eunbil · GT0N1282 · 2006-05-19 00:00:00 — THE EUROPEAN UNION , 8 2006 2005/0277 (COD) 9080/06 from : General to : Coreper No. doc. : DS 347/06 No. : 5057/06 RECH 1 CODEC 4 - COM(2006) 705 final Subject : Proposal for a Regulation of Parliament and the Council laying down the rules for participation of undertakings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007-2013) Delegations will find attached a draft text of the Regulation laying down the rules for participation in actions under the Seventh Framework Programme (2007-2013) as it results from the discussion in the Research Working Party on 5 2005. OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL Laying down the rules for the participation of undertakings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007-2013) (Text with EEA relevance) THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, Having regard to the Treaty establishing Community, and in particular Article 167 and the second paragraph of Article 172 thereof, Having regard to the proposal from the Commission , Having regard to the Opinion of Economic and , Acting in accordance with the procedure referred to in Article 251 of the Treaty , This Regulation lays down the rules for the participation of undertakings, research centres and universities and other legal entities in actions undertaken by one or more participants by means of funding schemes identified in part (a) of to Decision [./.] establishing the Seventh Framework Programme, hereinafter "indirect actions". It also lays down rules, in accordance with those laid down in Regulation (EC/Euratom) No 1605/2002, hereinafter "the Financial Regulation", and Regulation (EC/Euratom) No 2342/2002, hereinafter "the Implementing Rules", concerning the Community financial contribution to participants in indirect actions under the Seventh Framework Programme. As regards the results of research carried out under the Seventh Framework Programme, this Regulation lays down rules for the disclosure of foreground by any appropriate means other than that resulting from the formalities for protecting it, and including the publication of foreground in any medium, hereinafter "dissemination". In addition, it lays down rules for the direct or indirect utilisation of foreground in further research activities other than those covered by the indirect action concerned, or for developing, creating and marketing a product or process, or for creating and providing a service, hereinafter "use". In respect of both foreground and background, this Regulation lays down rules concerning licences and user rights thereto, hereinafter "access rights". For the purposes of this Regulation, the following definitions shall apply in addition to those set out in the Financial Regulation and the Implementing Rules: (0) "legal entity" means any natural person, or any legal person created under the national law of its place of , or under Community law or international law, which has legal personality and which may, acting under its own name, exercise rights and be subject to obligations. In the case of natural persons, references to is deemed to refer to habitual . (1) "foreground" means the results, including information, whether or not they can be protected, which are generated by the indirect action concerned. Such results include rights related to copyright; design rights; patent rights; plant variety rights; or similar forms of protection; (2) "background" means information which is held by participants prior to their accession to the grant agreement, as well as copyrights or other intellectual property rights pertaining to such information, the application for which has been filed before their accession to the grant agreement, and which is needed for carrying out the indirect action or for using the results of the indirect action; (2a) "participant" means a legal entity contributing to an indirect action and having rights and obligations with regard to the Community under the terms of this Regulation; (3) "research organisation " means a legal entity established as a non-profit organisation which out research or technological development as one of its main objectives; (4) "third country" means a State that is not a Member State; (5) "associated country" means a third country which is party to an international agreement with the Community, under the terms or on the basis of which it makes a financial contribution to all or part of the Seventh Framework Programme; (6) "international organisation" means an intergovernmental organisation, other than Community, which has legal personality under international public law, as well as any specialised agency set up by such an international organisation; (7) "international European interest organisation" means an international organisation, the majority of whose members are Member States or Associated countries, and whose principal objective is to promote scientific and technological cooperation in Europe; (8) "international cooperation partner country" means a third country which the Commission classifies as a low-income, lower-middle-income or upper-middle-income country and which is identified as such in the work programmes; (9) "public body" means any legal entity established as such by national law, and international organisations; (10) "SMEs" mean micro, small and medium-sized enterprises within the meaning of Recommendation 2003/361/EC in the version of 6 2003; (11) "work programme" means a plan adopted by the Commission for the implementation of a specific programme as identified in Article 3 of Decision [./. (12) "funding schemes" mean the mechanisms for the Community funding of indirect actions as established in part (a) of to Decision [./. (13) "RTD performer" means a legal entity carrying out research or technological development activities in funding schemes for the benefit of specific groups as identified in of the Framework Programme. Subject