation,  representatives  of  relevant 
stakeholders,  including  for  example,  tourism,  renewable  energies,  fisheries  and  aquaculture, 
maritime transport, biotechnology and technology providers and including both industry and 
civil  society  organisations  with  an  interest  in  these  sectors,  other  integrated  Baltic  research 
programmes and other European regional seas. It shall provide independent advice, guidance 
and recommendations, regarding scientific and policy related issues of the BONUS-169. That 
includes  advice  on  the  objectives,  priorities  and  direction  of  the  BONUS-169,  ways  of 
strengthening the performance of the BONUS-169 and delivery and the quality of its research 
outputs,  capacity  building,  networking,  and  the  relevance  of  the  work  to  achieve  the 
objectives of the BONUS-169. It shall also assist in the use and dissemination of the results of 
the BONUS-169.  

5. The Forum of Sector Research shall be composed of representatives from ministries and 
other actors dealing with Baltic Sea System research and governance. It shall convene once a 
year  as  a  consultation  meeting  that  discusses  the  outcomes  of  BONUS-169  and  emerging 
research  needs  from  the  decision-making  perspective.  It  shall  serve  as  the  forum  for 

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advancing the pan-Baltic integration of research including relevant sectorally-funded research 
and the use and planning of joint infrastructures. 

6.  The  Forum  of  Project  Coordinators  shall  be  composed  of  co-ordinators  of  projects 
funded  through  the  BONUS-169.  It  shall  assist  the  Secretariat  in  matters  dealing  with  the 
scientific  coordination  of  BONUS-169  and  the  integration  and  synthesis  of  the  research 
results.  

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Proposal for a Decision of the European Parliament and of the Council on the participation by 
the  Community  in  a  Joint  Baltic  Sea  Research  Programme  BONUS-169,  undertaken  by 
several Member States. 

2. 

ABM / ABB FRAMEWORK 

Policy  Area(s)  concerned  and  associated  Activity/Activities:  Research  and  Technological 
Development:  Seventh  Framework  Programme,  Article  169  of  the  Treaty  establishing  the 
European Community. 

3. 

BUDGET LINES 

3.1. 

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

For 2010 Contribution from DG RTD for the strategic phase as follows: 

Denomination 

Line 

2010 
(%) 

2010 (€) 

RTD 

RTD 

Cooperation  –  Environment  (including 
Climate Change) 

Cooperation  -  Food,  Agriculture  and 
Fisheries, and Biotechnology 

08 06 01 

100% 

1,250,000.00 €

08 03 01 

0% 

0.00 €

RTD 

Cooperation – Energy 

08 05 01 

Cooperation 
Aeronautics) 

-  Transport 

(including 

08 07 01 

0% 

0% 

0.00 €

0.00 €

Cooperation  -  Socio-economic  Sciences 
and the Humanities 

08 08 01 

0% 

0.00 €

100%  1,250,000.00 €

RTD 

RTD 

TOTAL 

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As  of  2012,  contribution  from  DG  RTD  pro  rata  for  the  Implementation  Phase  as 
follows: 

Denomination 

Line 

RTD 

RTD 

Cooperation  –  Environment  (including 
Climate Change) 

Cooperation  - 
Fisheries, and Biotechnology' 

'Food,  Agriculture  and 

RTD 

Cooperation - Energy 

08 06 01 

08 03 01 

08 05 01 

Cooperation 
Aeronautics) 

-  Transport 

(including 

08 07 01 

Cooperation  -  Socio-economic  Sciences 
and the Humanities 

08 08 01 

RTD 

RTD 

TOTAL 

2012-
2013 

% 

35% 

20% 

15% 

15% 

15% 

100% 

Line 

2012-
2013 

% 

2012 

(€) 

2013 

Totals 

(€) 

2012-2013(€) 

RTD 

08 06 01 

35% 

5,862,500.00 11,200,000.00 17,062,500.00 

RTD 

08 03 01 

20% 

3,350,000.00

6,400,000.00

9,750,000.00 

RTD 

08 05 01 

15% 

2,512,500.00

4,800,000.00

7,312,500.00 

RTD 

08 07 01 

15% 

2,512,500.00

4,800,000.00

7,312,500.00 

RTD 

08 08 01 

15% 

2,512,500.00

4,800,000.00

7,312,500.00 

TOTAL    

100% 

16,750,000.00 32,000,000.00 48,750,000.00 

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3.2. 

