Amended proposal for a Council Decision concerning the rules for the participation of undertakings, research centres and universities in the implementation of the framework programme 2002-2006 of the European Atomic Energy Community (Euratom) (presented by the Commission pursuant to Article 250 (2) of the EC Treaty)
Date: 2002-01-10
Institutions: European Commission
Subjects: EU financing, EU programme, innovation, nuclear energy, regulation, research programme

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 15.01.2002
COM(2001) 823 final/2

2001/0327 (CNS)

CORRIGENDUM :
La cote interinstitutionnelle du document COM(2001)823 final
du 10.01.2002 doit se lire 2001/0327 (CNS) et non 2001/0327 (COD).
Concerne les 11 versions linguistiques.

Amended proposal for a

COUNCIL DECISION

concerning the rules for the participation of undertakings, research centres and
universities in the implementation of the framework programme 2002-2006 of the
European Atomic Energy Community (Euratom)

(presented by the Commission pursuant to Article 250 (2)
of the EC Treaty)

EXPLANATORY MEMORANDUM

The  rules  for  participation  adopted  by  the  Council  are  one  of  the  legal  instruments
implementing the Community framework programme for research.

The new rules have been drawn up with the twofold aim of:

– 

– 

Adapting  the  rules  on  participating  in  research  programmes  in  line  with  the
philosophy  and  characteristics  of  the  new  framework  programme,  especially  the
principles of the proposed new procedures for intervention and financial support;

Simplifying and streamlining existing provisions to make them clearer and easier to
understand.

The framework established complies with the above principles. Moreover, unlike the existing
rules,  the  new  rules  on  participation  are  not  intended  to  be  supported  by  an  implementing
regulation.

The  current  proposal  is  a  revised  draft  of  the  proposal  concerning  the  rules  for
participation adopted by the Commission on 06.12.01 (COM(2001)725 final).

This  revision  of  the  initial  proposal  is  intended  to  ensure  consistency  by  aligning  the
EURATOM  rules  for  participation  on  the  revised  version  of  those  relating  to  the  EC
Framework Programme, while taking into account their specificities.

The revision of the initial proposal consists in the deletion of Chapter II (“Instruments”)
and  the  Annex  (“RTDT  activities  and  Community  financial  contribution  according  to
type of instrument”), since these two parts will be transferred either to Annex III to the
Framework Programme or Annex III to the EURATOM Specific Programme.

The  amendments  compared  with  the  Commission's  initial  proposal  have  been
highlighted by using the "strikethrough" effect for passages deleted and the "bold "and
"underlined" effects for new or amended passages.

To  assist  in  the  creation  of  the  European  Research  Area,  the  2002-2006  framework
programme  applies  the  following  principles,  especially  through  the  networks  of  excellence
and integrated projects:

– 

– 

– 

The principle of opening projects to new participants;

Flexibility  in  operational  conditions,  including  procedures  for  launching  new
activities;

Great autonomy in project implementation, with participants carrying out their tasks
in  largely  self-determined  conditions  and  internal  arrangements  best  suited  to
completing projects successfully.

The following new features have been introduced into the rules for participation and financing
to  apply  the  above  principles  and  to  bring  the  rules  into  line  with  the  characteristics  and
objectives of the new framework programme:

– 

Participants  from  Member  States  and  from  Associated  candidate  countries  have
exactly the same rights and obligations (Articles 12 and 13 5 and 6);

2

– 

– 

– 

– 

– 

European  scientific  co-operation  organisations  are  entitled  to  participate  in  the
framework  programme  on  exactly  the  same  footing  as  any  entity  established  in  a
Member State (this is not the case at present) (Article 12 5);

General criteria have been drawn up for the selection of proposals taking account of
the specific objectives of the new instruments (Article 18 11);

The  Community  will  make  its  financial  contribution  in  new  forms  of  'grants  for
integration'  for  the  networks  of  excellence  or  'grants  to  the  budget'  for  integrated
projects,  providing  important  flexibility  and  involving  less  cumbersome  and  more
effective controls, essentially ex post controls (Article 22 15).

Consortia responsible for networks and integrated projects are given the opportunity
to  change  the  partnership,  including  through  competitive  calls,  subject  to  clearly
defined  conditions  (Article  23  16),  and  on  the  basis  of  simplified  Commission
consent;

Specific rules for participation to Research and Training activities under the priority
thematic area “Fusion Energy Research” have been defined to take into account the
characteristics of this field (Articles 29 and 30 22 and 23).

As such, the rules have  been drawn up  so as to  guarantee the smooth operation of projects,
capable  of  involving  large  numbers  of  participants  and  conducted  through  evolving
partnerships.

These  rules  have  been  defined  in  consultation  with  programme  users,  the  scientific
community and industry.

The same principles will apply in the more detailed technical implementation provisions for
carrying out the framework programme, in particular, those set out in the model contract and
the work programmes. Users and national authorities will be consulted on these provisions.