to the conditions established in the grant agreement, appointment letter or contract, the Commission and the participants shall keep confidential any data, knowledge and documents communicated to them as confidential. undertaking, university or research centre or other legal entity, whether established in a or Associated country, or in a third country, may participate in an indirect action provided that the minimum conditions laid down in this Chapter have been met, including any conditions specified pursuant to Article 12. However, in the case of an indirect action as referred to in Articles 5(1), 7, 8 or 9, under which it is possible for the minimum conditions to be met without the participation of a legal entity established in a , the attainment of the objectives laid down in Articles 163 and 164 of the Treaty must thereby be enhanced. of Commission, hereinafter "the JRC", may participate in indirect actions on the same footing and with the same rights and obligations as a legal entity established in a . The minimum conditions for indirect actions shall be the following: (a) at least three legal entities must participate, each of which is established in a or Associated country, and no two of which are established in the same or Associated country; (b) all three legal entities must be independent of each other in accordance with Article 6. For the purposes of point (a) of paragraph 1, where one of the participants is the JRC, or an international European interest organisation or an entity created under Community law, it shall be deemed to be established in a or Associated country other than any or Associated country in which another participant in the same action is established. Two legal entities shall be regarded as independent of each other where neither is under the direct or indirect control of the other or under the same direct or indirect control as the other. For the purposes of paragraph 1, control may in particular take either of the following forms: (a) the direct or indirect holding of more than of the nominal value of the issued share capital in the legal entity concerned, or of a majority of the voting rights of the shareholders or associates of that entity; (b) the direct or indirect holding, in fact or in law, of decision-making powers in the legal entity concerned. However, the following relationships between legal entities shall not in themselves be deemed to constitute controlling relationships: (a) the same public investment corporation, institutional investor or venture-capital company has a direct or indirect holding of more than of the nominal value of the issued share capital or a majority of voting rights of the shareholders or associates; (b) the legal entities concerned are owned or supervised by the same public body. Indirect actions for specific cooperation activities dedicated to international cooperation partner countries For collaborative projects for specific cooperation actions dedicated to international cooperation partner countries identified in the work programme, the minimum conditions shall be the following: (a) at least four legal entities must participate; (b) at least two of the legal entities referred to in point (a) must be established in Member States or Associated countries, but not established in the same or Associated country; (c) at least two of the legal entities referred to in point (a) must be established in international cooperation partner countries, but not established in the same international cooperation partner country, unless otherwise specified in the work programme; (d) all four legal entities referred to in point (a) must be independent of each other in accordance with Article 6. Coordination and support actions, and training and career development of researchers For coordination and support actions, and actions in favour of training and career development of researchers, the minimum condition shall be the participation of one legal entity. The first paragraph shall not apply in the case of actions whose purpose is to coordinate research activities. Investigator-driven "frontier" research projects For indirect actions to support investigator-driven "frontier" research projects funded in the framework of , the minimum condition shall be the participation of one legal entity established in a or in an Associated country. Where the minimum conditions for an indirect action are satisfied by a number of legal entities, which together form one legal entity, the latter may be the sole participant in an indirect action, provided that it is established in a or Associated country. International organisations and legal entities established in third countries Participation in indirect actions shall be open to international organisations and legal entities established in third countries after the minimum conditions laid down in this Chapter have been met, as well as any conditions specified in the specific programmes or relevant work programmes. In addition to the minimum conditions laid down in this Chapter, specific programmes or work programmes may lay down conditions regarding the minimum number of participants. They may also lay down, according to the nature and objectives of the indirect action, additional conditions to be met as regards type of participant and, where appropriate, place of . The Commission shall issue calls for proposals for indirect actions in accordance with the requirements laid down in the relevant specific programmes and work programmes, which may include calls targeted at special groups such as SMEs. In addition to the publicity specified in the Implementing Rules, the Commission shall publish calls for proposals in the Internet pages of the Seventh Framework Programme, through specific information channels, and at the national contact points set up by the Member States and the Associated countries. Where appropriate, the Commission shall specify in the call