Amended proposal for a Decision of the European Parliament and of the Council concerning the rules for the participation of undertakings, research centres and universities and for the dissemination of research results for the implementation of the European Community framework programme 2002-2006 (presented by the Commission pursuant to Article 250(2) of the EC-Treaty)
Date: 2002-01-10
Institutions: European Commission
Subjects: dissemination of information, research body, research programme, type of business, university

C 103 E/266

EN

Official Journal of the European Communities

30.4.2002

Amended proposal for a Decision of the European Parliament and of the Council concerning the
rules for the participation of undertakings, research centres and universities and for the dissemi-
nation of research results for the implementation of the European Community framework
programme 2002-2006 (1)

(2002/C 103 E/22)

COM(2001) 822 final — 2001/0202(COD)

(Submitted by the Commission pursuant to Article 250(2) of the EC Treaty on 10 January 2002)

(1) OJ C 332 E, 27.11.2001, p. 275.

INITIAL PROPOSAL

AMENDED PROPOSAL

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

Unchanged

Having regard to the Treaty establishing the European
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 the Economic and Social
Committee,

Acting in accordance with the procedure referred to in Article
251 of the Treaty,

Whereas:

(1) The framework programme of the European Community
for research, technological development and demonstration
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 Decision No . . . of the European Parliament
and Council. The rules for financial participation by the
to that Decision,
Community, as set out
need to be supplemented by other provisions.

in Annex III

(2) Those provisions should fit into a coherent and transparent
framework which takes full account of the objectives and
characteristics of the instruments defined in Annex III to
the 2002-2006 framework programme
to
in order
guarantee the most efficient implementation possible.

(3) The rules for the participation of undertakings, research
centres and universities should take account of the nature
of the research and technological development activities,
including demonstration activities. 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
is a national
on its legal structure, namely whether it
organisation — of
organisation,

international

an

30.4.2002

EN

Official Journal of the European Communities

C 103 E/267

INITIAL PROPOSAL

AMENDED PROPOSAL

European interest or not — a small or medium-sized
enterprise, a European Economic Interest Grouping, or an
association formed by participants.

(4) 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 inter-
national cooperation, particularly as enshrined in Articles
164 and 170 of the Treaty.

(5) International

are

dedicated

organisations which

to
developing cooperation in the field of research in Europe
and which are largely made up of Member States or
Associated States
the
creation of
European Research Area. They
should therefore be
encouraged to participate in the 2002-2006 framework
programme.

contribute

to the

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

takes part

(7) Activities under the framework programme should comply
with the financial interests of the Community and should
safeguard those interests.

(8) The rules governing the dissemination of research results
should promote the protection of the intellectual property
and the use and dissemination of those results. They should
ensure that participants have mutual access to pre-existing
know-how and to knowledge arising from research work to
the extent necessary to conduct the research work or to use
the resulting knowledge. At the same time, they should
guarantee the protection of the participants'
intellectual
assets. They should also take account of the features of
in
the integrated projects and networks of excellence,
particular by offering a high degree of flexibility to the
participants, and allowing them to agree among themselves
on the most suitable arrangements for their collaboration
and for the exploitation of the resulting knowledge.

(9) Activities under

in

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

C 103 E/268

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

HAVE DECIDED AS FOLLOWS:

CHAPTER I

INTRODUCTORY PROVISIONS

Article 1

Subject

framework programme 2002-2006 of

This Decision establishes rules for the participation of enter-
prises, research centres and universities and rules for the
dissemination of results from research carried out under the
multiannual
the
European Community for research, technological development
and demonstration activities aimed at contributing towards the
creation of the European Research Area (hereinafter referred to
as the ‘2002-2006 framework programme’), with the exception
of RTD activities executed by a joint undertaking or any other
structure set up pursuant to Article 171 of the Treaty.