Duration of the action and of the financial impact: 

The  Community  contribution  to  the  BONUS-169  Joint  Programme  is  expected  to  be 
established through co-decision by Council and Parliament in 2010 for an initial period up to 
31 December 2016. 

3.3. 

Budgetary characteristics: 

Multi-Line commitments on the following lines as of 2010:  

Budget line 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from 
applicant 
countries 

Heading in financial 
perspective 

08 06 01 

08 03 01 

08 05 01 

08 07 01 

08 08 01 

Non-
compulsory 

Non-
compulsory 

Non-
compulsory 

Non-
compulsory 

Non-
compulsory 

Differentiated NO 

YES 

Differentiated NO 

YES 

Differentiated NO 

YES 

Differentiated NO 

YES 

Differentiated NO 

YES 

YES 

YES 

YES 

YES 

YES 

N° [1A] 

N° [1A] 

N° [1A] 

N° [1A] 

N° [1A] 

4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

All figures in this statement are indicative and presented in constant values, 

4.1.1. 

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

EUR million (to 3 decimal places) 

Expenditure type 

Sectio
n no 

2010 

2011 

2012 

2013 

2014 
and 
later 

Total 

Operational expenditure 

Commitment  Appropriations 
(CA) 

8.1. 

Payment Appropriations (PA) 

a 

b 

1.250 

0.000 

16.750 

32.000 

0.000 

50.000

1.000 

0.250 

5.584 

12.874 

30.292 

50.000 

Administrative expenditure within reference amount 

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Technical  &  administrative 
assistance (NDA) 

8.2.4. 

c 

TOTAL REFERENCE AMOUNT 

0 

0 

0 

0 

0 

0 

Commitment Appropriations 

Payment Appropriations 

a+c 

b+c 

1.250 

0.000 

16.750 

32.000 

0.000

50.000

1.000 

0.250 

5.584 

12.874 

30.292

50.000 

Administrative expenditure not included in reference amount23 

and 
Human 
associated expenditure (NDA) 

resources 

8.2.5. 

costs.  other 
Administrative 
than  human 
resources  and 
associated  costs.  not  included 
in reference amount (NDA) 

8.2.6. 

d 

e 

Total indicative financial cost of intervention 

TOTAL CA including cost of 
Human Resources 

TOTAL PA including cost of 
Human Resources 

a+c+d+e 

b+c+d+e 

Co-financing details 

(i) Programme level  

0.122 

0.183 

0.183 

0.183 

0.000

0.671

0.008 

0.040 

0.015 

0.045 

0.000

0.108

1.380 

0.223 

16.948 

32.228 

0.000

50.779

1.130 

0.473 

5.782 

13.102 

30.292

50.779 

According to this Decision, BONUS-169 will be implemented in two distinct phases: 
an  initial  strategic  phase,  lasting  two  years;  and  an  implementation  phase,  of 
minimum 5 years. The launching of the implementation phase should be conditional 
upon  the  decision  by  the  Commission  following  a  positive  ex  ante  audit  and 
evaluation of the strategic phase as to the maturity and readiness of the initiative after 
the strategic phase. 

The European Community will match the eligible Participating States contributions 
up  to  a  maximum  of  EUR  50  million  bringing  the  total  expected  budget  for  the 
initiative to EUR 100 million. The cash contributions of the Participating States and 
the Community contribution will be administered as a real common pot.  

The strategic phase will be implemented by a grant according to the rules set out in 
this Decision. The Community contribution for the strategic phase shall match that of 
the Participating States up to EUR 1.25 million.  