for proposals that the participants need not establish a consortium agreement. The Commission shall not issue calls for proposals for the following: (a) coordination and support actions to be carried out by legal entities identified in the specific programmes or in the work programmes when the specific programme permits the work programmes to identify beneficiaries, in accordance with the Implementing Rules; (b) coordination and support actions consisting of a purchase of goods or services subject to the rules on public procurement set out in the Financial Regulation; (c) coordination and support actions relating to the appointment of independent experts; (d) other actions, where so provided by the Financial Regulation or the Implementing Rules. Evaluation, selection and award The Commission shall evaluate all the proposals submitted in response to a call for proposals on the basis of the principles for evaluation, and the selection and award criteria set out in the specific programme and the work programme. The work programme may set out specific criteria or further details on the application of the criteria. A proposal which contravenes fundamental ethical principles or which does not fulfil the conditions set out in the specific programme, the work programme or in the call for proposals shall not be selected. Such a proposal may be excluded from the evaluation, selection and award procedures at any time. Proposals shall be ranked according to the evaluation results. Funding decisions shall be made on the basis of this ranking. Submission, evaluation, selection and award procedures Where a call for proposals specifies a two-step evaluation procedure, only those proposals that pass the first step, based on the evaluation against a limited set of criteria, shall go forward for further evaluation. Where a call for proposals specifies a two-stage submission procedure, only those proposers whose proposals pass the evaluation for the first stage shall be requested to submit a complete proposal in the second stage. The Commission shall adopt and publish rules governing the procedure for the submission of proposals, as well as the related evaluation, selection and award procedures. In particular, it shall lay down detailed rules for the two-stage procedure for submission (including as regards the scope and nature of the first stage proposal as well as those of the complete second stage proposal), and rules for the two-step evaluation procedure. The Commission shall also set out procedures for redress for applicants. The Commission shall adopt and publish rules to ensure consistent verification of the existence and legal status of participants in indirect actions as well as their financial capacity. Appointment of independent experts Where required under the Seventh Framework Programme and its specific programmes, the Commission shall appoint independent experts to assist with evaluations and monitoring. For coordination and support actions, referred to in Article 14, independent experts shall be appointed only if the Commission deems it appropriate. Independent experts shall be chosen on the basis of skills and knowledge appropriate to the tasks assigned to them. In cases where independent experts will have to deal with classified information, the appropriate security clearance shall be required for nomination. Independent experts shall be identified and selected on the basis of calls for applications from individuals and calls addressed to relevant organisations such as national research agencies, research institutions or enterprises with a view to establishing lists of suitable candidates. The Commission may, if deemed appropriate, select any individual with the appropriate skills from outside the lists. Appropriate measures shall be taken to ensure reasonable gender balance when appointing groups of independent experts. When appointing an independent expert, the Commission shall take all necessary steps to ensure that the expert is not faced with a conflict of interests in relation to the matter on which the expert is required to provide an opinion. The Commission shall adopt a model appointment letter, hereinafter "the appointment letter", which shall include a declaration that the independent expert has no conflict of interest at the time of appointment and that he undertakes to inform the Commission if any conflict of interest should arise in the course of providing his opinion or carrying out his duties. The Commission shall conclude an appointment letter between the Community and each independent expert. The Commission shall publish regularly in any appropriate medium the list of the independent experts that have assisted it for the Framework Programme and each specific programme. The participants shall implement the indirect action and shall take all necessary and reasonable measures to that end. Participants in the same indirect action shall implement the work jointly and severally towards the Community. The Commission shall draw up, on the basis of the model provided for in Article 19.7 and taking into account the characteristics of the funding scheme concerned, a grant agreement between the Community and the participants. Participants shall make no commitments incompatible with the grant agreement. Where a participant fails to comply with its obligations regarding the technical implementation of the indirect action, the other participants shall comply with the grant agreement without any complementary Community contribution unless the Commission expressly relieves them of that obligation. If the implementation of an action becomes impossible or if the participants fail to implement it, the Commission shall ensure the termination of the action. Participants shall ensure that the Commission is informed of any event which might affect the implementation of the indirect action or the interests of the Community. The Commission shall set