Article 2

Definitions

For the purposes of this Decision:

(a)

‘RTD activity’ means one of the research and technological
including demonstration activities,
development activities,
described in Annexes
to the 2002-2006
framework programme;

and III

I

(b)

‘direct action’ means an RTD activity undertaken by the
JRC in the execution of the tasks assigned to it under the
2002-2006 framework programme;

(c)

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

(d)

(e)

(f)

the mechanisms

‘instruments’ means
indirect
Community intervention as laid down in Annex III to the
2002-2006 framework programme, with the exception of
Community financial participation pursuant to Article 169
of the Treaty;

for

a grant

the
‘contract’ means
performance of an indirect action establishing rights and
obligations between the Community and the participants in
that indirect action;

concerning

agreement

‘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;

30.4.2002

EN

Official Journal of the European Communities

C 103 E/269

INITIAL PROPOSAL

AMENDED PROPOSAL

(g)

‘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 obli-
gations of any kind in its own name;

(h)

‘consortium’ means all the participants in the same indirect
action;

(i)

(j)

‘international organisation’ means any legal entity arising
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;

organisation,

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

and technological

the majority

scientific

(k)

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

(l)

‘associated State’ means a State which is party to an inter-
national agreement with the Community, under the terms
or on the basis of which it makes a financial contribution
to all or part of the 2002-2006 framework programme;

(m) ‘third country’ means a State that is neither a Member State

nor an Associated State;

(n) ‘European Economic Interest Grouping’ (EEIG) means any
legal entity established in accordance with Council Regu-
lation (EEC) No 2137/85 (1);

(o)

‘small and medium-sized enterprises’ (hereinafter referred to
as ‘SMEs’) means enterprises which meet the criteria set out
in Commission Recommendation 96/280/EC (2);

(p)

‘enterprise grouping’ means any legal entity made up for
the most part of SMEs and representing their interests;

(q)

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

___________
(1) OJ L 199, 31.7.1985, p. 1.
(2) OJ L 107, 30.4.1996, p. 1.

C 103 E/270

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

(r)

(s)

(t)

‘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;

to the conclusion of

‘pre-existing know-how’ means the information which is
held by participants prior
the
contract or acquired in parallel with it, as well as
rights pertaining to such information
copyrights or
issue of, patents,
following applications
designs,
protection
certificates or similar forms of protection;

supplementary

varieties,

for, or

plant

the

the

‘knowledge’ means
including information,
results,
whether or not they can be protected, which are yielded
by direct actions and indirect actions, as well as copyrights
to such information following
or
applications for, or the issue of patents, designs, plant
varieties, supplementary protection certificates or similar
forms of protection;

rights pertaining

(u)

‘dissemination’ means the disclosure of knowledge by any
appropriate means other than publication resulting from
the formalities for protecting knowledge;

(v)

‘use’ means the direct or indirect utilisation of knowledge
in research activities or for creating and marketing a
product or process or for creating and providing a service.

Article 3

Independence

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) 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;

(b) direct or indirect holding in fact or in law of decision-

making powers in a legal entity.

30.4.2002

EN

Official Journal of the European Communities

C 103 E/271

INITIAL PROPOSAL

AMENDED PROPOSAL

2.
Direct or indirect holding of more than 50 % of the
nominal value of the issued share 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
in itself give rise to a controlling

3.
public body shall not
relationship between them.

CHAPTER II

INSTRUMENTS

Deleted

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
existing or
emerging research 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
concerned shall be generally targeted towards
activities
long-term, multidisciplinary
precise,
objectives,
predefined results in terms of products, processes or services.

integration of

not

at

To create a virtual centre of excellence, the participants
2.
shall
implement a joint programme of activities involving a
considerable part or even all of their research 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
activities and shall necessarily include integration activities as
well as activities related to the spreading of excellence outside
the network, as described in Annex III to Council Decision . . .
[laying down the
and
strengthening
the European Research Area’]. 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.

specific programme

‘Integrating

C 103 E/272

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

Article 5

Integrated projects

AMENDED PROPOSAL

to

boost

projects

designed

Integrated

1.
the
are
Community's competitiveness or help solve major societal
problems by mobilising a critical mass of research and tech-
nological development 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,
applicable results in terms of products, processes or services.

In principle,

2.
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 needed to achieve common overall objectives, and
integrated to form a coherent whole and implemented in close
coordination.

The activities carried out as part of an integrated project shall
include research, technological development and even demon-
stration 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 Decision
. . .
[laying down the specific programme ‘Integrating and
strengthening the European Research Area’], 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 innovation projects

Specific targeted research projects may take either of the

1.
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 innovation projects are designed to test,
validate and disseminate new innovation concepts and methods
at the European level.

