Explanatory Memorandum to COM(2013)497 - Participation of the Union in a European Metrology Programme for Innovation and Research jointly undertaken by several Member States - Main contents
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| dossier | COM(2013)497 - Participation of the Union in a European Metrology Programme for Innovation and Research jointly undertaken by several ... |
|---|---|
| source | COM(2013)497  |
| date | 10-07-2013 |
This proposal concerns the participation by the European Union in the European Metrology Programme for Innovation and Research (EMPIR) undertaken by several Member States.
In line with the Europe 2020 strategy, the Innovation Union flagship initiative and the European Research Area and Horizon 2020, the overarching goal of this initiative is to address the challenges faced by the European Metrology Research System and to maximise the benefits of improved measurement solutions for Europe. The overall objectives of EMPIR are to:
· Provide integrated and fit-for-purpose metrology solutions supporting innovation and industrial competitiveness and measurement technologies to tackle societal challenges such as health, environment and energy including support to policy development and implementation;
· Create an integrated European Metrology Research system with critical mass and active engagement at regional, national, European and international level.
Metrology, the science of measurement, is the central nerve in the spine of our high-tech world. Every aspect of our daily lives is affected by metrology and ever more precise and reliable measurements are essential to drive innovation and economic growth within our knowledge-based economy. What we cannot measure, we do not understand properly, and cannot control, manufacture or process reliably. Thus, advances in metrology have a profound impact on our understanding of and ability to shape the world around us.
Reliable and traceable measurement allows the wider scientific community to build better instruments and do better science. It opens up new territory for industry, creating space and opportunity to innovate. It crucially underpins and advances understanding and agreement in global challenges such as energy, health care and climate change.
All governments in technologically advanced countries support a metrology infrastructure because of the benefits it brings and its strong character as a public good that justifies public intervention. Major economic powers in the world are increasing their investment in metrology research and related infrastructures. Given the level of investment in metrology and its role in promoting scientific excellence and industrial competitiveness, individual Member States or a few acting together could not compete globally.
The current European metrology research programme (EMRP) is a joint initiative implemented by 22 national metrology institutes. It is based on Article 185 of the Treaty on the Functioning of the European Union (TFEU), which, in implementing the multiannual Framework Programme, makes it possible to coordinate national research programmes. The interim evaluation has recognised the value of the initiative. The main achievement of EMRP is strong integration by jointly programming 50 % of dedicated national funding for metrology research in Europe. It has reduced fragmentation, avoided unnecessary duplication and helped achieve critical mass by concentrating resources on key areas through close collaboration with the best researchers. EMRP projects deliver European measurement solutions for major societal challenges and provide common European inputs into standards and regulations.
Although substantial progress has been achieved under the EMRP, it has become evident that the system needs to tackle several challenges in order to increase the impact of metrology research on growth and on solving socio-economic challenges.
EMPIR, the successor programme, will contribute to a number of flagship initiatives under EUROPE 2020 that are affected by metrology research, including ‘Innovation Union’, ‘A digital agenda for Europe’, ‘Resource-efficient Europe’ and ‘An industrial policy for the globalisation era’. It will do this by developing innovative solutions for the management of natural resources, by supporting the standardisation process that enables global trade opportunities for new products and services and by allowing the efficient testing of communication satellites, for example. EMPIR will strongly contribute to achieving the objectives of Horizon 2020 by supporting topics of direct relevance for a number of Horizon 2020 priorities.
Contents
- RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND IMPACT ASSESSMENTS
- LEGAL ELEMENTS OF THE PROPOSAL
- BUDGETARY IMPLICATION
- 1.1 Objectives of the proposal
- 1.2 Grounds for the proposal
- 2.1 Consultation on the future of the European Metrology Research Programme
- 2.2 The policy options
- 2.3 Results of the impact assessment
- 3.1 Legal basis
- 3.2 Subsidiarity principle
- 3.3 Proportionality principle
- 3.4 Choice of the instrument
- 3.5 Derogations from the rules for participation
- 5. OPTIONAL ELEMENTS
- 5.1 Simplification
- 5.2 Review/revision/sunset clause
- 5.3 European Economic Area
The Commission has carried out extensive consultations on a future European Metrology Research Programme. 624 respondents reacted to the online public consultation carried out in 2012. They expressed their views on the relevance of metrology research, identified problems the European Metrology Research system is facing and assessed a number of policy options. 72 % of responses came from organisations and 28 % from individuals. The main contributions from organisations were received from research organisations (32 %) and businesses (16 %, of which 69 % SMEs). The consultation highlighted a number of problems, including insufficient industrial exploitation, the lack of cooperation of National Metrology Institutes (NMIs) with the wider science base, huge capacity gaps between EU Member States, insufficient mobility of researchers within the NMIs and the lack of engagement with European standardisation.