The implementation phase will be implemented by indirect centralised management, 
according  to  the  provisions  of  Art.  54(2)  (c)  of  the  Financial  Regulation  and 
according  to  the  rules  set  out  in  this  Decision  The  Community  contribution  for  the 
implementation  phase  shall  match  that  of  the  Participating  States  up  to  EUR  48.75 
million.  This  ceiling  may  be  increased  by  the  reminders  of  the  contribution  to  the 
strategic phase. For the implementation phase, up to 25% of the Participating States 
contribution  may  consist  in  providing  access  to  research  infrastructures  ("in  kind 
infrastructure contributions"). The EC contribution will be committed from 2010 to 

23

The reference amount is the Community contribution to BONUS-169. 

EN 

32 

   EN 

 
 
 
 
 
 
 
 
 
 
 
                                                 
 
2013  included.  No  new  commitment  from  the  Commission  will  be  made  after 
2013.The running costs of the DIS during the implementation phase and as long as 
its operation is needed for the proper monitoring and implementation of all BONUS-
169 funded projects and fulfilment of all the reporting contractual obligations to the 
Commission shall be eligible costs up-to a maximum of EUR 5 million.  

(ii) Project level 

The cash financing of BONUS-169 shall comprise a “real common pot” commitment 
from the Participating States to contribute to the funding of participants in selected 
BONUS-169 projects.  

The financial contribution to the participants in the BONUS-169 Projects will cover 
up to 100 % of the total eligible costs to be calculated in compliance with the State 
aid  rules  of  the  Community  and  according  to  common  funding  rules  and  common 
funding rates, as established by the DIS in the Implementation Modalities developed 
and  assessed  by  ex-ante  audit  during  the  strategic  phase  and  according  to  fixed 
modalities to be set out in the Implementation Agreement following principles based 
on those of the Seventh Framework Programme. The allocation of funding from the 
centrally  managed  common  pot  to  selected  BONUS-169  projects  shall  follow  the 
order of the ranking list.  

EN 

33 

   EN 

EUR million (to 3 decimal places) 

Co-financing body 

2010 

2011 

2012 

2013  

2014 
and 
later 

Total 

Participating 
States24  

Member 

Community contribution 

Administrative expenditure 

TOTAL  CA  including  co-
financing 

f 

a+c 

d+e 

a+c
+d+
e+f 

1.250

0.000

16.750

32.000 

0.000 

50.000

1.250

0.130

0.000

16.750

32.000 

0.000 

50.000

0.223

0.198

0.228 

0.000 

0.779

2.630

0.223

33.698

64.228 

0.000 

100.779

The Commission is foreseen to contribute a total of €50M in cash. The Participating 
Member  States  commit  to  a  total  of  €50M  including  maximum  25%  "in  kind 
infrastructure contributions". 

4.1.2.  Compatibility with Financial Programming 

(cid:59) 

(cid:133) 

(cid:133) 

Proposal is compatible with existing financial programming. 

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

Proposal  may  require  application  of  the  provisions  of  the  Inter-institutional 
Agreement25 (i.e. flexibility instrument or revision of the financial perspective). 

4.1.3.  Financial impact on Revenue 

(cid:59) 

(cid:133) 

Proposal has no financial implications on revenue 

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

EUR million (to one decimal place) 

Situation following action 

[Yea
r n] 

[n+1] [n+2]  [n+3

] 

[n+4] [n+5]

26

Prior to
action 
[Year 
n-1] 

Budget line 

Revenue 

a) Revenue in absolute terms 

b) Change in revenue 

24 
25

26

Expected indicative annual contribution from Participating States to be confirmed by BONUS EEIG 
See points 19 and 24 of the Inter-institutional agreement. 
Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years 

EN 

34 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
  
 
 
 
 
 
 
                                                 
 
 
4.2. 

Human Resources FTE (including officials. temporary and external staff)  

Annual requirements 

2010 

2011 

2012 

2013 

2014 
and 
later 

Total  number  of  human 
resources 

5. 