In  accordance  with  one  of  the  key  principles  of  the  2002-2006  framework  programme,  the
model contract and work programmes will be prepared with the same goals as the reworking
of the present rules, namely simplification and streamlining. The current financial provisions
therefore,  be  simplified.
in  the  model  contract  and  grant  application  forms  will, 

3

Amended proposal for a

2001/0327 (CNS)

COUNCIL DECISION

concerning the rules for the participation of undertakings, research centres and
universities in the implementation of the framework programme 2002-2006 of the
European Atomic Energy Community (Euratom)

THE COUNCIL OF THE EUROPEAN UNION,

Having  regard  to  the  Treaty  establishing  the  European  Atomic  Energy  Community,  and  in
particular Article 7 thereof,

Having regard to the proposal from the Commission,1

Having regard to the opinion of the European Parliament,2

Having regard to the opinion of the Economic and Social Committee,3

Whereas:

(1) 

(2) 

(3) 

The  framework  programme  of  the  European  Atomic  Energy  Community  (Euratom)
for  research  and  training  activities  aimed  at  contributing  towards  the  creation  of  the
European  Research  Area  (2002-2006)  (hereinafter  referred  to  as  'the  2002-2006
framework programme') was adopted by Council Decision No …/200./Euratom.4 The
rules  for  financial  participation  by  the  Community  must  be  supplemented  by  other
provisions to be laid down in accordance with Article 7 of the Treaty.

These  provisions  must  be  in  line  with  a  coherent  and  transparent  framework  which
takes  full  account  of  the  objectives  and  characteristics  of  the  instruments  defined  in
Annex III to the specific programme “Nuclear Energy”, adopted by Council Decision
No  …/200./Euratom5,  in  order  to  guarantee  the  most  efficient  implementation
possible.

The rules for the participation of undertakings, research centres and universities must
take  account  of  the  nature  of  the  research  (including  demonstration)  and  training
activities  in  the  field  of  nuclear  energy.  They  may,  moreover,  vary  depending  on
whether the participant is based in a Member State, in an Associated State - whether a
candidate  country  or  not  -  or  in  a  third  country,  and  on  its  legal  structure,  namely
whether  it  is  a  national  organisation,  an  international  organisation  -  of  European
interest or not - or an association formed by participants.

1

2

3

4

5

OJ C , , p.
OJ C , , p.
OJ C , , p.
OJ C , , p.
OJ C , , p.

4

                                                
(4) 

(5) 

(6) 

(7) 

(8) 

Activities  under  the  framework  programme  must  be  conducted  in  compliance  with
ethical principles, including those set out in the Charter of Fundamental Rights of the
European  Union,  and  should  strive  to  improve  information  for  and  dialogue  with
society as well as to increase the role of women in research.

In  conformity  with  the  2002-2006  framework  programme,  the  participation  of  legal
entities  from  third  countries  should  be  envisaged  in  line  with  the  objectives  of
international cooperation, particularly as enshrined in Article 101 of the Treaty.

International organisations dedicated to developing cooperation in the field of research
in  Europe  and  which,  because  a  majority  of  their  members  are  Member  States  or
Associated States, contribute to the creation of the European Research Area should be
encouraged to participate in the 2002-2006 framework programme.

The Joint Research Centre (hereinafter referred to as the "JRC") takes part in indirect
research  and  technological  development  actions  on  the  same  basis  as  legal  entities
established in a Member State.

Activities under the framework programme must comply with the financial interests of
the Community and must safeguard those interests.

HAS DECIDED AS FOLLOWS:

CHAPTER I

INTRODUCTORY PROVISIONS

Article 1

Subject

This  Decision  establishes  rules  for  the  participation  of  enterprises,  research  centres  and
universities in research carried out under the framework programme of the European Atomic
Energy  Community  for  research  and  training  activities  aimed  at  contributing  towards  the
creation  of  the  European  Research  Area  (2002-2006)  (hereinafter  referred  to  as  the  "2002-
2006 framework programme").

Article 2

Definitions

For the purposes of this Decision:

a)

b)

indirect action means an RTDT activity undertaken by one or more participants by
means of an instrument of the 2002-2006 framework programme;

RTDT activity means one of the research and technological development activities,
including demonstration activities, and training activities, described in Annex to the
2002-2006 framework programme;

5

c)

d)

e)

f)

g)

h)

i)

j)

k)

l)

m)

n)

o)

budget means a financial plan estimating all the resources and expenditure needed to
carry out an indirect action;

consortium means all the participants in the same indirect action;

contract means a grant agreement concerning the performance of an indirect action
establishing  rights  and  obligations  between  the  Community  and  the  participants  in
that indirect action;

legal entity means any natural person, or any legal person created under the national
law of its place of establishment, under Community law, or international law, having
legal personality and being entitled to have rights and obligations of any kinds in its
own name;

Associated State means a State 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 budget of the 2002-2006 framework programme;

Associated  candidate  country  means  an  Associated  State  acknowledged  by  the
Community as a candidate for accession to the European Union;

European Economic Interest Grouping (EEIG) means any legal entity established
in accordance with Council Regulation (EEC) No 2137/85;6

instruments  means  the  mechanisms  for  indirect  Community  intervention  as  laid
down in Annex III to the specific programme “Nuclear Energy”;

irregularity means any infringement of a provision of Community law or any breach
of a contractual obligation resulting from an act or omission by a legal entity which
has, or would have, the effect of prejudicing the general budget of the Communities
or budgets managed by them through unjustified expenditure;

international organisation means any legal entity resulting from an association of
States, other than the Community, established on the basis of a treaty or similar act,
having common institutions and an international legal personality distinct from that
of its Member States;

international European interest organisation means an international organisation,
the  majority  of  whose  members  are  European  Community  Member  States  or
Associated  States,  and  whose  principal  objective  is  to  promote  scientific  and
technological cooperation in Europe;

