Annexes to COM(2009)610 - Participation by the EC in a Joint Baltic Sea Research and Development Programme (BONUS-169) undertaken by several Member States SEC(2009)1476 SEC(2009)1475

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dossier COM(2009)610 - Participation by the EC in a Joint Baltic Sea Research and Development Programme (BONUS-169) undertaken by several Member ...
document COM(2009)610 EN
date October  3, 2010
ANNEX I

OBJECTIVES AND IMPLEMENTATION OF BONUS

1. Objectives of BONUS

BONUS 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 which 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 focused multi-national programme.

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

In order to achieve those 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 focused multi-national programme in support of the region’s sustainable development. To this end BONUS shall:

(a)establish a policy-driven Strategic Research Agenda;

(b)increase sustainable cross-border and cross-sectoral public research programme coordination and integration;

(c)raise the research capacity of the new Baltic Member States of the Union;

(d)establish appropriate Stakeholder Consultation Platforms including representation from all relevant sectors;

(e)mobilise additional financial resources from enhanced cross-sectoral Baltic Sea System research collaboration;

(f)establish appropriate implementation modalities enabling an effective implementation of BONUS through a joint management legal entity and governance structure;

(g)launch cross-thematic, strategically focused 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 BONUS to ensure that an optimal integration of Baltic Sea System research can be achieved. It shall seek to strengthen the involvement of stakeholders and user groups to 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

BONUS EEIG shall send to the Commission the deliverables set out in the following paragraphs no later than 15 months from the start of the strategic phase.

The Commission shall provide advice and assistance at the request of BONUS EEIG during the preparation of those deliverables. BONUS EEIG shall report on the progress at the 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-wide 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 Baltic Sea System research, provide a clear strategic vision and roadmap of 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 relevant BONUS stakeholders at the local, national, regional, and European levels, Stakeholder Consultation Platforms and mechanisms shall be established with the aim of 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 by 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 BONUS and be responsible for discussing its planning, outcomes and emerging research needs from the decision-making perspective. The 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.

2.2.3.   The Implementation Modalities

The Implementation Modalities shall include all aspects of securing 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:

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

(b)obtaining formal commitments from Participating States amounting to at least EUR 48,75 million, out of which a maximum of 25 % may be in the form of an in-kind infrastructure contribution;

(c)providing a realistic and evidence-based estimate of the value of the in-kind infrastructure contribution of Participating States;

(d)compiling an exhaustive list of all infrastructures, including contacts for their owners, operators or other responsible authorities, and publishing it and updating it whenever necessary;

(e)ensuring that common implementation modalities are agreed and in place for the grant agreements with BONUS beneficiaries to be concluded centrally by 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;

(f)developing an appropriate governance structure for the management of BONUS in all phases of the project lifecycle;

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

(h)developing a financing structure for funding BONUS projects;

(i)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 providing to BONUS 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, 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;

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

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

2.2.4.   Union Funding of the Strategic Phase

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

3. Implementation Phase

Provided that the conditions as referred to in Article 3(3)(a) are in place and the ex-ante audit of BONUS EEIG is positive, the Commission and BONUS EEIG shall conclude the Implementation Agreement.

3.1.   Objectives

During the implementation phase joint calls for proposals shall be published and carried out with a view to funding strategically targeted BONUS projects addressing the objectives of BONUS. The topics shall be taken from from BONUS Strategic Research Agenda, respect as far as possible the established roadmap and cover research, technological development and training and/or dissemination activities.

3.2.   Implementation of BONUS Projects

BONUS projects 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 Participating States.

Legal entities from Member States and associated countries may receive BONUS funding. Any consortium submitting a proposal for a BONUS project may include participants from a third country provided that it can realistically ensure that it has the necessary resources to fully cover the costs for its participation.

Each call for proposals shall clearly indicate the scientific topics. Those topics shall be identified by 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 projects and of the wide stakeholder consultations undertaken during the strategic phase and throughout BONUS.