CHARACTERISTICS AND OBJECTIVES 

5.1. 

Need to be met in the short or long term 

The  Community  contribution  is  needed  for  the  further  development,  establishment 
and  operation  of  BONUS-169,  in  order  to  allow  the  co-financing  of  the  activities 
with the Participating States.  

5.2. 

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

The current research system in the Baltic Sea region is still too fragmented to tackle 
the complex and urgent environmental challenges currently being faced. The current 
situation calls for the development and implementation of a fully-integrated approach 
whereby  the  relevant  research  programmes  of  all  the  bordering  States  can  be 
streamlined and focussed in order to address the complex and pressing issues at hand 
in a coordinated, efficient and effective manner. 

5.3. 

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

BONUS-169 will integrate national programmes of eight Participating States into a 
single joint Baltic Sea Research Programme and support, in particular, the objectives 
of  the  European  Research  Area,  the  Baltic  Sea  Strategy,  the  Water  Framework 
Directive and the Marine and Maritime Strategies.  

5.4.  Method of Implementation (indicative) 

(cid:59)  Centralised Management 

(cid:133) 

directly by the Commission 

(cid:59) 

indirectly by delegation to: 

(cid:133) 

executive Agencies 

(cid:133) 

(cid:59) 

bodies set up by the Communities as referred to in art. 185 of the 
Financial Regulation 

national  or  international  public-sector  bodies/bodies  governed  by 
private  law  with  a  public  service  mission  and  guaranteed  by  the 
Member States, Iceland, Israel, Norway, Switzerland and Turkey. 

EN 

35 

   EN 

 
 
 
 
 
 
 
6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

Once established, BONUS-169 will be monitored through regular reports which will 
be provided by the DIS. 

6.2. 

Evaluation 

6.2.1.  Ex-ante evaluation 

An ex-ante audit shall be carried out by the Commission services in order to assess 
the  readiness  for  implementing  the  programme  in  conformity  with  the  Financial 
Regulation  and  more  specifically  with  its  provisions  on  indirect  centralised 
management.  The  DIS  shall  subsequently  formulate  an  Action  Plan  that  shall 
adequately address the recommendations stemming from the ex-ante audit. 

6.2.2.  Measures taken  following  an intermediate/ex-post evaluation (lessons learned from 

similar experiences in the past) 

The proposed governance model has been established based on the experience gained 
from the Article 169 initiative undertaken during the Sixth Framework Programme, 
namely  the  EDCTP,  and  under  the  Seventh  Framework  Programme  –  AAL, 
Eurostars and EMRP. 

6.2.3.  Terms and frequency of future evaluation 

According  to  this  Decision,  the  Commission  with  the  assistance  of  independent 
experts shall carry out an evidence-based evaluation of the strategic phase.  

A mid-term review of the implementation phase following the implementation of the 
second  call  and  prior  to  the  publication  of  the  third  call  as  well  as  an  ‘ex-post’ 
evaluation will be carried out by the European Commission.  

7. 

Anti-fraud measures 

Article  8  of  the  Decision  establishing  BONUS-169  states  that  in  implementing  the 
Joint  Programme,  the  Participating  States  shall  take  the  legislative  regulatory  and 
administrative or other measures necessary for protecting the Communities' financial 
interests. In particular, the Participating States shall provide adequate guarantees as 
regards full recovery from the DIS of any amounts due to the Community. 

Article  9  of  the  Decision  establishing  BONUS-169  states  that  the  Commission  and 
the Court of Auditors may, through their officials or agents, carry out all the checks 
and inspections needed to ensure  proper management of the  Community funds and 
protect the financial interests of the Community against any fraud or irregularity. To 
this  end,  the  Participating  States  and/or  the  DIS  shall,  in  due  course,  make  all 
relevant documents available to the Commission and the Court of Auditors. 

Further  anti-fraud  measures  will  be  implemented  as  part  of  the  detailed  agreement 
between the Commission and the DIS. 