30.4.2002

EN

Official Journal of the European Communities

C 103 E/273

AMENDED PROPOSAL

INITIAL PROPOSAL

Article 7

Specific research projects for SMEs

Specific research projects for SMEs may take either of the
following forms:

(a) cooperative research projects enabling SMEs to approach
legal entities possessing appropriate research capabilities
with a view to carrying out specific research activities;

(b) collective research projects undertaken by legal entities
possessing appropriate research capabilities for the benefit
of enterprise groupings, in fields and on subjects of interest
to a large number of SMEs facing common problems.

Article 8

Integrated infrastructure initiatives

Integrated infrastructure initiatives shall incorporate a range of
activities essential
to reinforce and develop research infra-
structures 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 infra-
include a component of
structure performance. They shall
dissemination of knowledge to potential users,
including
industry and in particular to SMEs.

Article 9

Actions to promote human resources and mobility

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

structures,

including

Article 10

Coordination actions

Coordination actions shall be intended to promote and support
the coordinated initiatives of a range of research and inno-
vation operators. They shall cover a range of activities such
as the organisation of conferences, meetings, the performance
of studies, exchanges of personnel, the exchange and propa-
gation 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.

C 103 E/274

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

Article 11

Specific support actions

AMENDED PROPOSAL

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
technological development 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
information
groups, operational support and dissemination,
and communication activities, or a combination of these, as
appropriate in each case.

CHAPTER III

CHAPTER II

PARTICIPATION IN INDIRECT ACTIONS AND FINANCING

Unchanged

Article 12

Article 4

General principles

Unchanged

Any legal entity taking part in an indirect action may
to the

1.
receive a Community financial contribution subject
provisions of Articles 14 and 15.

Any legal entity taking part in an indirect action may
to the

1.
receive a Community financial contribution subject
provisions of Articles 6 and 7.

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.

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 5.

3.
The JRC may participate in indirect actions on the same
footing and shall have the same rights and obligations as a
legal entity established in a Member State.

Unchanged

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 obli-
gations as a legal entity established in a Member State in
accordance with its Statute of Establishment.

30.4.2002

EN

Official Journal of the European Communities

C 103 E/275

INITIAL PROPOSAL

AMENDED PROPOSAL

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

Article 13

Article 5

Minimum numbers of participants and their place of
establishment

Unchanged

The work programmes

1.
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 RTD activity.

shall

2.
For networks of excellence and integrated projects, the
minimum number of 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
3.
resources and mobility, 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.

4.
For instruments other than those covered in paragraphs 2
and 3, the minimum number 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.

An EEIG or any legal entity established in a Member State
5.
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 paragraphs 1 to 4.

C 103 E/276

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

Article 14

AMENDED PROPOSAL

Article 6

Participation by legal entities from third countries

Unchanged

and above

Any legal entity established in a third country may
1.
participate, over
the minimum number of
participants fixed in accordance with the terms of Article 13,
in RTD activities under the objective ‘Integrating research’ of
Decision . . . [laying down the specific programme ‘Integrating
and strengthening the European Research Area’].

and above

Any legal entity established in a third country may
1.
participate, over
the minimum number of
participants fixed in accordance with the terms of Article 5,
in RTD activities under the objective ‘Integrating research’ of
Decision . . . [laying down the specific programme ‘Integrating
and strengthening the European Research Area’].

Any legal entity established in a third country targeted by the
specific international cooperation activities under the specific
‘Integrating and strengthening the European
programme
in the RTD activities
Research Area’,
a
mentioned
receive
Community financial contribution within the limits of
the
budget allocated in Annex II to the 2002-2006 framework
programme for the action referred to in point (b) of Article
164 of the Treaty.

subparagraph, may

and taking part

in the

first

Unchanged

Any legal entity established in a third country other than a
country covered by the second subparagraph, and taking part
in the RTD activities referred to in the first subparagraph, may
receive a Community financial contribution if provision is
made therefor under an RTD activity or if it is essential for
carrying out the indirect action.

Any legal entity established in a third country which has
2.
concluded a scientific and technological cooperation agreement
with the Community may take part in RTD activities other
than those covered by paragraph 1, over and above the
minimum number of participants fixed in accordance with
the terms of Article 13,
in accordance with the conditions
stipulated in that agreement.

Any legal entity established in a third country which has
2.
concluded a scientific and technological cooperation agreement
with the Community may take part in RTD activities other
than those covered by paragraph 1, over and above the
minimum number of participants fixed in accordance with
the terms of Article 5,
in accordance with the conditions
stipulated in that agreement.