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  Decision  or
according to the contract;

third country means a State that is neither a Member State nor an Associated State;

6

OJ L 199, 31.07.1985, p.1

Article 3

Independence

6

                                                
1.
Two  legal  entities  shall  be  independent  of  one  another  for  the  purposes  of  this
Decision where there is no controlling relationship between them. A controlling relationship
shall exist where one legal entity directly or indirectly controls the other or one legal entity is
under the same direct or indirect control as the other. Control may result in particular from:

a)

b)

direct or indirect holding of more than 50% of the nominal value of the issued share
capital  in  a  legal  entity,  or  of  a  majority  of  voting  rights  of  the  shareholders  or
associates of that entity;

direct  or  indirect  holding  in  fact  or  in  law  of  decision-making  powers  in  a  legal
entity.

Direct or indirect holding of more than 50% of the nominal value of the issued share
2.
capital in a legal entity or a majority of voting rights of the shareholders or associates of the
said  entity  by  public  investment  corporations,  institutional  investors  or  venture-capital
companies and funds shall not in itself constitute a controlling relationship.

Ownership or supervision of legal entities by the same public body shall not in itself

3.
give rise to a controlling relationship between them.

CHAPTER II

INSTRUMENTS

Article 4

Networks of Excellence

1.         The  purpose  of  networks  of  excellence  is  to  strengthen  Community  scientific  and
technological excellence by means of a progressive and permanent integration of existing or
emerging  research and  training  capacities  at  both  national  and  regional  level.  Each  network
shall aim at advancing knowledge in a particular area by assembling a critical mass of skills.
The  activities  concerned  shall  be  generally  targeted  towards  long-term,  multidisciplinary
objectives, not at precise, predefined results in terms of products, processes or services.

2.         To  create  a  virtual  centre  of  excellence,  the  participants  shall  implement  a  joint
programme of activities involving a considerable part or even all of their research or training
capacities  and  activities in the relevant area.  Where  necessary,  the legal  entity  to  which  the
institute, department, laboratory or team that is the network member belongs shall allow the
member sufficient autonomy for this purpose.

The  joint  programme  of  activities  shall  focus  on  research  or  training  activities  and  shall
necessarily  include  integration  activities  as  well  as  activities  related  to  the  spreading  of
excellence  outside 
to  Council  Decision
200./../EURATOM  [laying  down  the  specific  programme  “Nuclear  energy”]7.  With  the
Commission's  agreement,  the  focus  of  specific  activities  may  be  changed  or  new  activities
launched in the annual update of the joint programme of activities.

the  network,  as  described 

in  Annex  III 

7             OJ L , , p.

7

                                                
Article 5

Integrated Projects

1.         Integrated  projects  are  designed  to  boost  the  Community's  competitiveness  or  help
solve  major  societal  problems  by  mobilising  a  critical  mass  of  research,  technological
development and training resources and competences. In this context, each integrated project
shall be assigned clearly defined objectives in terms of scientific and technological knowledge
and shall be directed at obtaining specific results applicable to products, processes or services.

2.         In principle, integrated projects shall comprise a set of specific components, varying in
size and structure according to the task to be carried out, each dealing with different aspects of
the  research  or  training  needed  to  achieve  common  overall  objectives  integrated  to  form  a
coherent whole and implemented in close coordination.

The  activities  carried  out  as  part  of  an  integrated  project  shall  include  research  or  training
activities,  including  demonstration  activities,  activities  for  the  management  and  use  of
knowledge in order to promote innovation, and any  other type of  activity directly related to
the objectives of Council Decision 200./../EURATOM [laying down the specific programme
“Nuclear energy”], as described in Annex III to that Decision. All these activities shall be set
out  in  an  implementation  plan,  which  shall  be  updated  annually  with  the  agreement  of  the
Commission.  The  focus  of  specific  activities  may  be  changed  or  new  activities  launched  in
the update.

Article 6

Specific targeted research or training projects

1.         Specific  targeted  research  projects  may  take  either  of  the  following  two  forms  or  a
combination of the two:

a)            a  research  and  technological  development  project  designed  to  gain  new  knowledge
either to considerably improve or to develop new products, processes or services or
to meet other needs of society and Community policies;

b)           a demonstration project designed to prove the viability of new technologies offering
potential economic advantage but which cannot be commercialised directly.

2.         Specific targeted projects on training are designed to facilitate the timely diffusion of
new knowledge on a European scale and better integrate national activities.

Article 7

Integrated initiatives relating to infrastructure

Integrated initiatives relating to infrastructure shall incorporate a range of activities essential
to reinforce and develop research infrastructures in order to provide services at the European
level. To this end, they shall combine networking activities with a support activity or research
activities needed  to  improve  infrastructure  performance.  They  shall  include  a  component  of
dissemination of knowledge to potential users, including industry and in particular to SMEs.

8

Article 8

Actions to promote human resources and mobility

Actions to promote human resources and mobility shall be targeted at training, development
of skills or transfer of knowledge. They shall involve support to actions carried out by natural
persons, host structures, including training networks, and also by teams of excellence.

Article 9

Coordination actions

Coordination actions shall be intended to promote and support the coordinated initiatives of a
range  of  research,  training  and  innovation  operators.  They  shall  cover  a  range  of  activities
such  as  the  organisation  of  conferences,  meetings,  training  courses,  the  performance  of
studies, exchanges of personnel, the exchange and propagation of  good practices, setting up
information  systems  and  expert  groups,  and  may,  if  necessary,  include  support  for  the
definition, organisation and management of joint or common initiatives.

Article 10

Specific support actions

Specific support actions shall be aimed at implementing the objectives identified in the 2002-
2006  framework  programme  or  may  assist  preparations  for  future  Community  research  and
training  policy  activities  or  may  include  monitoring  and  assessment  activities.  In  particular,
they  shall  involve  conferences,  seminars,  studies  and  analyses,  high  level  scientific  awards
and competitions, working groups and expert groups, operational support and dissemination,
information and communication activities, or a  combination  of these,  as  appropriate in  each
case.

CHAPTER III

RULES FOR PARTICIPATION AND FINANCING

Article 11 4

Scope

The rules set out in this Chapter apply to the participation of legal entities in indirect actions.
They apply without prejudice to specific rules for RTDT activities under the priority thematic
area  ‘Fusion  energy  research’  of  the  specific  programme  ‘Nuclear  Energy’  set  out  in
chapter IV.

Article 11 5

General principles

Any legal entity taking part in an indirect action may receive a Community financial

1.
contribution subject to the provisions of Articles 14 7 and 8.

9

2.
Any legal entity established in an Associated State may take part in indirect actions on
the same footing and shall have the same rights and obligations as a legal entity established in
a Member State, subject to the provisions of Article 13 6.

The  JRC  may  participate  in  indirect  actions  on  the  same  footing  and  shall  have  the

3.
same rights and obligations as a legal entity established in a Member State.

4.
Any international European interest organisation may take part in indirect actions on
the same footing and shall be entitled to the same rights and bound by the same obligations as
a legal entity established in a Member State in accordance with its Statute of Establishment.

5.
Depending on the type of instrument deployed or the objectives of the RTDT activity,
the work programme for the specific programme may, if necessary, restrict participation in an
indirect action to legal entities according to their activities or types.

Minimum numbers of participants and their place of establishment

Article 13 6

1.
The work programme shall specify the minimum number of participants required for
each  indirect  action  and  also  their  place  of  establishment,  according  to  the  nature  of  the
instrument and the objectives of the RTDT activity.

For  networks  of  excellence  and  integrated  projects,  the  minimum  number  of
2.
participants  shall  not  be  less  than  three  independent  legal  entities  established  in  three
different Member States or Associated States, of which at least two shall be Member States or
Associated candidate countries.

Specific  support  actions  and  actions  in  favour  of  human  resources  and  mobility,

3.
except for research training networks, may be executed by a single legal entity.

When the work programme establishes a minimum number that is greater than or equal to two
legal entities established in as many Member States or Associated States, this number shall be
fixed according to the conditions provided for in paragraph 4.

For instruments other than those covered in paragraphs 2 and 3, the minimum number
4.
of  participants  shall  not  be  less  than  two  independent  legal  entities  established  in  two
different Member States or Associated States, of which at least one shall be a Member State
or an Associated candidate country.

5.
An EEIG or any legal entity established in a Member State or Associated State which
is made up of independent legal entities meeting the criteria of this Decision may be the sole
participant  in  an  indirect  action,  provided  that  its  composition  is  in  accordance  with  the
conditions fixed pursuant to the provisions of paragraph 1 to 4.

Article 14 7

Participation by legal entities from third countries

1.
Subject  to  other  restrictions  that  may  be  specified  in  the  work  programme  of  the
specific programme, any legal entity established in a third country may participate in RTDT
activities, over and above the minimum number of participants fixed in accordance with the

10

terms of Article 13 6, if such participation is provided for under an RTDT activity or if it is
necessary for carrying out the indirect action.

2.
Any  legal  entity  established  in  a  third  country  may  receive  a  Community  financial
contribution,  if  provision  is  made  for  this  under  an  RTDT  activity  or  if  it  is  essential  for
carrying out the indirect action.

Article 15 8

Participation by international organisations

Any international organisation other than the international European interest organisations
referred to in Article 12 5(4) may take part in RTDT activities subject to the conditions set out
in Article 14 7.

Conditions relating to technical competence and resources

Article 16 9

Participants shall have the knowledge and technical competence needed to carry out

1.
the indirect action.

2.
At  the  time  when  they  present  their  proposal,  participants  shall  have  at  least  the
potential  resources  needed  to  carry  out  the  indirect  action,  and  shall  specify  the  relevant
source.

As work progresses, participants shall have the resources as and when needed to carry out the
indirect action.

The resources needed to carry out the indirect action are understood to be human resources,
infrastructure,  financial  resources  and,  if  necessary,  intangible  property  and  other  resources
made available by a third party on the basis of a prior commitment.

Article 17 10

Submission of proposals for indirect actions

1.
Proposals for indirect actions shall be submitted under the terms of calls for proposals
published in the Official Journal of the European Communities and, as far as possible, widely
advertised by other means.

2.

a)

b)

c)

Paragraph 1 shall not apply to:

Specific  support  actions  for  the  activities  of  legal  entities  identified  in  the  work
programme;

Specific  support  actions  consisting  of  a  purchase  or  service  governed  by  the  terms
applicable to public procurement procedures;

Specific  support  actions  with  particular  characteristics  and  value  to  the  objectives
and  the  scientific  and  technological  content  of  the  specific  programme,  for  which
grant  applications  may  be  submitted  to  the  Commission  if  so  provided  for  in  the
work programme of the specific programme and where such a request does not fall
within the scope of an open call for proposals.

11

d)

Specific support actions covered by Article 19 12.

3.
Calls for expressions of interest may be issued prior to calls for proposals in order to
enable the Commission to identify and evaluate precise objectives and requirements, without
prejudice to any decisions it may subsequently take.

Article 18 11

Evaluation and selection of proposals for indirect actions

The  proposals  for  indirect  actions  covered  in  Article  17(1)  and  Article  17(2)(c)

1.
Article 10(1) and Article 10(2)(c) shall be evaluated according to the following criteria:

a)

b)

c)

d)

e)

2.

a)

b)

c)

Relevance to the objectives of the specific programme;

Scientific and technological excellence;

Added value to the Community, including  the  critical mass  of resources mobilised,
the expected impact or contribution to Community policies;

Quality  of  the  plan  for  the  use  or  dissemination  of  the  knowledge,  potential  for
promoting innovation, and ability to manage intellectual property;

The  ability  to  successfully  carry  out  the  indirect  action,  assessed  in  terms  of
resources, competencies and organisation.

In applying paragraph 1(c), the following criteria will also be taken into account:

For networks of excellence, the scope and degree of the effort to achieve integration
and the network's capacity to promote excellence beyond its membership, as well as
the prospects of the long-term integration of their research capabilities and resources
after the end of the period covered by the Community financial contribution;

For integrated projects, the scale of ambition of the objectives and the capacity of the
resources to make a significant contribution to reinforcing competitiveness or solving
societal problems;

For  integrated  initiatives  relating  to  infrastructure,  the  prospects  of  the  initiative's
continuing long term after the end of the period covered by the Community financial
contribution.

3.
The work programme of the specific programme shall determine, in accordance with
the type of instruments deployed or the objectives of the RTDT activity, which of the criteria
set  out  in  paragraph  1  shall  be  applied  by  the  Commission.  These  criteria,  and  those  of
paragraph  2,  will  be  clarified  or  complemented,  particularly  to  take  account  of  the
contribution  of  the  proposals  for  indirect  actions  to  improve  information  for  and  dialogue
with society as well as to increase the role of women in research.

4.
Any proposal for an indirect action which contravenes fundamental ethical principles,
particularly  those  set  out  in  the  Charter  of  Fundamental  Rights  of  the  European  Union,  or
which does not fulfil the conditions set out in the work programme or in the call for proposals
may be excluded from the evaluation and selection procedure at any time.

12

Any participant having committed an irregularity in the implementation of an indirect action
may be excluded from the evaluation and selection procedure at any time.

5.
The  Commission  shall  evaluate  and  select  the  proposals  for  indirect  actions  in
accordance with transparent, fair and impartial procedures laid down in an evaluation manual,
which it will make public.

6.
The  Commission  shall  evaluate  the  proposals  with  the  help  of  independent  experts
appointed  in  accordance  with  the  provisions  of  Article  19  12.  For  some  specific  support
actions, particularly those covered by Article 17 10(2), independent experts shall be appointed
only if the Commission deems it appropriate.

Article 19 12

Appointment of independent experts

The  Commission  shall  designate  independent  experts  to  assist  with  the  evaluation
1.
required under  the  2002-2006  framework  programme  and  the  specific  programme,  and  also
for the assistance referred to in Article 18(6) and the second subparagraph of Article 26(1).

It may in addition set up groups of independent experts to advise on the implementation of its
research policy.

The Commission shall appoint the independent experts in accordance with one of the

2.
following procedures:

a)

b)

c)

d)

The independent experts appointed by the Commission for the evaluations provided
for in Articles 5 and 6 of the 2002-2006 framework programme and Article 6 7(2) of
the  specific  programme  shall  be  very  high-ranking  individuals  from  the  fields  of
science, industry or  politics with significant experience in research, research  policy
or research programme management at national or international level.

The independent experts appointed by the Commission to assist in the evaluation of
proposals  for  networks  of  excellence  and  integrated  projects  and  in  monitoring  the
projects  selected  and  carried  out  shall  be  individuals  from  the  fields  of  science  or
industry with the highest level of knowledge and who are internationally recognised
authorities in the relevant specialist area.

The independent experts appointed by the Commission to form the groups referred to
in the second subparagraph of paragraph 1 shall be professionals renowned for their
knowledge, skills and top-level experience in the field or regarding the issues to be
dealt with by the group.

For cases other than those covered by subparagraphs (a), (b) and (c), and in order to
take  the  various  operators  in  the  research  sector  into  consideration  in  a  balanced
manner,  the  Commission  shall  appoint  independent  experts  with  skills  and
knowledge appropriate to the tasks assigned to them. To this end, it shall rely on calls
for  applications  from  individuals  or  calls  addressed  to  research  institutions  with  a
view  to  establishing  lists  of  suitable  candidates,  or  may,  if  it  deems  appropriate,
select any individual with the appropriate skills from outside the lists.

3.
When appointing an independent expert, the Commission shall ensure that the expert
will not be faced with a conflict of interests in relation to the matter on which he is required to

13

give an opinion. To this end, the Commission shall require experts to sign a declaration to the
effect that there is no such conflict of interest at the time of their appointment and promising
to inform the Commission if one should arise in the course of their duties.

Article 20 13

Contracts

1.
Contracts for the indirect action proposals selected shall be drawn up on the basis of
the  appropriate  model  contract  established  by  the  Commission  in  accordance  with  the
provisions of the 2002-2006 framework  programme  and this  Decision, account  being  taken,
as far as is required, of the characteristics of the various instruments concerned.

The  contract  shall  establish  the  rights  and  obligations  of  participants  in  accordance
2.
with  this  Decision,  and  in  particular  the  arrangements  for  the  technical,  technological  and
financial monitoring of the indirect action, for the updating of its objectives, for  changes in
consortium  membership,  for  the  payment  of  the  Community  financial  contribution  and,  if
applicable, conditions for the eligibility of any necessary expenditure.

The  contract  shall  establish  rules  for  dissemination  and  use  of  knowledge  and  results  in
accordance with Title II, Chapter 2 of the Treaty.

In  order  to  ensure  the  protection  of  the  financial  interests  of  the  Community,

3.
appropriate penalties shall be included in the contracts.

Article 21 14

Execution of indirect actions

1.
In  accordance  with  the  terms  of  the  contract,  and  with  its  own  organisation
arrangements, the consortium shall ensure the technical implementation of the indirect action,
with the participants being jointly and severally liable.

2.
The  Community  financial  contribution  to  an  indirect  action  shall  be  paid,  in
accordance with the arrangements stipulated in the contract, to the participant designated by
the consortium and approved by the Commission.

That participant shall administer the Community financial contribution according to decisions
taken by the consortium regarding its allocation to participants and activities.

Subject  to  the  arrangements  provided  for  in  the  contract  based  on  the  type  of  the

3.
instrument and the extent of the contribution made by participants:

a)

b)

each participant shall bear unlimited joint and several  liability  for  the  use  made  of
the  Community  financial  contribution  allocated  in  accordance  with  the  second
subparagraph of paragraph 2, except for the part allocated to the participants referred
to in subparagraph (b);

a participant who cannot for legal reasons be held jointly and severally liable shall
be  liable  only  for  that  part  of  the  Community  financial  contribution  allocated
specifically to it in accordance with paragraph 2.

14

4.
The Commission shall have recourse to the liability referred to in paragraph 3(a) only
if the damage incurred by the Community has not been rectified by either the participant at
fault or the consortium, on its own initiative, within a reasonable period of time.

5.
When  several  legal  entities  are  grouped  in  a  common  legal  entity  acting  as  a  single
participant  in  accordance  with  Article  13  6(5),  that  legal  entity  shall  take  on  the  duties
outlined  in  paragraphs  1  and  2  of  this  Article  and  shall  be  liable  to  the  Community,
notwithstanding the arrangements signed between the legal entities forming the common legal
entity.

Article 22 15

Community financial contribution

In  accordance  with  the  Annex  to  this  Decision,  and  within  the  limits  of  the  Community
framework for State aid for research and development,8 III to the framework programme,
the Community financial contribution may take three distinct forms, as follows:

a)

b)

c)

For  networks  of  excellence,  it  shall  take  the  form  of  a  grant  for  integration,  the
amount of which is determined in relation to the value of the capacities and resources
which  all  the  participants  propose  to  integrate.  It  shall  complement  the  resources
deployed by the participants in order to carry out the joint programme of activities.

The contribution shall be paid with regard to the execution of the joint programme of
activities  and  on  the  basis  of  those  expenses  relating  to  it  which  are  in  addition  to
those  borne  by  the  participants  themselves  and  which  are  certified  by  an  external
auditor or, in the case of public legal entities, a competent public officer.

For  some  actions  to  promote  human  resources  and  mobility  and  some  specific
support actions, except for the indirect actions covered by Article 17 10(2)(b), it may
take the form of a lump sum payment.

For integrated projects and the other instruments, except for those covered by (a) and
(b)  and  indirect  actions  covered  by  Article  17  10(2)(b),  it  shall  take  the  form  of  a
grant  to  the  budget,  calculated  as  a  percentage  of  the  budget  allocated  by  the
participants to carry out the indirect action, adapted according to the type of activity.

The  contract  shall  specify  the  expenses  needed  to  implement  the  indirect  action,
which  have  to  be  certified  by  an  external  auditor  or,  in  the  case  of  public  legal
entities, a competent public officer.

The  contract  may  lay  down  average  rates  by  type  of  expenditure  or  pre-set  lump
sums  as  well  as,  with  the  agreement  of  the  participants,  a  value  by  activity  which
shall be closely approximate to the expenses incurred.

Article 23 16

Changes in consortium membership

8             OJ C 45, 17.02.1996, p. 5

15

                                                
1.
Within  the  limits  of  the  Community  financial  contribution  and  regardless  of  the
instrument, the membership of a consortium may, on its own initiative or in execution of the
contract, be modified with the agreement of the Commission, and in particular be extended to
include any legal entity contributing to the implementation of the indirect action.

With the exception of the changes described in paragraph 2, the consortium shall identify new
legal entities on such terms as it deems appropriate, or in accordance with the contract.

The joint programme of activities for a network of excellence or the implementation
2.
plan  for  an  integrated  project  shall  specify  which  changes  in  the  membership  of  the
consortium shall require the prior publication of a competitive call.

The  consortium  shall  publish  the  competitive  call  and  advertise  it  widely  using  specific
information support, particularly Internet sites on the 2002-2006 framework programme, the
specialist press and brochures.

The consortium shall evaluate offers:

a)

b)

in the light of the criteria which governed the evaluation and selection of the indirect
action, defined according to the terms of Article 18 11(3) and (4) ;

with the assistance of independent experts appointed by the consortium on the basis
of the criteria described in Article 19 12(2)(b).

In  accordance  with  paragraph  1,  the  Commission  may  object  if  and  when  the  consortium
proposes, following this evaluation, to extend its membership to new participants.

Article 24 17

Additional financial contribution

The  Commission  may  increase  the  Community  financial  contribution  to  an  indirect  action
already under way in order to expand its scope to cover new activities which may involve new
participants.

It shall do so by way of a call for proposals, restricted, if necessary, to indirect actions under
way, after the termination of an evaluation conducted in accordance with Article 11.

Article 25 18

Consortium activities in favour of third parties

If the contract provides for the consortium to undertake all or part of its activities in favour of
third  parties,  the  consortium  shall  ensure  that  this  is  properly  made  public,  in  accordance
where applicable with the contract.

The  consortium  shall  evaluate  and  select  the  applications  received  in  accordance  with  the
principles of transparency, fairness and impartiality and also with the terms stipulated in the
contract.

Technical, technological and financial monitoring and audits

Article 26 19

16

1.
The  indirect  actions  to  which  the  Community  contributes  shall  be  periodically
evaluated  by  the  Commission  on  the  basis  of  progress  reports  which  will  also  cover  the
implementation  of  the  plan  for  the  use  or  dissemination  of  knowledge  submitted  by  the
participants in accordance with the terms of the contract.

In monitoring the networks of excellence, the integrated projects and, where necessary, other
indirect  actions,  the  Commission  shall  be  assisted  by  independent  experts  appointed  in
accordance with the provisions of Article 19 12(2).

2.
In accordance with the contract, the Commission shall take any useful steps to ensure
that  the  objectives  of  the  indirect  action  are  achieved  with  proper  regard  for  the  financial
interests  of  the  Community.  The  Commission  may,  where  necessary  for  the  sake  of  these
interests,  adjust  the  Community  financial  contribution  or  suspend  the  indirect  action  if  the
terms of this Decision or of the contract have been infringed.

3.
The Commission, or any representative authorised by it, shall have the right to carry
out technical, technological and financial audits on the participants, in order to ensure that the
indirect action is being or has been performed under the conditions claimed and in accordance
with the terms of the contract.

Pursuant to Article 160C of the Treaty, the Court of Auditors may check on the use of

4.
the Community’s financial contribution, on the basis of its own rules.

Article 27 20

Protection of the financial interests of the Community

The  Commission  shall  ensure  that,  when  indirect  actions  are  implemented,  the  financial
interests of the Community are protected by effective checks and by deterrent measures and,
if irregularities are detected, by penalties which are effective, proportionate and dissuasive, in
accordance  with  Council  Regulations  (EC,  Euratom)  Nos  2988/959,  and  2185/9610  and
Council Regulation (Euratom) No 1074/9911.

CHAPTER IV III

SPECIFIC RULES FOR PARTICIPATION TO RTDT
ACTIVITIES UNDER THE PRIORITY THEMATIC AREA
‘FUSION ENERGY RESEARCH’

Article 28 21

Scope

The  rules  set  out  in  this  Chapter  apply  to  RTDT  activities  under  the  priority  thematic  area
‘Fusion  Energy  Research’.  In  the  event  of  any  conflict  between  the  rules  set  out  in  this
Chapter and those set out in Chapters II and III, the rules set out in this Chapter would apply.

9             OJ L 312, 23.12.1995, p.1
10            OJ L 292, 15.11.1996, p.1
11            OJ L 210, 10.08.1999, p.24

17

                                                
Article 29 22

Procedures

RTDT  activities  under  the  priority  thematic  area  ‘Fusion  Energy  Research’  may  be
implemented on the basis of procedures set out in the following frameworks:

a)

b)

c)

d)

e)

f)

Contracts  of  association  with  Member  States,  Associated  States,  or  legal  entities
established in those states;

the European Fusion Development Agreement;

any other multilateral agreement concluded by the Community with associated legal
entities,

legal  entities  which  may  be  set  up  after  the  Consultative  Committee  for  the  fusion
programme  referred  to  in  Article  5(2)  of  the  specific  programme  ‘Nuclear  Energy’
has given its opinion;

other Contracts of limited duration with  non-associated  legal  entities  established  in
Member States or Associated State;

international  agreements  relating  to  cooperation  with  third  countries,  or  any  legal
entity which may be established by such an agreement.