BONUS EEIG shall publish the calls for proposals as widely as possible, using specific information support, particularly Internet sites on the Seventh Framework Programme and address all relevant stakeholders through the specialised press and brochures. The calls for proposals shall remain open for at least 3 months. Proposed projects shall be submitted centrally to BONUS EEIG by the applicants in response to the calls and in a single-stage evaluation procedure.

Proposed projects shall be evaluated and selected centrally on the basis of an independent review in the light of defined eligibility and selection and award criteria. The core evaluation criteria shall be scientific excellence, the quality of the implementation and the expected impact of the project. The calls for proposals shall embody 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.

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 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 them 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.

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 funds.

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

3.3.   Further Activities

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

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

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

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

(d)securing funding by the Participating States that would ensure sustainability of BONUS without Union funding in the post BONUS period;

(e)increased collaboration between the regional environmental research programmes and the relevant science communities in the other European sea basins;

(f)communication and dissemination activities;

(g)BONUS EEIG shall proactively engage in the sharing of best practices with the other European regional sea basins, as well as good articulation at the European level to secure harmonisation and streamlining.

3.4.   Contributions during the Implementation Phase

The implementation phase of BONUS shall be co-funded by the Participating States and the Union over a minimum period of 5 years until the full lifecycle of all BONUS-funded projects has ended, provided that commitments from the Union are met up to 2013 and all obligations to report to the Commission are fulfilled. The Union financial contribution during the implementation phase shall match the cash and in-kind infrastructure contributions of the Participating States to BONUS projects made through BONUS EEIG as well as the running costs incurred by BONUS EEIG in the implementation phase. These running costs may not exceed EUR 5 million.

BONUS EEIG shall be the recipient and administrator of the Union financial contribution. A Participating State may decide to administer its own national funding and to devote its cash contribution exclusively to domestic research that is selected at central level or to have its cash contribution administered centrally by BONUS EEIG.

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

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

3.5.   Funding of BONUS Projects

Subject to Article 3(3)(f), funding of BONUS 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 BONUS EEIG in the Implementation Modalities and agreed by the Commission in the Implementation Agreement.


ANNEX II

GOVERNANCE OF BONUS

BONUS shall be managed by BONUS EEIG through its Secretariat. BONUS EEIG has established the following structures for the purposes of BONUS:

(a)Steering Committee;

(b)Secretariat;

(c)Advisory Board;

(d)Forum of Sector Research; and

(e)Forum of Project Coordinators.

(a)The Steering Committee shall be the highest authority of 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 BONUS EEIG. It shall be presided by the Chairperson, a position that shall be rotated annually between BONUS EEIG members. The previous, current and future chairpersons shall form the Executive Committee that supports the Secretariat in matters of strategic importance. Taking account of proposals by the Secretariat, the Steering Committee shall decide on the strategic orientation of BONUS, including the decisions on defining and updating BONUS, on the planning of calls 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 BONUS projects to be funded, on the monitoring of progress of the funded BONUS projects and on the supervision of the adequate and orderly work of the Secretariat in relation to BONUS.

(b)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 BONUS 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, the publication, evaluation and outcome of the calls for proposals 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 stakeholders and the Advisory Board and their subsequent integration and streamlining into the Strategic Research Agenda and the promotion of effective science-policy interfaces.

(c)The Advisory Board shall assist the Steering Committee and Secretariat. It shall be composed of scientists of high international standing, 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 those 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 BONUS, including advice on the objectives, priorities and direction of BONUS, ways of strengthening the performance of BONUS and delivery and the quality of its research outputs, capacity building, networking, and the relevance of the work to achieving the objectives of BONUS. It shall also assist in the use and dissemination of the results of BONUS.

(d)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 and emerging research needs from the decision-making perspective. It shall serve as the forum for advancing the pan-Baltic integration of research, including relevant sectorally-funded research and the use and planning of joint infrastructures.

(e)The Forum of Project Coordinators shall be composed of coordinators of projects funded through BONUS. It shall assist the Secretariat in matters dealing with the scientific coordination of BONUS and the integration and synthesis of the research results.