It may receive a Community financial contribution if provision
is made for this under an RTD activity or if it is essential for
carrying out the indirect action.

Unchanged

3.
Any legal entity established in a third country other than
those covered by paragraph 2 may take part in RTD activities
other than those covered by paragraph 1, over and above the
minimum number of participants fixed in accordance with the
terms of Article 13, if such participation is provided for under
an RTD activity or if it is necessary for carrying out the indirect
action.

3.
Any legal entity established in a third country other than
those covered by paragraph 2 may take part in RTD activities
other than those covered by paragraph 1, over and above the
minimum number of participants fixed in accordance with the
terms of Article 5, if such participation is provided for under
an RTD activity or if it is necessary for carrying out the indirect
action.

30.4.2002

EN

Official Journal of the European Communities

C 103 E/277

INITIAL PROPOSAL

AMENDED PROPOSAL

It may receive a Community financial contribution if provision
is made for this under an RTD activity or if it is essential for
carrying out the indirect action.

Unchanged

Article 15

Article 7

Participation by international organisations

Unchanged

international organisation other

Any
than international
European interest organisations may take part in RTD activities
under the objective ‘Integrating research’ of Decision . . . laying
down the specific programme ‘Integrating and strengthening
the European Research Area’, subject to the conditions set
out in the first and third subparagraphs of Article 14(1), and
in other RTD activities subject to the conditions set out in
Article 14(3).

international organisation other

Any
than international
European interest organisations may take part in RTD activities
under the objective ‘Integrating research’ of Decision . . . laying
down the specific programme ‘Integrating and strengthening
the European Research Area’, subject
to the conditions set
out in the first and third subparagraphs of Article 6(1), and
in other RTD activities subject to the conditions set out in
Article 6(3).

Article 16

Article 8

Conditions relating to technical competence and resources

Unchanged

Participants

1.
competence needed to carry out the indirect action.

shall have the knowledge and technical

At

the

time when they present

2.
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 indirect action are
The resources needed to carry out
infrastructure,
financial
understood to be human resources,
resources and,
intangible property and other
resources made available by a third party on the basis of a
prior commitment.

if necessary,

Article 17

Article 9

Submission of proposals for indirect actions

Unchanged

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

C 103 E/278

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

2.

Paragraph 1 shall not apply to:

(a) specific support actions for the activities of legal entities

identified in the work programmes;

(b) specific support actions consisting of a purchase or service
governed by the terms applicable to public procurement
procedures;

of

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

programmes,

for which

specific

(d) specific support actions covered by Article 19.

(d) specific support actions covered by Article 11.

Calls for expressions of interest may be issued prior to
3.
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.

Unchanged

Article 18

Article 10

Evaluation and selection of proposals for indirect actions

Unchanged

The proposals for indirect actions covered in Article
1.
17(1) and Article 17(2)(c) shall be evaluated according to the
following criteria:

The proposals for indirect actions covered in Article 9(1)
1.
and Article 9(2)(c) shall be evaluated according to the following
criteria:

(a) relevance to the objectives of the specific programme;

Unchanged

(b) scientific and technological excellence;

(c) added value to the Community, including the critical mass
of resources mobilised, the expected impact or contribution
to Community policies;

(d) quality of the plan for the use or dissemination of the
and

for promoting innovation,

knowledge, potential
ability to manage intellectual property;

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

30.4.2002

EN

Official Journal of the European Communities

C 103 E/279

INITIAL PROPOSAL

AMENDED PROPOSAL

In applying paragraph 1(c), the following criteria shall

2.
also be taken into account:

(a)

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
the period
capabilities and resources after the end of
covered by the Community's financial contribution;

(b) for

integrated projects,

the
objectives and the capacity of the resources to make a
significant contribution to reinforcing competitiveness or
solving societal problems;

the scale of ambition of

(c)

integrated initiatives

for
the
prospects of the initiative's continuing long term after the
end of the period covered by the Community's financial
contribution.

relating to infrastructure,

type of

in accordance with the

The work programmes of the specific programmes shall
3.
determine,
instruments
deployed or the objectives of the RTD activity, which of the
in paragraph 1 shall be applied by the
criteria set out
Commission. These criteria, and those of paragraph 2, shall
be clarified or complemented, particularly to take account of
the contribution of
indirect actions to
the proposals for
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
the European Union, or
Charter of Fundamental Rights of
which does not
in the work
for proposals may be excluded
programme or in the call
from the evaluation and selection procedure at any time.

the conditions set out

fulfil

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.