An expert panel carried out an interim evaluation of the EMRP after three years of running of the programme. The Commission adopted its report in April 2012. The interim evaluation recognised the value of the initiative and indicated considerable progress on coordination of research. The Panel shared the view that ‘EMRP is a well-managed joint European research programme that has already achieved a relatively high level of scientific, management and financial integration after only two years of implementation.’ and that ‘EMRP has certainly been successful in creating a Metrology ERA (European Research Area)’.
The interim evaluation was more critical of the lack of progress on opening the system to the best science and capacity building structures. It suggested introducing dedicated instruments to support innovation and regulatory/standardisation roadmaps in any future initiative to increase the socio-economic impacts of metrology research.
The Commission also consulted its services through the Impact Assessment Steering Group meetings in 2012, which contributed to the plan and roadmap for the preparation of the impact assessment report, in particular the problem statement and the relevance of the EMPIR to other Directorate Generals of the European Commission.
The final version of the impact assessment report included the following options:
Under Option 1 (‘No dedicated EU action’), EU participation in the EMRP would be discontinued after the end of its current funding phase in 2013. No dedicated provision would be made in EU research policies, programmes or funding to support EMRP objectives. Access to EU funding would be limited to competition for ad-hoc project funding through Horizon 2020 for topics that include aspects of metrology.
Option 2 (‘Business as usual — EMRP2’) would continue with an identical initiative focused entirely on coordination and integration of fundamental and challenge driven research. This would include some calls on topics relevant to the industry.
Option 3 (‘Improved Article 185 initiative — EMPIR’ would build on the success of the EMRP by implementing a more ambitious and inclusive Article 185 initiative that is aligned with the Europe 2020 objectives. The scope of the programme would be broadened by including dedicated modules on industrial research and exploitation, on support for standardisation and on capacity building. Due to the change of scope, the name of the programme would change from ‘European Metrology Research programme’ to European Metrology Programme for Research and Innovation’. This option would also involve the stakeholders more and also directly involve the broader research community. The level of EU financing from Horizon 2020 would increase compared to FP7 due to the resources needed to compensate for the increased scope and the increased duration of the programme. The number of participating states would increase from 22 to [28].
The impact assessment report concluded that Option 3 is clearly the preferred option, considering its effectiveness in achieving the objectives, efficiency and consistency across all criteria. This is fully supported by the results of the public consultation (93 % of responses rate the option ‘very suitable’ or ‘appropriate’). The option will build on the previous achievements of EMRP by continuing the current activities while integrating additional activities right from the start to address the problems that could not be addressed under the setup of the current initiative. In February 2013, the Impact Assessment Board reviewed and approved the report. In its opinion it requested improvements of the impact assessment report, which have been taken into account. In particular, the report now better explains the specific problems, the underlying drivers and the relation between objectives and targets. The description of the new programme compared to the current initiative was improved in order to better clarify how the new programme will tackle the identified weaknesses.
The proposal for EMPIR is based on Article 185 of the TFEU, concerning the participation of the European Union in research and development programmes undertaken by several Member States, including participation in the structures created for the execution of those programmes.
The subsidiarity principle applies as the proposal does not fall under the exclusive competence of the European Union. Subsidiarity is safeguarded by basing the proposal on Article 185 of the TFEU, which explicitly provides for the participation of the Union in research programmes undertaken by several Member States.
The objectives of the proposal cannot be sufficiently achieved by the Member States alone as the scale and complexity of metrology requirements require investments that go beyond the core research budgets of the European NMIs. The excellence required for research and development of cutting-edge metrology solutions is spread across national borders and hence cannot be brought together at national level only. Without a consistent approach at European level with critical mass, there is a high risk of duplication of efforts, with the consequence of increased costs.
