143
6. Partners Integration
Level of commitment of the Participating States to integration at scientific, management and financial
level.
144
Integration towards countries/actors that are not part of the initiative:
other countries and other Ministeries
PRIMA initiative has been conceived and will be implemented under a participatory and open approach,
based on the awareness that the involvement of non-research actors and the promotion of citizen-research-
policy dialogue is crucial for the success of an ambitious multilateral programme.
Several PRIMA Participating States have clearly supported the participation of non research actors in previous
and ongoing joint programming initiatives (e.g. ERANETMED, where the proposals addressing cross-cutting
issues like gender, governance were given a highest score for impact) and are willing to do so in the upcoming
joint calls.
Therefore PRIMA support for R&I activities will be very attentive to ensure a strong impact on the civil society
and vulnerable communities, whose well being is posed at risk by the overexploitation or misuse of resourced
like water and food. Furthermore, during its implementation PRIMA will keep a high degree of openness
towards the inclusion of actors of non Participating States in the implementation of joint activities as well as
the inclusion of the authorities of other States willing to contribute to PRIMA challenges such as Turkey.
Romania, Germany, Slovenia, Algeria.
Confirmation of the Choice on the legal framework
As a preamble to the discussion on legal aspects, PRIMA Participating States wish to point out the special
character of the PRIMA Programme as a long-term institutionalised science diplomacy initiative under art.185
TFEU. In the proposal submitted in December 2014, PRIMA Participating States already highlighted that the
Programme is based on the principles of co-ownership, mutual interest and shared benefits with the same
rights and obligations for all members of the consortium. In order to guarantee the respect of such principles,
in particular co-ownership and same rights and obligations in the governance and implementation of PRIMA,
a certain degree of compromise is required as to the definition of the governance of the Programme, in
particular the choiceof the DIS. In particular, strong differences between EU and Non EU Participating States
with reference to the management of RDI funds and projects had to be reconcilied.
Therefore, as stated in PRIMA Programme Proposal (p. 80), the PRIMA Participating States have debated
various possibilities for the establishment of the Dedicated Implementation Structure (DIS). Fully aware of
the fact that other existing initiatives under art.185 TFEU have created ad hoc non-profit associations
according to different national laws, they have duly taken into consideration such a possibility. Nonetheless,
they have decided for a different route. This is due specifically to political and legal constraints existing in
Non-EU Participating States, not able to devolve national contributions to a foreign private law entity. In
order to overcome said constraints the choice was made to look at existing inter-governmental organizations
capable of hosting PRIMA DIS. In particular, the Secretariat of the Union for the Mediterranean (UfM
Secretariat), an international organization promoting regional cooperation and integration between both
rims of the Mediterranean, has been considered as the most suitable choice for it. Indeed, both its
geographical and thematic scope are fully compatible with the scope of the PRIMA programme : all PRIMA
Participating States are members of the UfM Secretariat, and the UfM Secretariat aims at promoting
cooperation and dialogue in the Euro-Mediterranean area, among other in the fields of research, water and
145
environment.. Moreover the UfM functioning includes the same methodology and principles of PRIMA,
notably co-ownership (co-decision and co-financing of projects between countries from the North and the
South of the Mediterranean).
The UfM Secretariat has expressed its strong interest and availability to host the PRIMA DIS in two different
Senior Officials Meetings (SOM) where all UfM Member States are represented (Naples, 28th October 2014
and Brussels, 16th February 2016). In fact, during the last SOM, representatives of the 43 UfM Member States
have confirm their choice to encourage the UfM Secretariat to work with PRIMA Participating States in order
to define modalities and legal framework for the establishment of PRIMA DIS hosted by the UfM Secretariat.
