REPORT on the proposal for a Council regulation on the Community legal framework for a European Research Infrastructure (ERI)

22.1.2009 - (COM(2008)0467 – C6‑0306/2008 – 2008/0148(CNS)) - *

Committee on Industry, Research and Energy
Rapporteur: Teresa Riera Madurell

DRAFT EUROPEAN PARLIAMENT LEGISLATIVE RESOLUTION

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

(COM(2008)0467 – C6‑0306/2008 – 2008/0148(CNS))

(Consultation procedure)

The European Parliament,

–   having regard to the Commission proposal to the Council (COM(2008)0467),

–– having regard to Article 171 and the first paragraph of Article 172 of the EC Treaty, pursuant to which the Council consulted Parliament (C6‑0306/2008),

–   having regard to Rule 51 of its Rules of Procedure,

–   having regard to the report of the Committee on Industry, Research and Energy (A6‑0007/2009),

1.  Approves the Commission proposal as amended;

2.  Calls on the Commission to alter its proposal accordingly, pursuant to Article 250(2) of the EC Treaty;

3.  Calls on the Council to notify Parliament if it intends to depart from the text approved by Parliament;

4.  Asks the Council to consult Parliament again if it intends to amend the Commission proposal substantially;

5.  Instructs its President to forward its position to the Council and Commission.

Amendment  1 Proposal for a regulation Recital 3
Text proposed by the Commission	Amendment
(3) While traditional support for the use and development of European research infrastructures has essentially taken the form of grants in favour of established research infrastructures in the Member States, the need for additional efforts has become apparent in recent years in order to stimulate the development of new structures by creating an appropriate legal framework which should facilitate their establishment and operation at the level of the Community.	(3) While traditional support for the use and development of European research infrastructures has essentially taken the form of grants in favour of established research infrastructures in the Member States, the need for additional efforts has become apparent in recent years in order to stimulate the development of new structures or to upgrade existing structures in order to optimise their use by creating an appropriate legal framework which should facilitate their establishment and operation at the level of the Community.
Justification
Existing research infrastructures which are upgraded in order to promote pan-European research should also be allowed to apply for the status of ERI.
Amendment  2 Proposal for a regulation Recital 4
Text proposed by the Commission	Amendment
(4) This need has been expressed on numerous occasions both at political level by the Member States and the Community institutions, as well as by the various actors within the European research community such as undertakings, research centres and universities.	(4) This need has been expressed on numerous occasions both at political level by the Member States and the Community institutions, as well as by the various actors within the European research community such as undertakings, research centres, universities and, in particular, the European Strategy Forum on Research Infrastructures (ESFRI).
Justification
The European Strategy Forum for Research Infrastructures publishes since 2006 the European Roadmap for Research Infrastructures, a major instrument to develop a long term vision and support a research infrastructures policy.
Amendment  3 Proposal for a regulation Recital 6 a (new)
Text proposed by the Commission	Amendment
	(6a) A research infrastructure to be set up under this Regulation as a European Research Infrastructure (ERI) should aim at facilitating and promoting research of pan-European interest. It should do so on a non-economic basis, that is, by not offering to undertake work or to provide supplies and/or services which could distort competition. However, in order to promote innovation, knowledge and technology transfer, the ERI should be allowed to carry out some limited economic activities under certain conditions.
(Previously part of the text of recital 9)
Justification
Moving forward the definition of an ERI helps to understand the differences between ERI and a JTI explained in recital 7.
Amendment  4 Proposal for a regulation Recital 7
Text proposed by the Commission	Amendment
(7) In contrast to Joint Technology Initiatives (JTI) constituted as Joint Undertakings of which the Community is a member and to which it makes financial contributions, a European Research Infrastructure (hereinafter referred to as "ERI") should not be conceived as a Community body within the meaning of Article 185 of the Financial Regulation , but as a legal entity of which the Community is not necessarily a member and to which it does not make financial contributions within the meaning of Article 108(2), point (f), of the Financial Regulation.	(7) In contrast to Joint Technology Initiatives (JTI) constituted as Joint Undertakings of which the Community is a member and to which it makes financial contributions, an ERI should not be conceived as a Community body within the meaning of Article 185 of the Financial Regulation1s, but as a legal entity of which the Community is not a member and to which it does not make financial contributions within the meaning of Article 108(2), point (f), of the Financial Regulation. This should not apply where the Community becomes a member of an ERI and makes a relevant financial contribution referred to in Article 185(1) of the Financial Regulation.
	In any case, any Community funding of an ERI should be subject to the relevant provisions of the Financial Regulation
Amendment  5 Proposal for a regulation Recital 8
Text proposed by the Commission	Amendment