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

The Commission shall evaluate the proposals with the
6.
independent experts appointed in accordance with
help of
the provisions of Article 11. For
some specific support
actions, particularly those covered by Article 9(2), independent
experts shall be appointed only if the Commission deems it
appropriate.

C 103 E/280

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

Article 19

AMENDED PROPOSAL

Article 11

Appointment of independent experts

Unchanged

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

The Commission shall designate independent experts to
1.
assist with the evaluation required under
the 2002-2006
framework programme and the specific programmes, and
also for the assistance referred to in Article 10(6) and the
second subparagraph of Article 18(1).

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

Unchanged

The Commission shall appoint the independent experts in

2.
accordance with one of the following procedures:

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

research policy or

in research,

the

(a) The independent experts appointed by the Commission for
the evaluations provided for in Article 6 of the 2002-2006
framework programme, Article 9(2) of Decision [. . .], and
Article 8(2) of
the specific programme ‘Structuring the
European Research Area’ shall be very high-ranking indi-
viduals from the fields of science, industry or politics with
research policy or
in research,
significant experience
research programme management at national or inter-
national level.

(b) 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 auth-
orities in the relevant specialist area.

Unchanged

(c) 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.

into consideration in a balanced manner,

(d) For cases other than those covered by points (a), (b) and (c),
and in order to take the various operators in the research
sector
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 appro-
priate skills from outside the lists.

30.4.2002

EN

Official Journal of the European Communities

C 103 E/281

INITIAL PROPOSAL

AMENDED PROPOSAL

an

expert,

appointing

independent

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

Contracts

Article 12

Unchanged

Contracts for the indirect action proposals selected shall
1.
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.

2.
The contract shall establish the rights and obligations of
participants in accordance with this Decision, and in particular
the arrangements for the technical, technological and financial
its
monitoring of
for the
objectives,
payment of
if
applicable, conditions for the eligibility of any necessary expen-
diture, as well as rules for dissemination and use.

the Community financial contribution and,

for changes in consortium membership,

for the updating of

the indirect action,

3.
In order to ensure the protection of the financial interests
of the Community, appropriate penalties shall be included in
the contracts.

4.
The conclusion of a contract shall not affect the right of
the Commission to adopt a recovery decision, enforceable
within the meaning of Article 256 of the Treaty, to obtain
reimbursement of an amount due from a participant. Before
adopting a decision of this kind, the Commission shall ask for
the participant's comments to be submitted before a specified
date.

Article 21

Article 13

Execution of indirect actions

Unchanged

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

The Community financial contribution to an indirect
in accordance with the arrangements
to the participant designated by

2.
action shall be paid,
stipulated in the contract,
the consortium and approved by the Commission.

C 103 E/282

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

shall

latter

The
financial
contribution according to decisions taken by the consortium
regarding its allocation to participants and activities.

the Community

administer

3.
Subject to the arrangements provided for in the contract
based on the type of the instrument and the extent of the
contribution made by participants:

(a) 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,
the part
allocated to the participants referred to in subparagraph (b);

except

for

(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.

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(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.

5. When several
legal entities are grouped in a common
legal entity acting as a single participant in accordance with
Article 5(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

Article 14

Community financial contribution

Unchanged

and within the

In accordance with Annex III to the 2002-2006 framework
programme,
the Community
framework for State aid for research and development (1), the
Community financial contribution may take three distinct
forms, as follows:

limits of

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

Unchanged

___________
(1) OJ C 45, 17.2.1996, p. 5.

30.4.2002

EN

Official Journal of the European Communities

C 103 E/283

INITIAL PROPOSAL

AMENDED PROPOSAL

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
themselves and which are
borne by the participants
certified by an external auditor or,
in the case of public
legal entities, a competent public officer.

(b) For

some actions

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

(b) For

some actions

to promote human resources and
mobility and some specific support actions, except for the
indirect actions covered by Article 9(2)(b), it may take the
form of a lump sum payment.

