CYIL vol. 14 (2023)

HELENA VAN BEERSEL KREJČÍKOVÁ

CYIL 14 (2023)

Conflict of Interest in Horizon Europe On the European Union level, Horizon Europe, a framework program for research and innovation has been set up via Regulation (EU) 2021/695 establishing Horizon Europe (further referred to as Horizon Europe Regulation ), succeeding Horizon 2020. 68 According to the Horizon Europe Regulation, the evaluation process of research proposals shall be designed to avoid conflicts of interest and bias, and for experts involved in the evaluation process, the Regulation requires the same standards of prevention of conflicts of interest according to Article 61 and Article 150(5) of the Regulation (EU, Euratom) 2018/1046 on the financial rules applicable to the general budget of the Unio n (further referred to as Financial Regulation ). 69 The applicability of Article 61 and Article 150(5) of the Financial Regulation to Horizon Europe project applicants as well (i.e., Applicant Legal Entities 70 ) explicitly arises from the European Research Council’s Rules of submission and evaluation under Horizon Europe , stating that those Applicant Legal Entities who are, at the time of a grant award procedure, in one of the exclusion situations established in accordance with Article 136 of the Financial Regulation, or situations referred to in Article 141(1)(b) or (c) of the Financial Regulation 71 will be rejected. 72 Abstracting the definition brought about by Article 61(3) of the Financial Regulation from its financial context, it could be assumed that it establishes conflict of interest as a situation when the impartial and objective exercise of functions of the subjects concerned 73 is compromised for reasons involving family, emotional life, political or national affinity, economic interest or any other direct or indirect personal interest. 74 General conditions applicable to calls and topics for grants and other forms of funding under the Horizon Europe main work programs are set out in the General Annexes . 75 They 68 Regulation (EU) 2021/695 of the European Parliament and of the Council of 28 April 2021 establishing Horizon Europe – the Framework Programme for Research and Innovation, laying down its rules for participation and dissemination, and repealing Regulations (EU) No 1290/2013 and (EU) No 1291/2013. Further referred to as Horizon Europe Regulation. 69 Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (revoked). 70 The term Applicant Legal Entity refers to the host institution of the principal investigator. Principal Investigator (PI) refers to the independent researcher applying for ERC funding, with scientific responsibility for the project. If not specified otherwise, “applicants” refers to both the Principal Investigator and the Applicant Legal Entity. 71 i.e., relating, among others, to grave professional misconduct, other illegal activities, previous break of contract, conflicts of interest , misrepresentation. 72 European Research Council: Rules of submission and evaluation under Horizon Europe. Accessed August 15, 2023. https://ec.europa.eu/info/funding-tenders/opportunities/docs/2021-2027/horizon/guidance/erc-rules for-submission-and-evaluation_he-erc_en.pdf. 73 Art 61(3) of the Financial Regulation states verbatim: a conflict of interests exists where the impartial and objective exercise of the functions of a financial actor or other person, as referred to in paragraph 1, is compromised for reasons involving family, emotional life, political or national affinity, economic interest or any other direct or indirect personal interest. 74 Cf. then with the definition of conflict of interest according to Art. 12 of the General Model Grant Agreement and AGA below. 75 General Annexes. The European Commission Decision C(2022)7550 of 6 December 2022. Accessed August 15, 2023. https://ec.europa.eu/info/funding-tenders/opportunities/docs/2021-2027/horizon/wp-call/2023-2024/wp 13-general-annexes_horizon-2023-2024_en.pdf

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