(8) Given the close cooperation between Member States and the Community in programming and implementing their respective research activities in a complementary manner, as set out in Articles 164 and 165 of the Treaty, it should be for interested Member States, on their own or in conjunction with other qualified entities, to define their needs for the establishment of research infrastructures based on their research and technological development activities and on the requirements of the Community. For the same reasons, membership of an ERI should be open for interested Member States with the possible participation of qualified third countries and specialised intergovernmental organisations.	(8) Given the close cooperation between Member States and the Community in programming and implementing their respective research activities in a complementary manner, as set out in Articles 164 and 165 of the Treaty, it should be for interested Member States, to define their needs for the establishment of research infrastructures based on their research and technological development activities and on the requirements of the Community. For the same reasons, membership of an ERI should be open for interested Member States with the possible participation of qualified third countries and specialised intergovernmental organisations.
Justification
It is the Member States responsibility to define their needs for the establishment of research infrastructures irrespective of the means to reach this decision.
Amendment  6 Proposal for a regulation Recital 9
Text proposed by the Commission	Amendment
(9) A European Research Infrastructure (hereinafter referred to as "ERI") set up under this Regulation should have as its task the establishment and operation of a research infrastructure. It should do so on a non-economic basis in order to prevent distortions of competition. In order to promote innovation and knowledge and technology transfer, the ERI should be allowed to carry out some limited economic activities on certain conditions. The establishment of research infrastructures as ERIs does not exclude that research infrastructures of pan-European interest that have another legal form can equally be recognised as contributing to the implementation of the roadmap developed by the European Strategy Forum for Research Infrastructure (ESFRI) and to the progress of European research. The Commission will ensure that ESFRI members and other interested parties are informed about these alternative legal forms.	(9) The establishment of research infrastructures as ERIs under this Regulation does not exclude that research infrastructures of pan-European interest that have another legal form can equally be recognised as contributing to the progress of European research. The Commission will ensure that interested parties are informed about these alternative legal forms.
Justification
A general mention to interested parties seems preferable.
Amendment  7 Proposal for a regulation Recital 10
Text proposed by the Commission	Amendment
(10) Research infrastructures should help to safeguard scientific excellence of Community research and the competitiveness of its economy, as based on medium-term to long-term forecasts, through the efficient support of European research activities. To achieve this they should be effectively open to the European research community at large and have the ambition to enhance the European scientific capabilities beyond the current state of the art and thereby contribute to the development of the European Research Area.	(10) Research infrastructures should help to safeguard scientific excellence of Community research and the competitiveness of its economy, as based on medium-term to long-term forecasts, through the efficient support of European research activities. To achieve this they should be effectively open to the European research community at large in accordance with the rules established in their statutes and have the ambition to enhance the European scientific capabilities beyond the current state of the art and thereby contribute to the development of the European Research Area, in particular by promoting synergies with the EU cohesion policy.
Amendment  8 Proposal for a regulation Recital 10a (new)
Text proposed by the Commission	Amendment
	(10a) In particular, new research infrastructures should take into account, where appropriate, the importance of unlocking the potential for scientific excellence in the convergence regions, as a means of enhancing the EU's long-term performance in research, innovation and economic competitiveness.
Justification
This amendment intends to strengthen the regulation in what concerns a more long-term approach to the development of the European Research Area, as mentioned in the FP7 decision and in the Commission Communication "Competitive European Regions Through Research And Innovation".
Amendment  9 Proposal for a regulation Recital 12
Text proposed by the Commission	Amendment
(12) For reasons of transparency, the decision of setting up an ERI should be published in the Official Journal of the European Union. For the same reasons, an extract from the Statutes, providing their essential elements, should be annexed to that decision.	(12) For reasons of transparency, the decision of setting up a research infrastructure as an ERI should be published in the Official Journal of the European Union. For the same reasons, an extract from the Statutes, providing their essential elements, should be annexed to that decision.
Justification
The formula chosen to describe the status of an ERI is in accordance with article 171 EC Treaty and intends to avoid confusion between the actual infrastructure and the legal entity created by the current regulation.
Amendment  10 Proposal for a regulation Recital 14
Text proposed by the Commission	Amendment
(14) Membership of an ERI must comprise at least three Member States and may include qualified third countries and specialised intergovernmental organisations. Therefore, an ERI should qualify as an international body or organisation for the purpose of the application of the Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax, Council Directive 92/12/EEC of 25 February 1992 on the general arrangements for products subject to excise duty and on the holding, movement and monitoring of such products and Directive 2004/18/EC of the European Parliament and of the Council of 31 March 2004 on the coordination of procedures for the award of public works contracts, public supply contracts and public service contracts, in conformity with State aid rules. In order to support more effectively the research activities of the ERI, Member States and participating third countries should take all possible measures to accord to such ERI the most extensive exemption from other taxes.	(14) Membership of an ERI must comprise at least three Member States and may include qualified third countries and specialised intergovernmental organisations. Therefore, an essential provision of this Regulation should be that an ERI should qualify as an international body or organisation for the purpose of the application of the Council Directive 2006/112/EC of 28 November 2006 on the common system of value added tax, Council Directive 92/12/EEC of 25 February 1992 on the general arrangements for products subject to excise duty and on the holding, movement and monitoring of such products and Directive 2004/18/EC of the European Parliament and of the Council of 31 March 2004 on the coordination of procedures for the award of public works contracts, public supply contracts and public service contracts, in conformity with State aid rules. In order to support more effectively the research activities of the ERI, thereby making them more competitive at global level, Member States and participating third countries should take all possible measures to accord to such ERI the most extensive exemption from other taxes.
Amendment  11 Proposal for a regulation Recital 17
Text proposed by the Commission	Amendment
(17) It is necessary to ensure that, on the one hand, an ERI has flexibility to amend its Statutes and, on the other hand, that the Community which sets up the ERI retains control over certain essential elements. If an amendment concerns a matter covered in the extract from the Statutes annexed to the decision setting up the ERI, such amendment has to be approved, prior to taking effect, by a Commission decision taken following the same procedure as the one for setting up the ERI, since the information contained therein is considered as essential. Any other amendment should be notified to the Commission which has an opportunity to object if it considers it contrary to this Regulation. If no objection is raised, an appropriate notice accompanied by a concise summary of the amendment should be published.	(17) It is necessary to ensure that, on the one hand, an ERI has flexibility to amend its Statutes and, on the other hand, that the Community which sets up a research infrastructure as an ERI retains control over certain essential elements. If an amendment concerns a matter covered in the extract from the Statutes annexed to the decision setting up the ERI, such amendment has to be approved, prior to taking effect, by a Commission decision taken following the same procedure as the one for setting up the ERI, since the information contained therein is considered as essential. Any other amendment should be notified to the Commission which has an opportunity to object if it considers it contrary to this Regulation. If no objection is raised, an appropriate notice accompanied by a concise summary of the amendment should be published.
Justification
The formula chosen to describe the status of an ERI is in accordance with article 171 EC Treaty and intends to avoid confusion between the actual infrastructure and the legal entity created by the current regulation.
Amendment  12 Proposal for a regulation Recital 20
Text proposed by the Commission	Amendment
(20) ERIs may receive co-funding from Cohesion Policy financial instruments in conformity with Council Regulation (EC) No 1083/2006 of 11 July 2006 laying down general provisions on the European Regional Development Fund, the European Social Fund and the Cohesion Fund and repealing Regulation (EC) No 1260/1999.	(20) ERIs may receive co-funding from Cohesion Policy financial instruments in conformity with Council Regulation (EC) No 1083/2006 of 11 July 2006 laying down general provisions on the European Regional Development Fund, the European Social Fund and the Cohesion Fund and repealing Regulation (EC) No 1260/1999, and Council Regulation (EC) No 1084/2006 of 11 July 2006 establishing a Cohesion Fund and repealing Regulation (EC) No 1164/941.
	.___________ OJ L 210, 31.7.2006, p. 79.
Amendment  13 Proposal for a regulation Recital 22
Text proposed by the Commission	Amendment
(22) As the ERI is established under Community law, it should be governed by Community law, next to the law of the country where it has its statutory seat. However, the ERI could have a place of operation in another country. In that case, the law of that country should apply as regards public and occupational health and safety, environmental protection, treatment of hazardous substances and issuance of permits required. Further, an ERI should be governed by its Statutes adopted in compliance with the preceding sources of law, and by implementing rules complying with the Statutes.	(22) As the ERI is established under Community law, it should be governed by Community law, next to the law of the country where it has its statutory seat. However, the ERI could have places of operation in other countries. In that case, the law of these countries should apply as regards public and occupational health and safety, environmental protection, treatment of hazardous substances and issuance of permits required. Further, an ERI should be governed by its Statutes adopted in compliance with the preceding sources of law, and by implementing rules complying with the Statutes.
Amendment  14 Proposal for a regulation Recital 23
Text proposed by the Commission	Amendment