Article 30 23

Community financial contribution

1.
The Contracts of  association referred  to  in Article 29 22(a)  and  Contracts  of  limited
duration  referred  to  in  Article  29  22(e)  shall  establish  the  rules  relating  to  the  Community
financial contribution to the activities they cover.

The annual base rate for the Community financial contribution shall not exceed 17.5% 20%
of current expenditure in 2003, and shall decrease annually so that its average value over the
duration of the 2002-2006 Framework programme does not exceed 15%.

After consultation of the Consultative Committee for the fusion programme referred to

2.
in Article 5(2) of the specific programme ‘Nuclear Energy’, the Commission may finance :

a)

b)

the  capital  related  expenditures  of  specifically  defined  projects  to  which  priority
status has been awarded by that committee, at a uniform rate equal to 35% 37.5% ;

specifically  defined  multilateral  activities  carried  out  under  the  European  Fusion
Development  Agreement  or  by  any  legal  entity  established  for  this  purpose,
including procurements.

3.
In  the  case  of  projects  and  activities  receiving  a  financial  contribution  above  the
annual base rate referred to in the second subparagraph of paragraph 1, all the legal entities
referred to in Article 22(a) to (e) shall have the right to take part in the experiments carried
out on the equipment concerned.

4.
The Community  financial  contribution to  activities carried  out within the framework
of an international cooperation agreement referred to in Article 29 22(f) shall be defined in it
or by any legal entity established by it.

18

The  Community,  together  with  legal  entities  associated  in  the  programme,  may  create  any
appropriate  legal  entity  to  manage  its  participation  and  its  financial  contribution  to  such  an
agreement.

Done at Brussels, […]

For the European Council
The President

19

RTDT activities and Community financial contribution according to type of instrument

ANNEX

TYPE OF INSTRUMENT

RTD ACTIVITIES

Networks of Excellence

- Priority thematic areas

-  Other  activities  in  the  field  of  nuclear
safety (2)

Integrated Projects

- Priority thematic areas

-  Other  activities  in  the  field  of  nuclear
safety (2)

COMMUNITY
CONTRIBUTION (1)

Grant  for  integration:  as  a
general rule up to 25% of the
value  of  the  capacity  and
resources 
for
integration  by  participants
(3)

proposed 

Grant  to  the  budget  of  up  to
50% of the budget (4) (5)

Specific  targeted  research
or training projects

- Priority thematic areas (2)

Grant  to  the  budget  of  up  to
50% of the budget (4) (5)

-  Other  activities  in  the  field  of  nuclear
safety

Actions  to  promote  human
resources and mobility

- Priority thematic areas (2)

-  Other  activities  in  the  field  of  nuclear
safety

Grant  to  the  budget  of  up  to
100%  of  the  budget (4),  if
necessary as a lump sum

Integrated 
relating to infrastructure

initiatives

- Priority thematic areas (2)

-  Other  activities  in  the  field  of  nuclear
safety

Coordination actions

- Priority thematic areas (2)

-  Other  activities  in  the  field  of  nuclear
safety

Specific support actions

- Priority thematic areas (2)

-  Other  activities  in  the  field  of  nuclear
safety

to 

the 

Grant 
budget:
depending  on  the  type  of
activity, of 50 to 100% of the
budget (4) (5) (6)

Grant  to  the  budget  of  up  to
100 % of the budget (4)

Grant  to  the  budget  of  up  to
100%  of  the  budget (4),  if
necessary as a lump sum

(1)        The Community financial contribution shall relate to a budget made up of expenditure
additional to that otherwise borne by the participants, with the exception of proposals covered

20

by  Article  17(2)(b)  where  it  covers  a  purchase  price,  or  when  it  takes  the  form  of  a  pre-
defined lump sum pre-set by the Commission.

The  Community  may  bear  up  to  100%  of  the  costs  of  such  proposals.  Also,  in  the  specific
case  of  coordination  actions,  it  covers  up  to  100%  of  the  budget  necessary  for  the
coordination of activities funded by the participants themselves.

(2)        In duly justified cases.

(3)        This  rate  varies  for  different  areas  and  is  established  in  the  work  programme.  The
Community  contribution  additionally  covers  the  expenditure  of  the  joint  programme  of
activities.

(4)        The  model  contract  will  specify  the  conditions  according  to  which  specific  legal
entities, particularly public bodies, will receive funding of up to 100% of their marginal cost.

(5)        The  rates  of  assistance  may  be  differentiated  in  accordance  with  the  rules  of  the
Community  framework  for  State  aid  for  research  and  development  depending  on  whether
activities  relate  to  research  or  demonstration  or  to  other  activities  implemented,  such  as
training of researchers or the management of the consortium.

(6)        The  activities  of  an  integrated  initiative  relating  to  infrastructure  must  include  one
networking  activity  (coordination  action:  up  to  100%  of  the  budget)  and  at  least  one  of  the
following activities: research activities (up to 50% of the budget) or specific service activities
(for example, transnational access to research infrastructures: up to 100% of the budget).

21