The added-value of public intervention at EU level lies in the EU’s capacity to bring together compartmentalised national research programmes, help design common research and funding strategies across national borders, and achieve a critical mass of actors and investments required to tackle the challenges the metrology research system faces, while raising the efficiency of public spending. The EU is expected to contribute 50 % of total funding.
Art. 185 of the TFEU invites the Union 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”. Member States are the driving force of the initiative.
The proposal complies with the proportionality principle as Member States will be responsible for developing their joint programme and all operational aspects. The dedicated implementation structure EURAMET e.V. has already demonstrated for the current initiative EMRP that it can implement the programme efficiently and effectively. The Union will provide incentives for improved coordination, ensure synergies with and contribution to EU policies and to the priorities of Horizon 2020, monitor implementation of the programme and ensure the protection of the EU’s financial interests.
The proposed initiative EMPIR will be based on Article 185 of the TFEU. The conclusions of the interim evaluation and an analysis of the options in the impact assessment have demonstrated that Article 185 is the most appropriate means for achieving the objectives of EMPIR.
In EMPIR, funding contributed by participating states mainly represents resources allocated as direct expenditure in the selected projects via institutional funding of the National Metrology Institutes (NMI) and Designated Institutes (DI) participating in the projects. Institutional funding of the NMI and DI covers the share of their overheads allocated to the projects (indirect costs of the projects) and not reimbursed in EMPIR.
The EU contribution for NMI and DI must match the contribution made by the participating states, taking into account not only the institutional funding as described above, but also the cash contribution of participating states to the administrative costs (up to EUR 30 million) and the proportion of Union funding allocated to other entities (about EUR 90 million). It is therefore expected that the EU contribution for NMI and DI will be EUR 210 million (43,75%) and the contribution from participating states to NMI and DI will be EUR 270 million (56,25%).
Compliance with the matching principle will be ensured by adapting the EU contribution and setting a lower flat rate for the EU financing of indirect costs for NMI and DI compared to that set by the Horizon 2020 Rules for Participation. Considering that data from NMI and DI participating in EMRP projects on the basis of full indirect costs show that their indirect eligible costs amount to 140% of the direct eligible costs of the projects in accordance with FP7 rules for participation, NMIs and DIs will declare indirect eligible costs on the basis of a flat rate of 5% of their direct eligible costs. Other legal entities participating in the projects will be funded according to Horizon 2020 Rules for Participation.
This entails derogation from Article 24 for NMI and DI.
The proposal provides safeguards to ensure that the principles of equal treatment and transparency are respected by the dedicated implementation structure when providing financial support to third parties, and the EU’s financial interests are protected. It also provides for detailed provisions to this effect in an agreement to be concluded by the Union and the dedicated implementation structure.
The Legislative Financial Statement presented with this decision sets out the indicative budgetary implications. The maximum Union’s financial contribution, including EFTA appropriations, to EMPIR shall be EUR 300 million in current prices for the duration of the Horizon 2020 Framework Programme. The contributions will be made from the following challenges and themes:
· Leadership in nanotechnologies, advanced materials, biotechnology and advanced manufacturing and processing (EUR 52,5 million)
· Leadership in information and communications technology (EUR 37,5 million)
· Improving lifelong health and wellbeing (EUR 60 million)
· Improving food security, developing sustainable agriculture, marine and maritime research and the bio-economy (EUR 15 million)
· Making the transition to a reliable, sustainable and competitive energy system (EUR 60 million)
· Achieving a European transport system that is resource-efficient, environmentally friendly, safe and seamless (EUR 22,5 million)
· Achieving a resource-efficient and climate change resilient economy and a sustainable supply of raw materials (EUR 52,5 million)
The provisions of the Decision and of the delegation agreement to be concluded between the Commission and the dedicated implementation structure must ensure that the EU financial interests are protected.
The proposal will simplify the administrative procedures for public authorities and bodies (EU or national) and for private parties.
The EU will deal directly with the dedicated implementation structure of EMPIR, which will be in charge of allocating, monitoring and reporting on the use of the EU’s contribution.
The proposal includes a review clause for an interim review not later than 2018.
The proposed act concerns an EEA matter and should therefore extend to the European Economic Area.