(23) In order to ensure sufficient control of compliance with this Regulation, an ERI should submit to the Commission the annual report of the ERI and any information about circumstances threatening to seriously jeopardise the achievement of the tasks of the ERI. If the Commission obtains indications, through the annual report or otherwise, that the ERI acts in serious breach of this Regulation or other applicable law, it shall request explanations and/or actions from the ERI and/or its members. In extreme cases and if no remedial action is taken, the Commission may repeal the decision setting up the ERI; this will trigger the winding up of the ERI.	(23) In order to ensure sufficient control of compliance with this Regulation, an ERI should submit to the Commission the annual report and any information about circumstances threatening to seriously jeopardise the achievement of its objective. If the Commission obtains indications, through the annual report or otherwise, that the ERI acts in serious breach of this Regulation or other applicable law, it shall request explanations and/or actions from the ERI and/or its members. In extreme cases and if no remedial action is taken, the Commission may repeal the decision setting up the ERI; this will trigger the winding up of the ERI.
Justification
The purpose of this amendment is to structure and clarify the text.
Amendment  15 Proposal for a regulation Recital 23 a (new)
Text proposed by the Commission	Amendment
	(23a) Based on the practice of its regular ESFRI Roadmap updates, the Commission should inform the European Parliament on a regular basis on the state of evolution of the ERIs in the European research Area, together with its evaluation and recommendations in this field.
Amendment  16 Proposal for a regulation Recital 24
Text proposed by the Commission	Amendment
(24) Since the objectives of the action to be taken; i.e. the establishment of a framework for European Research Infrastructures between Member States, cannot be sufficiently achieved by the Member States in the framework of their national constitutional systems, therefore, by reason of the trans-national nature of the problem, these objectives can better be achieved at Community level. The Community may therefore adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve those objectives.	(24) Since the objectives of the action to be taken; i.e. the establishment of a framework for ERIs set up collectively by Member States, cannot be sufficiently achieved by the Member States in the framework of their national constitutional systems, therefore, by reason of the trans-national nature of the problem, these objectives can better be achieved at Community level. The Community may therefore adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve those objectives.
Amendment  17 Proposal for a regulation Article 1
Text proposed by the Commission	Amendment
1. This Regulation establishes a framework laying down the requirements and procedures for and the effects of setting up a European Research Infrastructure (hereinafter referred to as "ERI").	1. This Regulation establishes the requirements and procedures for a research infrastructure of pan-European interest to be set up as a European Research Infrastructure (hereinafter referred to as ERI).
2. It shall apply to research infrastructures of pan-European interest.
Justification
The formula chosen to describe the status of an ERI is in accordance with article 171 EC Treaty and intends to avoid confusion between the actual infrastructure and the legal entity created by the current regulation.
Amendment  18 Proposal for a regulation Article 1 – paragraph 2 a (new)
Text proposed by the Commission	Amendment
	2a. A research structure of pan European interest is a facility, including resources and related services, which can be used by the scientific community to conduct high level research in their respective fields. This definition covers major scientific equipment or sets of instruments; knowledge-based resources such as collections, archives or structured scientific information; enabling ICT-based infrastructures such as grid, computing, software and communications; any other entity of a unique nature essential to achieve excellence in research. Such research infrastructures may be single-sited or distributed (an organised network of resources).
Justification
Since the Regulation aims at providing a common legal framework for a new legal form, the definition of an ERI should be part of Article 1 and not merely mentioned in a recital.
Amendment  19 Proposal for a regulation Article 2 – title
Text proposed by the Commission	Amendment
Task and other activities	Objective and activities of an ERI
Justification
The purpose of this amendment is to structure and clarify the text.
Amendment  20 Proposal for a regulation Article 2 – paragraph 1
Text proposed by the Commission	Amendment
1. The task of an ERI shall be to establish and operate a research infrastructure.	1. The objective of an ERI shall be to facilitate and promote research of pan-European interest, either in an existing European infrastructure or in a new infrastructure established jointly by several Member States.
Amendment  21 Proposal for a regulation Article 2 – paragraph 2
Text proposed by the Commission	Amendment
2. An ERI shall pursue its task on a non-economic basis. However, it may carry out limited economic activities closely related to its task provided that they do not jeopardise the achievement of that task.	2. The activities pursued by an ERI shall be of a non economic nature. However, it may carry out limited economic activities closely related to its objective provided that they do not jeopardise the achievement of that objective and income from such activities is used exclusively to achieve these objectives.
Amendment  22 Proposal for a regulation Article 2 – paragraph 3 a (new)
Text proposed by the Commission	Amendment
	3a. ERIs shall pay special attention to patents and other valuable rights and interests arising from intellectual work which come about during their activities and shall inform the Commission of such intellectual property rights by means of an annual report.
Justification
The aim of extensive EU protection for ERIs is to promote research activities. Whilst the number of patents is not a precise measure of the success of an organisation engaged in scientific activities, it is nevertheless a suitable index and can be easily recorded.
Amendment  23 Proposal for a regulation Article 3 – title
Text proposed by the Commission	Amendment
Requirements relating to infrastructure	General requirements
Justification
The purpose of this amendment is to structure and clarify the text.
Amendment  24 Proposal for a regulation Article 3 – paragraph 1 – introductory part
Text proposed by the Commission	Amendment
The research infrastructure to be established by an ERI shall meet the following requirements:	The research infrastructure to be set up as an ERI shall meet the following requirements:
Justification
The formula chosen to describe the status of an ERI is in accordance with article 171 EC Treaty and intends to avoid confusion between the actual infrastructure and the legal entity created by the current regulation.
Amendment  25 Proposal for a regulation Article 3 – point b
Text proposed by the Commission	Amendment
(b) it represents an added value in the development of the European Research Area and a significant improvement in the relevant scientific and technological fields at international level;	(b) it represents an added value in the development of the European Research Area including by unlocking research potential in all EU regions, and by improving research methods, a significant improvement in the relevant specialist scientific and technological fields at international level;
Justification
Although the objective of ensuring a synergy between cohesion policy and research policy has been underlined in various occasions, the current proposal for regulation only makes a weak reference to it. ERIs should therefore contribute to this objective. Perfecting specialist research methods in individual ERIs is a guarantee of success.
Amendment  26 Proposal for a regulation Article 3 – paragraph 1 – point c
Text proposed by the Commission	Amendment
(c) the European research community, composed of researchers from Member States and from countries associated to the Community research, technological development and demonstration programmes can effectively have access to it; and	(c) it is effectively accessible to the European research community, composed of researchers from Member States and from countries associated to the Community research, technological development and demonstration programmes, in accordance with the rules established in its Statutes;
Justification
The access policies to research infrastructures varies greatly from one infrastructure to the next therefore it should be underlined that each ERI will have its specific rules on this issue whenever open access is mentioned.
Amendment  27 Proposal for a regulation Article 3 – paragraph 1 – point c a (new)
Text proposed by the Commission	Amendment
	(ca) it contributes to the training of young researchers; and
Justification
The ERIs should contribute to reverse the trend of brain drain by providing opportunities to promising young researchers in the EU.
Amendment  28 Proposal for a regulation Article 3 – point d a (new)
Text proposed by the Commission	Amendment
	(da) it enhances the efficiency of interdisciplinary research as a result of the concentration of research projects within a given time-scale .
Justification
Empirical studies involve a complex process designed to verify scientific theories whose success is contingent on the way it is organised in temporal and geographical terms.
Amendment  29 Proposal for a regulation Article 3 – paragraph 1 a (new)
Text proposed by the Commission	Amendment
	The research infrastructure to be set up as an ERI shall submit an impact assessment with its application.
Justification
Impact assessments are a valuable tool for sustainable decision making. Analysis must assess the potential impact as well as the costs and benefits of the project to assure a pan-European scope.
Amendment  30 Proposal for a regulation Article 3 – paragraph 1 b (new)
Text proposed by the Commission	Amendment
	The members of a research infrastructure to be set up as an ERI shall commit the necessary human and financial resources for its establishment and operation.
Justification
This amendment is to be read in context with amendment 24.
Amendment  31 Proposal for a regulation Article 4 – title
Text proposed by the Commission	Amendment
Application for the setting-up of an ERI	Application
Justification
The purpose of this amendment is to structure and clarify the text.
Amendment  32 Proposal for a regulation Article 4 – paragraph 1
Text proposed by the Commission	Amendment
1. The entities applying for the setting up of an ERI (hereinafter referred to as "applicants") shall submit an application to the Commission. The application shall be submitted in writing in one of the official languages of the Community and shall contain the following:	1. The entities applying for a research infrastructure to be set up as an ERI (hereinafter referred to as "applicants") shall submit an application to the Commission. The application shall be submitted in writing in one of the official languages of the Community and shall contain the following:
Amendment  33 Proposal for a regulation Article 4 – paragraph 1 – point a
Text proposed by the Commission	Amendment
(a) a request to the Commission to set up the ERI;	(a) a request to the Commission for a research infrastructure to be set up as an ERI;
Amendment  34 Proposal for a regulation Article 4 – paragraph 1 – point c
Text proposed by the Commission	Amendment
(c) a technical and scientific description of the research infrastructure to be established and operated by the ERI, addressing in particular the requirements set out in Article 3.	(c) a technical and scientific description of the research infrastructure to be set up as an ERI, and the socio-economic effects and the contribution to the EU's convergence objectives, addressing in particular the requirements set out in Article 3.
Amendment  35 Proposal for a regulation Article 4 – paragraph 2
Text proposed by the Commission	Amendment
2. The Commission shall assess the application. During the assessment it may obtain the views of independent experts in particular in the field of the intended activities of the ERI. The result of such assessment shall be communicated to the applicants who shall be, if necessary, invited to complete or amend the application within a reasonable time.	deleted
Amendment  36 Proposal for a regulation Article 5 – title
Text proposed by the Commission	Amendment
Decision on the application	Assessment and decision on the application
Justification
The purpose of this amendment is to structure and clarify the text.
Amendment  37 Proposal for a regulation Article 5 – paragraph -1 (new)
Text proposed by the Commission	Amendment
	-1. The Commission shall assess the application. During the assessment it must obtain the views of independent experts in particular in the field of the intended activities of the ERI. The result of such assessment shall be communicated to the applicants who shall be, if necessary, invited to complete or amend the application within a reasonable time.
(Previous article 4 paragraph 2)
Amendment  38 Proposal for a regulation Article 5 – paragraph 1 – introductory part
Text proposed by the Commission	Amendment
1. The Commission shall, taking into account the results of the assessment referred to in Article 4(2) and in accordance with the procedure referred to in Article 21:	1. The Commission shall, taking into account the results of the assessment referred to in Article 5(1) and the needs identified in the European Roadmap on Research Infrastructures (ESFRI) and in accordance with the procedure referred to in Article 21:
Amendment  39 Proposal for a regulation Article 5 – paragraph 1 – point a
Text proposed by the Commission	Amendment
(a) adopt a decision setting up the ERI after it has satisfied itself that the requirements laid down in this Regulation are met; or	(a) adopt a decision setting up the research infrastructure as an ERI after it has satisfied itself that the requirements laid down in this Regulation are met; or
Justification
The formula chosen to describe the status of an ERI is in accordance with article 171 EC Treaty and intends to avoid confusion between the actual infrastructure and the legal entity created by the current regulation. This amendment obeys to reasons of transparency to which all public administrations are obliged to.
Amendment  40 Proposal for a regulation Article 5 – paragraph 2
Text proposed by the Commission	Amendment
2. The decision on the application shall be notified to the applicants. The decision setting up the ERI shall also be published in the L series of the Official Journal of the European Union.	2. The decision on the application shall be notified to the applicants. The decision setting up the research infrastructure as an ERI shall also be published in the L series of the Official Journal of the European Union. In cases of refusal, applicants shall have access to the evaluation report.
Justification
This amendment obeys to reasons of transparency to which all public administrations are obliged to.
Amendment  41 Proposal for a regulation Article 6 – paragraph 1
Text proposed by the Commission	Amendment
1. An ERI shall have legal personality as from the date on which the decision setting up the ERI takes effect.	1. An ERI shall have legal personality as from the date on which the decision setting it up takes effect.
Justification
The proposed amendment intends to avoid confusion between the actual infrastructure and the legal entity created by the current regulation.
Amendment  42 Proposal for a regulation Article 6 – paragraph 1 a (new)
Text proposed by the Commission	Amendment
	1a. In the case of infrastructures with a different legal form, the original legal person shall cease to exist when entered into the Commission’s records, and the ERI shall operate as its successor in title by legal succession;
Justification
The reason for establishing the ERI as a legal form is to provide a regulatory framework for infrastructures currently operating with different organisational forms and those which will be established in the future. It would be worth regulating how the change of format takes place in order to avoid the future legal position regarding high‑value equipment and previous long‑term commitments becoming confused.
Amendment  43 Proposal for a regulation Article 7 – paragraph 2
Text proposed by the Commission	Amendment
2. An ERI shall have a name containing the words 'European Research Infrastructure' or the abbreviation 'ERI'.	2. An ERI shall have a name containing the words 'European Research Infrastructure' or the abbreviation 'ERI' and a reference to its research area.
Justification
Research methods differ very greatly and serve differing objectives and areas of knowledge; in other words, a range of different ERIs may be involved.
Amendment  44 Proposal for a regulation Article 8 – paragraph 2
Text proposed by the Commission	Amendment
2. An ERI must at all times have at least three Member States as members. Further Member States may join as members at any time on fair and reasonable terms specified in the Statutes.	2. An ERI must at all times have at least three Member States as members. Further Member States, third countries and international organisations may join as members at any time on fair and reasonable terms specified in the Statutes.
Justification
Pursuant to Article 8(2), only Member States may join an existing ERI. It makes sense to extend this right to cover third States and international organisations.
Amendment  45 Proposal for a regulation Article 8 – paragraph 4
Text proposed by the Commission	Amendment
4. Any Member State or third country may be represented by one or more public entities, including regions, or private entities with a public-service mission as regards the exercise of specified rights and the discharge of specified obligations as a member of the ERI.	4. Any Member State or third country may be represented in the assembly of members by one or more public entities, including regions, or private entities with a public-service mission as regards the exercise of specified rights and the discharge of specified obligations as a member of the ERI.
Justification
The purpose of this amendment is to clarify the text.
Amendment  46 Proposal for a regulation Article 8 – paragraph 5
Text proposed by the Commission	Amendment
5. Third countries and intergovernmental organisations applying for a membership of an ERI shall recognise that that ERI shall have legal personality and capacity in accordance with Article 6(1) and (2) and that it shall be subject to rules determined in application of Article 16.	5. Third countries and intergovernmental organisations applying for a membership of an ERI shall recognise that that ERI shall have legal personality and capacity in their respective territories and organisations in accordance with Article 6(1) and (2) and that it shall be subject to rules determined in application of Article 16.
	In the event that Community funds are being used by an ERI, the international or intergovernmental ERI members shall maintain their ERI status only if they commit to sending their internal and external audits to the European Court of Auditors and to the Internal Auditor of the Commission
Amendment  47 Proposal for a regulation Article 8 – paragraph 6 a (new)
Text proposed by the Commission	Amendment
	6a. Should the Community become a member of an ERI either directly or through any intermediary, the Commission shall notify the two arms of the budgetary authority immediately.
Amendment  48 Proposal for a regulation Article 9 – paragraph 1 – point b
Text proposed by the Commission	Amendment
(b) tasks and activities of the ERI;	(b) objective and activities of the ERI;
Justification
The purpose of this amendment is to structure and clarify the text.
Amendment  49 Proposal for a regulation Article 9 – paragraph 1 – point e
Text proposed by the Commission	Amendment
(e) rights and obligations of the members, including the obligation to make contributions to a balanced budget;	(e) rights and obligations of the members, including the obligation to make contributions to a balanced budget and voting rights;
Amendment  50 Proposal for a regulation Article 9 – paragraph 1 – point h – point i
Text proposed by the Commission	Amendment
(i) access policy for users;	(i) access policy for users based on scientific excellence;
Justification
Scientific excellence is attained by both, the appropriate infrastructure and high level human capital. Therefore creating an ERI only makes sense if it access to the best research projects is assured.
Amendment  51 Proposal for a regulation Article 9 – point h – subpoint i a (new)
Text proposed by the Commission	Amendment
	(ia) investment policy;
Justification
The establishment and reorganisation of an ERI with the aim of perfecting it require a corresponding investment policy.
Amendment  52 Proposal for a regulation Article 9 – point h – subpoint vi a (new)
Text proposed by the Commission	Amendment
	(via) an anti-discrimination policy, taking particular account of gender equality and equal opportunities for the disabled;
Justification
Access to the benefits which an ERI can bring should above all be guaranteed for those groups which continue to be underrepresented in European science.
Amendment  53 Proposal for a regulation Article 9 – point j a (new)
Text proposed by the Commission	Amendment
	(ja) an agreement on the individual authorised to deal with patents and other intellectual property rights and interests arising from intellectual work which come about during the activities of the ERI and the use to which the income deriving from such rights is put;
Justification
The handling of patents which arise from the concentrated research capacity within ERIs and the question of authorisation and the use to which the resulting income is put is of fundamental importance to Member States investing in ERIs and supporting them with, for example, tax allowances, and to the EU.
Amendment  54 Proposal for a regulation Article 13 – paragraph 6
Text proposed by the Commission	Amendment
6. An ERI shall take out appropriate insurance to cover all risks specific to its operation.	6. An ERI shall take out appropriate insurance to cover all risks specific to the construction of the infrastructure and its operation.
Amendment  55 Proposal for a regulation Article 14
Text proposed by the Commission	Amendment
Community funding to an ERI may be awarded solely in accordance with Title VI of Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities.	Community funding to an ERI may only be awarded in accordance with Title VI of Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities.
Funding under Cohesion Policy shall also be possible, in conformity with the relevant Community legislation.	Funding under Cohesion Policy shall also be possible, in conformity with the relevant Community legislation.
	Should the Community at any time become a member of an ERI either directly or through any intermediary, that ERI shall be treated as a body having legal personality under Article 185 of the Financial Regulation. This also applies to an ERI which receives contributions (operative grants) under Article 185 of the Financial Regulation.
Amendment  56 Proposal for a regulation Article 16 – paragraph 1 – point a
Text proposed by the Commission	Amendment
(a) by Community law, in particular this Regulation and the decisions referred to in Articles 5(1)(a) and 10(1);	(a) by Community law, in particular this Regulation and the decisions referred to in Articles 5(1)(a) and 10(1) as well as the Financial Regulation where applicable;
Amendment  57 Proposal for a regulation Article 18 – paragraph 5
Text proposed by the Commission	Amendment
5. If no remedial action is taken, the Commission may repeal the decision establishing the ERI. Such decision shall be notified to the ERI and be published in the L series of the Official Journal of the European Union. This shall trigger the winding-up of the ERI.	5. If no remedial action is taken, the Commission may repeal the decision setting up the research infrastructure as an ERI. Such decision shall be notified to the ERI and be published in the L series of the Official Journal of the European Union. This shall trigger the winding-up of the ERI.
Justification
The formula chosen to describe the status of an ERI is in accordance with article 171 EC Treaty and intends to avoid confusion between the actual infrastructure and the legal entity created by the current regulation.
Amendment  58 Proposal for a regulation Article 18 – paragraph 5 a (new)
Text proposed by the Commission	Amendment
	5a. The Commission shall submit to the European Parliament and to the Council the annual activity report as well as any decision adopted regarding the circumstances referred to in paragraphs 3 to 5.