EN 

36 

   EN 

8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

(Headings  of  Objectives.  actions  and 
outputs should be provided) 

Type of output 

Av. 
cost 

2010 

2011 

2012 

2013 

2014 and 
later 

TOTAL 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. outputs 

Total cost 

No. outputs  Total cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total cost  

Commitment appropriations in EUR million (to 3 decimal places) 

OPERATIONAL  OBJECTIVE  No.1 
27Establishment  and  operation  of 
the 
BONUS-169 Joint Programme 

Action 1 

Sub-total Objective 1 

TOTAL COST 

- Strategic 
Research Agenda 
- Stakeholder 
Platform 
- Implementation 
Modalities 

for  R&D 

Call 
Projects 

27

As described under Section 5.3 

EN 

3 

1.250 

0 

0.000 

0 

0 

0 

0 

0 

3 

1.250 

0 

0 

0 

0 

1 

0.000 

1 

16.750 

2 

32.000 

1.250 

1.250 

0.000 

0.000 

16.750 

16.750 

32.000 

32.000 

0 

0 

0 

0 

0 

0 

50.000 

50.000 

37 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
 
8.2. 

Administrative Expenditure 

8.2.1.  Number and type of human resources28 

Types of post 

Staff to be assigned to management of the action using existing and/or 
additional resources (number of posts/FTEs) 

Year n 

Year n+1  Year n+2  Year n+3  Year n+4  Year n+5 

Officials or 
temporary 
staff29 (XX 01 
01) 

A*/AD 

B*, 
C*/AST 

Staff  financed30  by  art. 
XX 01 02 

Other  staff31  financed by 
art. XX 01 04/05 

TOTAL 

8.2.2.  Description of tasks deriving from the action 

8.2.3. 

Sources of human resources (statutory) 

(cid:133) 

(cid:133) 

(cid:133) 

(cid:133) 

(cid:133) 

Posts currently allocated to the management of the programme 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  service 
(internal redeployment) 

Posts required for year n although not foreseen in the APS/PDB exercise of the 
year in question 

28 
29 
30 
31 

There are no Commission officials that will work for BONUS-169 in the DIS. 
Cost of which is NOT covered by the reference amount 
Cost of which is NOT covered by the reference amount 
Cost of which is included within the reference amount 

EN 

38 

   EN 

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

Expenditure on administrative management) 

EUR million (to 3 decimal places) 

Year 
2010 

Year 
2011 

Year 
2012 

Year 
2013 

Year 
2014  

and 
later 

TOTAL 

0 

0 

0 

0 

0 

0 

Technical 

1 
and 
assistance (including related staff costs) 

administrative 

Executive agencies32 

Other 

technical 

and 

administrative 

assistance 

- intra muros  

- extra muros 

Total  Technical  and  administrative 
assistance 

0 

0 

0 

0 

0 

0 

Calculation– Estimated costs of the dedicated implementation structure 

Estimation  of  the  costs  is  based  on  estimates  provided  by  BONUS  EEIG  following 
experiences in BONUS ERA-NET and BONUS Plus. The total cost for the period 2010-2016 
include: 

- BONUS management: programme manager and secretarial/office support  

- Dissemination and Communication cost: events, material, press and print, website 

- IT support, maintenance and licences  

- Travel  

- Proposal evaluation with independent experts: Expert fees and travel  

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

amount 

Information  related  to  human  resources  and  administrative  expenditures  not  included  in  the 
reference amount must be considered as internal re-deployment inside the envelopes of FP7 

32

Reference should be made to the specific legislative financial statement for the Executive Agency(ies) 
concerned. 

EN 

39 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
 
administrative appropriations. 

Type of human resources33 

2010 

2011 

2012 

2013  Total 

EUR million (to 3 decimal places) 

Officials and temporary staff  

Budget line 08 01 05 

0.122  0.183  0.183  0.183  0.671 

Staff financed by Art XXXXX (auxiliary. END. contract staff. etc.) 