Questions were addressed to the PRIMA Consortium as to the suitability of UfM Secretariat as hosting
institution for the DIS, specifically concerning the legal status of UfM as an international organization. As to
these questions we would like to point out that the Union for the Mediterranean was created by means of
an intergovernmental agreement dated July 13, 2008, in a Declaration adopted by its members during the
Paris Summit for the Mediterranean (see Annex ---). Following such a Declaration, a Final Statement of
Foreign Affairs Ministerial (Marseille, 4 November 2008), the Euro-Mediterranean Foreign Affairs Ministers
agreed that “The statute of the Secretariat will be adopted by Senior Officials (on the basis of a proposal to
be prepared by a drafting group of experts to be established for this purpose) before the end of February
2009, taking into account the legal system of the country in which the Secretariat will be established.” (see
Annex ---) The Statutes of the Secretariat were drawn up and adopted by the Senior Officials of the UfM
Member States on 3rd March 2010 (see Annex ---). It has to be noted that the establishment of an
international organization does not require necessarily a treaty but an international act having the legal
binding force of a treaty, at it is clearly demonstrated by the definition adopted by the International Law
Commission (ILC) according to which an international organization is “an organization established by a treaty
or other instrument governed by international law and possessing its own international legal personality.…”.
It is worth noting that international law recognizes the existence of so call “agreements in simplified form”,
meaning international agreements which have been signed by governmental representatives without been
followed by ratification process, to which States recognize binding force. Such binding force is implied also
looking at the approach followed by member states to the organization of the Secretariat and the
Headquarters agreement adopted with Spain (see Annex--). With this regard, article 1 of the referred
agreement states that “Spain recognizes the full legal capacity of the Secretariat of the Union for the
Mediterranean to contract, purchase or transfer movable and immovable property, to receive and disburse
public and private funds, and to institute legal proceedings and/or to do whatever is necessary to fulfil its
functions and objectives”.
PRIMA Participating States consider UfM as an international organization, the same holds true for the
General Assembly of the United Nations, to which UfM has been granted Observer status on December 2015
(see Annex --).
We would also like to point out that the UfM Secretariat maintains transparent procedures and correct
circulation of information concerning all activities carried out. Thus, financial control and audit mechanisms
are ensured in full compliance with the principles of good financial management and in accordance with
internationally recognized standards as per its Statutes.
In addition, the UfM Secretariat follows the rules and procedures laid down in the Financial Regulation
applicable to the general budget of the European Union and the ENPI Regulation in accordance with section
VIII.1 of its Statutes. Thereofre the UfM Secretariat receives EU funds to cover operational costs.
Article 5 of the Headquarters’ Agreement foresees the waiver of immunity (i.e. Operating Grants signed with
the EC; inter alia Grant Agreement number ENI 2015/359-702 or ENI 2014 /342-550).
Legal form of DIS: PRIMA DIS will be an autonomous entity hosted under the legal framework of the UfM
Secretariat. In this respect, the DIS shall not affect UfM Secretariat set up and existing activities.
In order to guarantee the autonomous character of PRIMA DIS, which is a crucial element for all art.185
initiatives the decision making process, rules of procedure, voting rules, and other aspects of governance as
well as signing of contracts, management of funds, bank accounts, book keeping, recruitment of personnel,
etc. will be defined by PRIMA Participating States. In particular the General Assembly of PRIMA Participating
States will enjoy supreme decision making.
146
As at today there still on-going discussions between UfM Secretariat and PRIMA Participating States as to
how to regulate in detail the relationship between the Secretariat and PRIMA DIS.
Presently two options are being discussed and need further exploring and clarification.
In the first option PRIMA DIS will be an independent Unit within the existing structure of UfM Secretariat.
UfM Secretariat will be the legal representative of PRIMA DIS. PRIMA Participating States and UFM will enter
into a new international agreement which will make express reference to PRIMA Governance and to the
complete independence of the Unit from UfM Secretariat daily management. The same agreement will make
reference to the Rules of Procedure of the DIS. PRIMA DIS personnel will be recruited following its own
procedure. The same objective independence could also be obtained by PRIMA DIS being established by an
act of UfM Secretariat and PRIMA Participating States creating an independent sub entity of the UFM
Secretariat which will solely manage PRIMA Programme. The establishment of such an independent sub
delegated entity will possibly need a new Protocol to be added to the existing Headquarters agreement
between UfM and Spain, which will confer legal personality to the DIS.