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

(c) For integrated projects and the other instruments, except
for those covered by points (a) and (b) and indirect actions
covered by Article 9(2)(b), it shall take the form of a grant
to the budget, calculated as a percentage of the budget
the indirect
allocated by the participants to carry out
action, adapted according to the type of activity.

shall

specify

contract

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

Unchanged

The contract may lay down average rates by type of expen-
diture 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

Article 15

Changes in consortium membership

Unchanged

the

limits

the Community

1. Within
financial
of
contribution and regardless of the instrument, the membership
of a consortium may, on its own initiative or in execution of
the
the
Commission, and in particular be extended to include any
the
legal
indirect action.

contract, be modified with the

entity contributing to the

implementation of

agreement of

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.

C 103 E/284

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

2.
The joint programme of activities for a network of
excellence or the execution plan for an integrated project
the
shall
consortium shall require the prior publication of a competitive
call.

in the membership of

specify which changes

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 in the light of the criteria
which governed the evaluation and selection of the indirect
action, defined according to the terms of Article 18(3) and
(4), and with the assistance of independent experts appointed
by the consortium on the basis of the criteria described in
Article 19(2)(b).

The consortium shall evaluate offers in the light of the criteria
which governed the evaluation and selection of the indirect
action, defined according to the terms of Article 10(3) and
(4), and with the assistance of independent experts appointed
by the consortium on the basis of the criteria described in
Article 11(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.

Unchanged

Article 24

Article 16

Additional financial contribution

Unchanged

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 Article 18.

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 Article 10.

Article 25

Article 17

Consortium activities in favour of third parties

Unchanged

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.

30.4.2002

EN

Official Journal of the European Communities

C 103 E/285

INITIAL PROPOSAL

Article 26

AMENDED PROPOSAL

Article 18

Technical, technological and financial monitoring and
audits

Unchanged

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

the plan for

In monitoring the networks of excellence,
projects and, where necessary, other
Commission shall
by
be
appointed in accordance with Article 19(2).

assisted

the integrated
the
experts

indirect actions,
independent

In monitoring the networks of excellence,
projects and, where necessary, other
Commission shall
by
be
appointed in accordance with Article 11(2).

assisted

the integrated
the
experts

indirect actions,
independent

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

the objectives of
regard for

these interests, adjust

Unchanged

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.

4.
Pursuant to Article 248(2) of the Treaty, the Court of
Auditors may check on the use of the Community's financial
contribution, on the basis of its own rules.

Article 27

Article 19

Protection of the financial interests of the Community

Unchanged

interests of

the financial

The Commission shall ensure that, when indirect actions are
implemented,
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 Regu-
lations (EC, Euratom) Nos 2988/95 (1) and 2185/96 (2), and
with European Parliament
and Council Regulation (EC)
No 1073/99 (3).

___________
(1) OJ L 312, 23.12.1995, p. 1.
(2) OJ L 292, 15.11.1996, p. 2.
(3) OJ L 136, 31.5.1999, p. 1.

C 103 E/286

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

CHAPTER IV

AMENDED PROPOSAL

CHAPTER III

RULES FOR DISSEMINATION AND USE

Unchanged

Article 28

Article 20

Ownership of knowledge

Unchanged

Knowledge arising from work carried out under direct

1.
actions shall be the property of the Community.

Knowledge arising from work carried out under indirect
2.
actions fully funded by the Community shall in principle be the
property of the Community. Knowledge arising from work
carried out under
indirect actions partly funded by the
Community shall be the property of the participants carrying
out the work leading to that knowledge.

3. Where several participants have jointly carried out work
generating knowledge, they shall have joint ownership of such
knowledge and shall agree among themselves on the allocation
and the terms of exercising the ownership of the knowledge in
accordance with the provisions of this Decision and of the
contract.

Knowledge arising from work carried out under coop-
4.
shall be the joint
erative or collective research projects
property of
the SMEs or the enterprise groupings, which
shall agree among themselves on the allocation and the
terms of exercising the ownership of
the knowledge in
accordance with the provisions of this Decision and of the
contract.

5.
If personnel employed by a participant are entitled to
claim rights to knowledge, the participant shall take steps or
reach appropriate agreements to ensure that these rights can be
exercised in a manner compatible with its obligations under
this Decision and the contract.

6. Where a participant transfers ownership of knowledge, it
shall take steps or conclude agreements to pass on its obli-
gations under this Decision and the contract to the assignee. As
long as the participant is required to grant access rights, it shall
give prior notice to the Commission and the other participants
in the same indirect action of the envisaged assignment and the
assignee.