out procedures for redress for participants. General provisions for inclusion in grant agreements The grant agreement shall establish the rights and obligations of the participants with regard to the Community, in accordance with Decision [./. ], this Regulation, the Financial Regulation, and the Implementing Rules, and in accordance with the general principles of Community law. It shall also establish, in accordance with the same conditions, the rights and obligations of legal entities who become participants when the indirect action is ongoing. Where appropriate, the grant agreement shall specify which part of the Community financial contribution will be based on the reimbursement of eligible costs, and which part will be based on flat rates (including scale of unit costs) or lump-sums. The grant agreement shall specify which changes in the composition of the consortium are to require the prior publication of a competitive call. The grant agreement shall require the submission to the Commission of periodic progress reports concerning the implementation of the indirect action concerned. Where appropriate, the grant agreement may provide that the Commission is to be notified in advance of any intended transfer of ownership of foreground to a third party. Where the grant agreement requires participants to carry out activities that benefit third parties, the participants shall advertise this widely and identify, evaluate and select third parties transparently, fairly and impartially. If provided for in the work-programme, the grant agreement shall establish criteria for the selection of such third parties. The Commission reserves the right to object to the selection of the third parties. The Commission shall, in close cooperation with Member States, establish a model grant agreement in accordance with this Regulation. If a significant modification of the model grant agreement proves necessary, the Commission, in close cooperation with Member States, shall revise it as appropriate. The model grant agreement shall reflect the general principles laid down in Charter for Researchers and the Code of Conduct for the Recruitment of Researchers . It shall address, as appropriate, synergies with education at all levels; readiness and capacity to dialogue and debate on scientific issues and research results with a broad public beyond the research community; activities to increase the participation and role of women in research; and activities addressing socio-economic aspects of the research. The model grant agreement shall provide for supervision and financial control by the Commission or any representative authorised by it, and the Court of Auditors. The grant agreement may lay down time limits for participants to give the various notifications referred to in this Regulation. Provisions concerning access rights, use and dissemination The grant agreement shall establish the respective rights and obligations of the participants with regard to access rights, use and dissemination, in so far as those rights and obligations have not been laid down in this Regulation. For those purposes, it shall require the submission to the Commission of a plan for the use and dissemination of foreground. The grant agreement may specify the conditions under which the participants may object to a technological audit of the use and dissemination of the foreground being carried out by certain authorised representatives of the Commission. The grant agreement shall specify the grounds for its termination, in whole or in part, in particular for non-compliance with this Regulation, non-performance or breach, as well as the consequences for participants of any non-compliance on the part of another participant. In the case of indirect actions to support existing research infrastructures and, where applicable, new research infrastructures, the grant agreement may lay down specific provisions relating to confidentiality, publicity and access rights and commitments that might affect users of the infrastructure. In the case of indirect actions to support training and career development of researchers, the grant agreement may lay down specific provisions on confidentiality, access rights and commitments relating to the researchers benefiting from the action. In the case of indirect actions in the field of security research, the grant agreement may lay down specific provisions in particular on changes to the consortium"s composition, confidentiality, classification of information and information to Member States, dissemination, access rights, transfer of ownership of foreground and the use thereof. Where appropriate, the grant agreement for indirect actions addressing security issues, other than those referred to in paragraph 3, may also include such specific provisions. In case of frontier research actions, the grant agreement may lay down specific provisions relating to dissemination. The grant agreement shall enter into force upon signature by the coordinator and the Commission. It shall apply to each participant that has formally acceded thereto. Save where otherwise provided in the call for proposals, all participants in an indirect action shall conclude an agreement, hereinafter "the consortium agreement", to govern inter alia the following: (a) the internal organisation of the consortium; (b) the distribution of the Community financial contribution; (c) rules additional to those in Chapter III and related provisions in the grant agreement; (d) the settlement of internal disputes; The Commission shall establish and publish guidelines on the main issues that may be addressed by participants in their consortium agreements. The legal entities wishing to participate in an indirect action shall appoint one of their number to act as coordinator to carry out the following tasks in accordance with this Regulation, the Financial Regulation, the Implementing Rules, and the grant agreement: