EU Treaties: legal and policy aspects of the Research and Innovation dimensions

Transcription

1 EU Treaties: legal and policy aspects of the Research and dimensions European Commission 1

2 Overview Historical background of the Research chapter in the Treaties s brought by the Lisbon Treaty: Research policy: a new objective of the Treaty New legal bases : the European Research Area (ERA) and space policy Shared competences / parallel competences EU-MS (Article 4.3 TFEU) New comitology regime: delegated acts and implementing acts Euratom issues Other important Treaty provisions (Articles 181, 185, 186, 187 TFEU) Horizon 2020 Framework Programme ( ) the choice of the legal instruments under H2020 a single set of Rules for Participation and dissemination H2020 and Associated Countries 2

3 The Research chapter in the EU Treatieshistorical background - Briefly the European Coal and Steel Comunity (ECSC) Treaty mentioned R&D in relation to an assistance programme in A Joint Research Center was set up in the frame of Euratom; - No specific chapter on research in the former EEC Treaty (Treaty of Rome) - The Single European Act (1987) introduced RTD as a separate Title XVIII in the EEC Treaty formalised RTD policy to be implemented through multiannual framework programmes (FPs); - The Lisbon Treaty is an amending Treaty : Treaty on European Union (TEU ) +Treaty on the Functioning of the European Union (TFEU) renumbering of Titles + Articles (new Title XIX TFEU «Research, technological development and space» Articles TFEU); 3

4 Research and innovation under the Lisbon Treaty - Title XIX prevalence: all RTD activities under the Treaties are decided in accordance with the provisions of this Title (Article TFEU); - FPs are adopted through Ordinay Legislative Procedure/ ex co-decison (since the Maastricht Treaty): Council and EP on equal footing (QMV in Council + majority in the European Parliament), consultation of ESC; - The SPs are adopted through a special legislative procedure detailed rules for FPs implementation, duration and means (budget) - mere consultation of the European Parliament and ESC; NEW: a single SP for H2020 4

5 s brought by the Lisbon Treaty (1) - For the first time: promotion of scientific and technological advance becomes an objective of the Treaty (Article 3.3 TEU), not support to other objectives (TEC) NEW legal bases: a far-reaching legal basis for ERA (Art 179 TFEU) in relation to the Union objective of strengthening its scientific and technological bases; - key features: free movement of researchers, scientific knowledge and technology, removal of legal and fiscal barriers; - measures necessary to implement ERA are adopted trough ordinary legislative procedure (Article TFEU); + Commission role in coordinating mutual consistency EU-MS Research and policies (Article 181 TFEU): legal basis for Joint Programming Initiatives. A legal basis for a European space policy (Art 189 TFEU) 5

6 s brought by the Lisbon Treaty (2) NEW: legal basis for sharing competences EU-MS in the research area : «Union has competence BUT in so far its exercise does not prevent MS to exercise theirs» (Article 4.3 TFEU) (so called «parallel competences»). very important when adopting legally binding acts: some limitation for the EU action; - the same approach: development cooperation and humanitarian aid (Article 4.4 TFEU);! Difference: in other cases of shared competence MS act only in so far as the Union has not exercised / stopped exercising its competences (Article 4.2 TFEU) = «occupying the field» approach. 6

7 s brought by the Lisbon Treaty (3) The new comitology regime - delegated acts (Art 290 TFEU) non legislative acts to supplement or amend non-essential aspects of the legislative act (e.g. delegated acts adopting derogations to RfP for JTI JUs); - implementing acts (Art 291 TFEU + Regulation 182/2011) for uniform implementation of legally binding acts (e.g. the Work Programme for H2020); NEW: under H2020 only one Programme Committee with different configurations; The programme committee will continue to provide a formal opinion on the adoption of work programmes (except for JRC and ERC when opinion is only needed if the Commission deviates from the text prepared by the ERC Scientific Council). Euratom Euratom Community was not replaced by EU; some parts of TEU and TFEU will apply to Euratom (Article 106 a Euratom Treaty). ITER amended Council decision for participation of Euratom in F4E JU (Art 47 Euratom Tr) 7

8 Other important Treaty provisions (1) - The EU can participate in R&D joint programmes undertaken by several Member States (Article 185 initiatives), incl. their structures - 5 Article 185 initiatives under FP7 ( Council +EP decisions, ordinary legslative procedure) : EDCTP, AAL, Eurostars, EMRP, BONUS initatives renewed under H2020 adopted in May 2014 as part of IIP: EDCTP 2, EMPIR, AAL 2 and Eurostars 2 - The EU may set up joint undertakings for the efficient execution of the Union RTD programmes (Article 187 TFEU) legal basis for the 5 Joint Technology Initiatives (JTIs JUs) under FP7 : ARTEMIS, ENIAC, Clean Sky, IMI, FCH. - adopted by the Council Regulations after consulting the EP and the ESC; - JTIs renewed under H2020 (Clean Sky 2, IMI 2, FCH 2, ECSEL) + SESAR JU as part of IIP + new Shift 2 Rail NEW: H2020 Rules for participation apply to these initiatives unless specific duly justified derogations 8

9 Other important Treaty provisions (2) - Cooperation with third countries and international organisations in the implementation of the FP (Article 186 TFEU) general provision - details of such cooperation may be regulated in international agreements Important: association agreements to H also with Serbia! Also important: except common foreign and security policy (CFSP) issues, the Commisison ensures the external representation of the Union (Article 17.1 TEU) - negotiation of legally binding agreements requires authorisation from the Council (Council decision) + unanimity vote for adoption Article 218 TFEU - non-binding instruments Council approval not needed; a Commission decision or CIS 9

10 Horizon the choice of the legal instruments 1. - Reminder: as general rule every proposal should be based on a Treaty provision; - Both legislative proposals for Horizon 2020 FP (Art 182.1TFEU) and its Rules for participation and dissemination (Art 183 TFEU) are Regulations (and not Decisions) in order to : ensure coherence between legislative instruments adopting financial programmes implementing the MFF (ERASMUS,Creative Europe, COSME, Health for Growth are all Regulations); confer rights and obligations to individuals, are generally and directly applicable and binding in all elements legal certainty (financial management, audits etc.); the legislative procedure (ordinary legislative procedure) remains the same irrespective of the type of instrument used BUT the Specific Programme (Art TFEU) is adopted through a Decision because it is not meant to confer rights and obligations to individuals and has a programmatic content. 10

11 A glance on the Commission's proposal ETC EU Financial Regulation Under Horizon NOVELTY: a single set of Rules for participation Covering all research programmes and funding bodies (art.185 initiatives, art. 187 initiatives, CIP, EIT) but flexible to accommodate specificities where needed derogations possible if justified In accordance with the new Financial Regulation and its Rules for Application Also applicable to Euratom. 11

12 H2020 and associated countries Serbia: already associated to FP7, also to H2020 (Art 7 Regulation 1291/2013) General rule: Legal entities from AC can participate under the same conditions as legal entities from MS, subject to specific terms and conditions in the Agreement. Conditions for participation (Art 9.1 Regulation 1290/2013): three legal entities, independent of each other, established in a different MS or AC Eligibility for funding (Art 10.1 a): YES, automatic for AC 12

13 Useful references All info needed : on H2020 Participant Portal /funding/index.html - H2020 reference documents: /funding/reference_docs.html - Specific on AC: rants_manual/hi/3cpart/h2020-hi-list-ac_en.pdf 13

14 Thank you very much for your attention! 14