(specify budget line) 

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

0.122  0.183  0.183  0.183  0.671 

Calculation– Officials and Temporary agents 

An  average  cost  of  EUR  122.000  per  post  FTE.  In  year  2010,  1  FTE  and  in  year  2011  1.5 
FTE is taken into account for the contract negotiation phase. From 2012 till 2013, 1.5 FTE is 
taken into account. 

Calculation– Staff financed under art. 08 01 02 

1.5 FTE/year are anticipated  for the follow-up of this initiative  by the Commission 
services from 2012 onward. The main tasks will be: 

–  Participation in meetings of the BONUS-169 committee and the meetings of the BONUS-
169  Advisory  Board  meetings  as  member,  +/-  3-4  times  two-day  meetings/year 
(Director/HoU level); 

–  Observer  in  the  BONUS-169  proposal  evaluations,  2-3  days  per  years  (Project  Officer 

level); 

–  Participation  in  workshops  and  dissemination  events,  2-3  times  per  year  (Project  Officer 

level); 

–  Negotiation and Preparation of agreement with the DIS (Project Officer level + Assistant 

level); 

–  Monitoring  of  implementation  based  on  the  yearly  reports.  and  coordination  of  the  mid-

term and final evaluations (Project Officer level); 

33 

Additional  costs  estimated  at  €0.528M  for  human  resources  are  expected  for  the  follow-up  of  the 
initiative during the 2014-2016 period but will not be covered by the 7th Framework Programme. 

EN 

40 

   EN 

 
 
 
 
 
 
 
 
 
                                                 
–  Financial and legal auditing of the implementation of BONUS-169 (Auditor. Administrator 

level).  

08 01 02 11 01 – Missions 

0.008 

0.015 

0.015 

0.015 

0.053 

2010 

2011 

2012  

2013 

TOTAL 

08 01 02 11 02 – Meetings & Conferences 

08 01 02 11 03 – Committees34  

08 01 02 11 04 – Studies & consultations 

08 01 02 11 05 - Information systems 

2 

Total 

Other  Management 

Expenditure (08 01 02 11) 

0.008 

0.015 

0.015 

0.015 

0.053 

3  Other 

expenditure 
administrative nature  

of 

an 

Independent  experts  for  strategic  phase 
evaluation, mid-term and final reviews. 

0.025 

0.030 

0.055 

expenditure. 
than  human  resources  and 
in 

Total  Administrative 
other 
associated  costs  (NOT 
reference amount)35 

included 

0.008 

0.040 

0.015 

0.045 

0.108 

Information  related  to  human  resources  and  administrative  expenditures  not  included  in  the 
reference amount must be considered as internal re-deployment inside the envelopes of FP7 
administrative appropriations. 

Calculation - Other administrative expenditure not included in reference amount 

Missions: Considering that, apart from Brussels, most meetings involving EC staff should be 
held in Finland. costs estimates are based on EUR 700 average travel costs per mission plus 
€104 of daily allowance and a ceiling of €140 for the accommodation costs (as specified in 
the  EC  mission  guidelines);  average  mission  duration  is  1.5  days;  number  and  nature  of 
missions: 4 missions per year for 2 officials to attend BONUS-169 meetings. 3 missions per 
year for one official to attend workshops and other events. 4 missions per year for one official 
to  attend  to  the  BONUS-169  committee  meeting  (if  elsewhere  than  in  Brussels).  For  2010, 
half of the annual costs are assumed. 

External  assistance:  Cost  estimates  for  external  support  for  strategic  phase  and  interim 
evaluations with 3 external experts. Strategic phase evaluation estimated at €25.000 and the 
midterm review at €30.000 (including expert cost. daily allowances. and travel).  

34

35

Specify the type of committee and the group to which it belongs. 
Additional  costs  estimated  at  €0.045M  for missions  and €0.050M  for  external  assistance  for  the final 
review (i.e a total of €0.095M) are expected after 2013 but will not be covered by the 7th Framework 
Programme. 

EN 

41 

   EN