In the second option PRIMA DIS will be an independent legal entity which will be hosted in the premises of
UfM Secretariat and will enjoy a special cooperation agreement with the Secretariat.
The choice of the most suitable option will be taken in the next PRIMA Participating States General Assembly
which will took place at the beginning of April 2016. Meanwhile consultations with UfM Secretariat are
continuously taking place. Although we have taken good note that no-one can prejudge the results of the
Impact Assessment, guidance and advice from the European Commission regarding the implications of the
two options, in particular as far as its delegation agreement for the management of EU funds is concerned,
would be most appreciated.
In both the above mentioned options PRIMA participating States are discussing the structure of PRIMA
Governance with a clear aim at guaranteeing the full independence of the DIS from UfM Secretariat as far as
the decision making of PRIMA Programme and its management its management are concerned.
In the discussed preliminary scheme PRIMA Governance is as follows:
a)
PRIMA General Assembly: The General Assembly shall be the decision-making body of the PRIMA
Joint Programme. All Participating Member States, equal ownership between EU, Associated Countries to
Horizon 2020 and Non EU Countries. It vote on the basis of one country one vote rule UfM Secretariat and
EC will have the status of Observer. The General Assembly will take decisions, among others, in particular on:
1) Policy and budget
2) Adoption of annual work plan and budget
3) Election of Chair, Co- Chair and Board
4) Monitoring of the implementation of the Programme
5) Approval of objectives and strategy;
b)
PRIMA Chair and Co-Chair (EU and Non EU Participating states): acting as legal representatives of the
DIS.
c)
PRIMA Executive Board: appointed by the General Assembly, is formed by a selected number of
Participating States and the Chair and Co-Chair, takes decision in all question related to the administration
of the Programme, in particular, among others, those referring to:
1) the drafting of the budget each year
2) all contracting of the Programme;
3) the annual scientific work plan upon advice from the Scientific Advisory Board
4) preparation and launching of the Programme calls;
5) development and updating of the Programme;
6) prepare and decide on funding conditions for the execution of the Programme including the
criteria for the selection of evaluators.
By common agreement between the PRIMA DIS General Assembly and the UfMS, a representative of the
PRIMA Executive Board could participate in the meetings of the UfMS internal bodies and a representative
of the UfMS could participate in the meetings of the PRIMA Executive Board, both in their capacity of
observers.
147
d)
PRIMA Scientific Advisory Board: composed of experts in the scientific fields of the PRIMA
programme, coming both from the public and the private sector and covering the whole chain from
exploratory research to end-users, will give strategic advice in matters of the PRIMA Programme and will be
consulted about the decision making process for the implementation of the Programme It will provide
recommendations for priorities and topics to be addressed in the calls for proposals and other actions of the
PRIMA annual work plans.
e)
PRIMA Secretariat will be the Operational Management Unit as PRIMA DIS shall be responsible for
the central management of the PRIMA Joint Programme. The staff will be hired according to the national
law applicable for DIS. Staff will be recruited according to principles of transparency and expertise.
Participating States can second personnel to PRIMA Secretariat as means of in kind contribution to the
Programme.
Clarification of implementation modalities
The PRIMA Executive Board through PRIMA Secretariat shall manage the Union’s financial contribution to
the Programme and shall be responsible for preparing and implementing the annual work plans, the
organization of calls for proposals, the handling of proposal evaluation and ranking of the projects,
monitoring of the implementation of the PRIMA, and any other activities resulting from the annual work
plans. The Executive Board, through the Secretariat shall be responsible for grant management including
signature of grant agreements, the receipt, allocation and monitoring of the use of the Union’s financial
contribution and payments to participants in the selected projects. The Programme will thus have central
and integrated management as to calls, evaluations, eligibility of costs criteria. Comprehensive use of H2020
Rules for participation is foreseen. National contributions allocated to each research project will be directly
paid by the competent national bodies. This choice has been made in order to accommodate in particular
the requests of Non EU Participating States not able to have national funds crossing borders and being
managed by foreign legal entities.