The Commission may object to any transfer of ownership to
third parties, in particular to those not established in a Member
State or an Associated State,
in
accordance with the interests of developing the competitiveness
of Community industry, or is inconsistent with ethical prin-
ciples, in particular those described in the Charter of Funda-
mental Rights of the European Union.

if such a transfer is not

30.4.2002

EN

Official Journal of the European Communities

C 103 E/287

INITIAL PROPOSAL

Article 29

AMENDED PROPOSAL

Article 21

Protection of knowledge

Unchanged

1. Where appropriate, the owner of knowledge shall provide
adequate and effective protection for knowledge that is capable
of industrial or commercial application, with particular regard
to the legitimate interests of the participants concerned and in
accordance with the contract and any applicable legislation.

2. Where the Commission considers it necessary to protect
knowledge in a particular country, and where such protection
has not been applied for or has been waived, the Commission
may, with the agreement of the participant concerned, adopt
protective measures. In this event, and as far as that particular
country is concerned, the Community shall take on the obli-
gations regarding the granting of access rights in the place of
the participant. The participant may only refuse if
it can
demonstrate that its legitimate interests will be significantly
impaired.

this does not affect

3.
A participant may publish or allow the publication of
data, on whatever medium, concerning knowledge it owns
provided that
that
knowledge. The Commission and the other participants in
the same indirect action shall be given prior notice of any
planned publication, and may object
this would
adversely affect the protection of knowledge.

the protection of

to it

if

Article 30

Article 22

Use and dissemination of knowledge

Unchanged

1.
The participants and the Community shall use or cause to
be used the knowledge arising from the direct actions or
indirect actions, which they own,
in accordance with the
interests of the participants concerned. The participants shall
set out the terms of use in a detailed and verifiable manner.

If knowledge is suitable for dissemination or if it is not
2.
used in accordance with paragraph 1, the participants shall
ensure that it is disseminated within a period laid down by
the Community. Should the participants fail to do so, the
Particular
Commission may disseminate
account shall be taken of the following factors:

the knowledge.

(a) the benefits of swift dissemination, for example in order to
avoid duplication of research efforts and to create synergies
between indirect actions;

C 103 E/288

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

(b) the need to safeguard intellectual property rights;

(c) confidentiality;

(d) the legitimate interests of the participants.

Article 31

Article 23

Making available knowledge arising from direct actions

Unchanged

Knowledge arising from work carried out under direct actions
may be made available to one or more interested legal entities,
in particular to those established in a Member State or an
Associated State, provided that
entities
undertake to use the knowledge or to ensure that it is used.
Such availability of knowledge shall be subject to appropriate
conditions, in particular concerning the payment of fees.

said legal

the

Article 32

Article 24

Principles for access rights in indirect actions

Unchanged

1.
Access rights shall be granted on request. The granting of
access rights may be made conditional on the conclusion of
specific agreements aimed at ensuring that they are used only
for the intended purpose, and of appropriate undertakings as to
confidentiality. Participants may also conclude agreements with
in particular, of granting additional or more
the purpose,
favourable access
to third
parties, or specifying the requirements applicable to access
rights, but not restricting the latter. Such agreements shall
comply with the applicable competition rules.

including access

rights,

rights

The Commission may object to any grant of access rights to
third parties, in particular to those not established in a Member
State or an Associated State, if such grant is not in accordance
with the interests of developing the competitiveness of
in particular those
European industry, or ethical principles,
described in the Charter of Fundamental Rights of
the
European Union.

2.
Access rights to pre-existing know-how shall be granted
provided that the participant concerned is free to grant them.

3.
A participant may explicitly exclude specific pre-existing
know-how from the obligation to grant access rights, by means
of a written agreement between the participants before the
participant concerned signs the contract or before a new
participant
joins the indirect action. The other participants
may only withhold their agreement if they demonstrate that
their legitimate interests will be significantly impaired thereby.

30.4.2002

EN

Official Journal of the European Communities

C 103 E/289

INITIAL PROPOSAL

AMENDED PROPOSAL

Except where the participant granting access rights so
to grant

shall confer no entitlement

such rights

4.
agrees,
sub-licences.