EXPLANATORY STATEMENT

The Commission proposal addresses one of the objectives of the 2007 ERA Green Paper: "Developing world class research infrastructures". On the mandate of the Council, the European Forum for Research Infrastructures (ESFRI) started developing a coordinated approach for policy-making in the field of research infrastructures beginning in April 2002. The Forum, consisting of representatives from Member States and countries associated to the 7th Framework Programme and nominated by their ministries, intends to facilitate multilateral initiatives for development, and better use, of research infrastructures. The objective of the legal framework proposed is to facilitate the establishment of these infrastructures.

The legal base

The legal framework has been developed in response to a need signalled by several Member States and the scientific community for a common legal form, since the available national and international legislations are not adequate.

The legal base of the proposal is Article 171 of the Treaty which allows the Community to "set up joint undertakings or any other structure necessary for the efficient execution of Community research, technological development and demonstration programmes". This rapporteur considers that although the legal framework in the Commission's proposal is not exactly meant for this purpose, but rather for a more general one of implementation of European research, the lack of a better legal base under the present Treaty would justify the use of Art. 171.

The Rapporteur's view on the proposal of the Commission.

The rapporteur agrees on the importance of facilitating the establishment of world class research infrastructures in Europe and on their added value for the European Research Area in terms of improved research and education, more interconnections among public and private researchers, and in general a positive socioeconomic impact.

In regards to the benefit for European research, the establishment of large scale infrastructures will result in increased opportunities for excellent research in several fields, closer collaboration among European research teams, increased opportunities for transdisciplinary research as well as attracting third country researchers.

Furthermore, the positive effect of such infrastructures on the training of young researchers, in particular women, as well as the training of skilled technicians and engineers should be highlighted. Large scale implies involving many students, researchers and technical staff, which contributes to attracting more young people to science, research and engineering.

The rapporteur agrees also on the increased possibilities for the transfer of new knowledge and the improved interface between industry and academic research.

Another important aspect of world class research infrastructures is the economic impact on the surrounding area and its effect on the industrial base of the region involved.

However, the high cost of establishing large scale infrastructures requires in general the combined efforts of several countries and a need to adapt national legislation to the requirements of multinational bodies.

For all this reasons this rapporteur agrees that a common legal framework is needed and that it could facilitate and speed up the development of these infrastructures.

The key issues and changes proposed by the rapporteur:

· Definition, scope and status

The absence of definitions of an ERI and even of a research infrastructure of pan European interest complicates the correct understanding of the proposed regulation.

The name "ERI" chosen for the legal entity- which will result from the legal framework object of the proposal- is most unfortunate, since it results in confusion between the legal entity resulting from the granting of ERI status to an applicant research infrastructure and the actual research infrastructure applying for an ERI status.

The scope of the legal framework should be available for any existing pan-European research infrastructure which complies with the established regulation. However, the proposal is aimed at new research infrastructures.

· The criteria for selection of ERI

The requirements set out in Article 3 are too vague and constitute more of general objectives than specific criteria. Impact assessment of each proposal, committed funding from participant Member States and the existence of an access policy to ensure the service to the international research community should be considered as selection criteria.

· Evaluation of proposals

The criteria for evaluation of proposals as well as the process of evaluation should be clearly stated. In particular, the impact assessment of each proposal is a necessary element in the evaluation of applications.

· Exemption from taxes

Tax exemption and derogation of public procurement directives are essential instruments to promote transnational cooperation in the establishment of large scale infrastructures. The proposal should reflect this position.

· Seat

Membership of associated countries is clearly justified as well as that of third countries, if appropriate on scientific grounds. However the seat of an ERI (and any other operational sites) should be always a Member State, since the status of associated country is a temporary one lasting as long as the corresponding Framework programme, while an ERI will normally be a permanent facility.

· Access policy

The open access of researchers to the ERI must be matched with the need for an ERI to have a balanced budget. Given the differences among types of infrastructures in terms of costs - on both construction and operation- and the number of potential users, the statutes should include the policies of access by researchers from third countries and non member European countries.

PROCEDURE

Title	Community legal framework for a European Research Infrastructure (ERI)
References	COM(2008)0467 – C6-0306/2008 – 2008/0148(CNS)
Date of consulting Parliament	5.9.2008
Committee responsible        Date announced in plenary	ITRE 23.9.2008
Rapporteur(s)        Date appointed	Teresa Riera Madurell 24.9.2008
Discussed in committee	16.10.2008		13.11.2008		11.12.2008
Date adopted	20.1.2009
Result of final vote	+: –: 0:	48 0 0
Members present for the final vote	Šarūnas Birutis, Jan Březina, Jerzy Buzek, Jorgo Chatzimarkakis, Giles Chichester, Dragoş Florin David, Den Dover, Lena Ek, Nicole Fontaine, Adam Gierek, Norbert Glante, Fiona Hall, David Hammerstein, Erna Hennicot-Schoepges, Mary Honeyball, Ján Hudacký, Romana Jordan Cizelj, Werner Langen, Anne Laperrouze, Pia Elda Locatelli, Patrick Louis, Eluned Morgan, Angelika Niebler, Atanas Paparizov, Aldo Patriciello, Francisca Pleguezuelos Aguilar, Anni Podimata, Miloslav Ransdorf, Vladimír Remek, Herbert Reul, Teresa Riera Madurell, Mechtild Rothe, Paul Rübig, Patrizia Toia, Catherine Trautmann, Claude Turmes, Nikolaos Vakalis, Adina-Ioana Vălean, Alejo Vidal-Quadras, Dominique Vlasto
Substitute(s) present for the final vote	Pilar Ayuso, Juan Fraile Cantón, Matthias Groote, Françoise Grossetête, Cristina Gutiérrez-Cortines, Edit Herczog, Esko Seppänen, Silvia-Adriana Ţicău