Confirmation of compliance with H2020 Rules of Participation and
Derogation
The Participating Member States confirm that the management of the Programme will be in line with the
objectives and research and innovation priorities of Horizon 2020 and with the general principles and
conditions laid down in H2020 Rules of Participation. Model Grant Agreements based on H2020 MGA will be
used within PRIMA Programme.
Participation to the Programme and its governance is open to all EU Members, Associated countries to
Horizon 2020 and Mediterranean Partner Countries who have expressed long-term indicative financial
commitments to the PRIMA Programme. After the PRIMA decision is adopted the participation of new
member States will be agreed upon by PRIMA General Assembly on a case by case basis (qualified majority
vote).
Participation to the calls for proposals of research teams is open to any eligible legal entity. However, in
order to avoid the well-know phenomenon of “free riders” which could dissuade countries to fulfill their
financial commitments, it is proposed to make one sole derogation to H2020 Rules of Participation by
reserving the EU contribution to the co-funding of entities affiliated in PRIMA Participating States. This could
also contribute to reduce the oversubscription which is already being observed in the two ongoing cofund
actions related to PRIMA (ARIM-Net and ERA-Net MED).
To sum up, PRIMA governance will be reserved to members of the PRIMA consortium while PRIMA projects
will be open to all entities affiliated in other countries provided that they bring their own funding.
148
In case some researchers in a highly-ranked project cannot be funded by their State of affiliation, PRIMA
Participating States will set aside part of the EU contribution as a reserve fund as described at pages 88 and
89 of the Proposal. The use of this “reserve fund” cannot exceed 20% of a given national contribution.
149
7. Financial Commitment
Additional info/confirmation of cash/in-kind from Participating Countries
150
Additional info/confirmation of cash/in-kind from Participating Countries
Since the submission of PRIMA Proposal, PRIMA Consortium has received five new Commitment Letters by
Egypt, Tunisia, Cyprus, Israel and Lebanon (see Annexes). Confirmation of the Letters of commitment have
been received from Greece (see Annex). PRIMA Participating States have also received expressions of interest
by other States such as Germany, Slovenia, Turkey. Germany and Turkey are in fact participating as partners
to PRIMA CSA. For instance, a positive signal towards the “science diplomacy” characteristic of PRIMA” is to
be found in the fact that Greece and Turkey accepted to be work packages co-leaders in the PRIMA CSA.
Further enlargement of the PRIMA Consortium is a continuous process, and PRIMA Participating States hope
to receive further confirmation of commitments from further countries before the PRIMA decision is
adopted. Nonetheless PRIMA Participating States would appreciate for the EC to include in its proposal of
the Basic Act some degree of flexibility in order to maintain the possibility to increase EU contribution should
national contributions to PRIMA Programme increase after the Basic Act is adopted.
Moreover, PRIMA Participating States will contribute in-kind to the realization of the Programme. In
particular in-kind contributions will cover part of administrative costs through the secondment of national
personnel to the DIS.
In-kind contribution will also cover operational costs in the various research projects which will receive funds
through PRIMA Programme calls, with reference by way of example to the salaries of the researchers
involved, the use of scientific equipment and infrastructures. It is not possible to quantify ex-ante the amount
of such in-kind contributions. However, they will be regularly reported ex-post by each Participating State.
As of today, the budget allocation of the PRIMA programme is foreseen to be balanced between the three
pillars of the programme, but PRIMA Participating States would be open to make adjustments in a
partnership approach with the European Commission, following its definition of the 2018-2020 priorities for
Horizon 2020.
Dostları ilə paylaş: |