Article 33

Article 25

Access rights for the execution of indirect actions

Unchanged

1.
Participants in the same indirect action shall enjoy access
rights to the knowledge arising from work carried out under
the indirect action and to the pre-existing know-how needed to
carry out their own work under that indirect action. Access
rights to knowledge shall be granted on a royalty-free basis.
Access rights to pre-existing know-how shall be granted on a
royalty-free basis, unless other conditions have been agreed
before signature of the contract.

2.
Subject to its legitimate interests, the termination of the
participation of a participant shall in no way affect the obli-
gation to grant access rights pursuant to paragraph 1 to the
other participants in the same indirect action until its end.

Article 34

Article 26

Access rights for use

Unchanged

1.
Participants in the same indirect action shall enjoy access
rights to the knowledge arising from work carried out under
the indirect action and to the pre-existing know-how needed to
use their own knowledge. Access rights to knowledge shall be
granted on a royalty-free basis, unless other conditions were
agreed upon before signature of the contract. Access rights to
pre-existing know-how shall be granted on non-discriminatory
conditions to be agreed.

Subject

to the participants'

2.
legitimate interests, access
rights may be requested under the conditions laid down in
paragraph 1 until
the indirect
the participation of a
action or after
participant, whichever falls earlier, unless the participants in
the same indirect action agree on a longer period.

two years after the end of

the termination of

Article 35

Article 27

Incompatible or restrictive commitments

Unchanged

Participants

1.
commitments
provided for in this Decision.

shall

to avoid
take all necessary steps
that are incompatible with the obligations

C 103 E/290

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

2.
Participants in the same indirect action shall be informed
as soon as possible by the participant required to grant access
rights of any limitations to the granting of access rights to
pre-existing know-how, of any obligations to grant rights to
knowledge, or of any restriction which might substantially
affect the granting of access rights, as the case may be.

INITIAL PROPOSAL

ANNEX

RTD ACTIVITIES AND COMMUNITY FINANCIAL CONTRIBUTION ACCORDING TO TYPE OF
INSTRUMENT

Type of instrument (1)

RTD activities

Community contribution (2)

Networks of Excellence

— Priority thematic areas

— Scientific and technological needs of
the policies of the Community and
new or emerging scientific and tech-
nological needs

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

and
integration

Integrated Projects

— Priority thematic areas

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

Specific targeted research or inno-
vation projects

— Scientific and technological needs of
the policies of the Community and
new or emerging scientific and tech-
nological needs

— Scientific and technological needs of
the policies of the Community and
new or emerging scientific and tech-
nological requirements

— Specific
activities

international

cooperation

— Promoting

interaction
research and innovation

between

— Developing

harmonious

relations

between science and society

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

Actions
to
resources and mobility

promote

human

— Promotion of human resources and

mobility

to the budget of up to
if

Grant
100 % of
necessary as a lump sum

budget (4),

the

Integrated
infrastructure

initiatives

relating

to

— Support for research infrastructures

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

30.4.2002

EN

Official Journal of the European Communities

C 103 E/291

Type of instrument (1)

RTD activities

Community contribution (2)

Specific research projects for SMEs — Specific research activities for SMEs

Coordination actions

the activities of

In all
framework programme, except for:

the 2002-2006

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

to the budget of up to

Grant
100 % of the budget (4) (7)

— Priority thematic areas

— Specific research activities for SMEs

Specific support actions

the activities of
In all
framework programme

the 2002-2006

to the budget of up to
the budget (4) (7) (8),
if

Grant
100 % of
necessary as a lump sum

(1) Networks of excellence and integrated projects shall be carried out only in the scientific and technical areas covered by the priority
thematic areas and, in duly justified cases, in areas covered by scientific and technological needs of the policies of the Community and
new or emerging scientific and technological needs.
The other instruments shall be used in all scientific and technical areas, including those corresponding to the priority thematic areas,
in accordance with Annex I to the 2002-2006 framework programme and Annex I to the specific programmes.

(2) 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 by Article 17(2)(b), when it covers a purchase price or 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.

(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).

(7) For indirect actions making preparations to meet future scientific and technological needs including specific international cooperation

activities, the Community contribution is limited to 50 % of the budget of the various types of activities implemented.

(8) For actions in support of research infrastructure relating to preparatory technical work (including feasibility studies) and the devel-
opment of new infrastructure, 2002-2006 framework programme participation is restricted to 50 % and 10 % of the budget
respectively.

AMENDED PROPOSAL

Deleted