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: 2002-04-30
Institutions: European Commission
Subjects: EU financing, EU programme, innovation, nuclear energy, regulation, research programme

30.4.2002

EN

Official Journal of the European Communities

C 103 E/331

Amended proposal for a Council Decision concerning the rules for the participation of under-
takings, research centres and universities in the implementation of the framework programme
2002-2006 of the European Atomic Energy Community (Euratom) (1)

(2002/C 103 E/24)

COM(2001) 823 final/2 — 2001/0327(CNS)

(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 COUNCIL OF THE EUROPEAN UNION,

Unchanged

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,

Having regard to the opinion of the European Parliament,

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

Whereas:

the European Atomic
(1) The framework programme of
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.
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.

(2) These provisions must be in line with a coherent and trans-
parent 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./Euratom, in order to guarantee the
most efficient implementation possible.

(3) 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.

C 103 E/332

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

(4) Activities under

in

the framework programme must be
principles,
compliance with
ethical
conducted
in the Charter of Fundamental
including those set out
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.

(5) 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 Article
101 of the Treaty.

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

should be

(7) 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

(8) Activities under the framework programme must comply
interests of the Community and must

with the financial
safeguard those interests,

HAS DECIDED AS FOLLOWS:

CHAPTER I

INTRODUCTORY PROVISIONS

Article 1

Subject

This Decision establishes rules for the participation of enter-
prises, 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) ‘indirect action’ means an RTDT activity undertaken by one
or more participants by means of an instrument of the
2002-2006 framework programme;

30.4.2002

EN

Official Journal of the European Communities

C 103 E/333

INITIAL PROPOSAL

AMENDED PROPOSAL

the research and tech-
(b) ‘RTDT activity’ means one of
nological development activities,
including demonstration
activities, and training activities, described in Annex to
the 2002-2006 framework programme;

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

(d) ‘consortium’ means all the participants in the same indirect

action;

(e) ‘contract’ means

a grant

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

concerning

agreement

(f) ‘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 kinds in its own name;

(g) ‘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 budget of the 2002-2006 framework
programme;

(h) ‘Associated candidate country’ means an Associated State
acknowledged by the Community as a candidate for
accession to the European Union;

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

(j) ‘instruments’ means

indirect
Community intervention as laid down in Annex III to the
specific programme ‘Nuclear Energy’;

the mechanisms

for

(k) ‘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;

(l) ‘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;

___________
(1) OJ L 199, 31.7.1985, p. 1.

C 103 E/334

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

organisation,

(m) ‘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

(n) ‘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;

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

nor an Associated State;

Article 3

Independence

Two legal entities shall be independent of one another for
1.
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.

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
existing or
a progressive and permanent

integration of

30.4.2002

EN

Official Journal of the European Communities

C 103 E/335

INITIAL PROPOSAL

AMENDED PROPOSAL

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

not

at

To create a virtual centre of excellence, the participants
2.
implement a joint programme of activities involving a
shall
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 the network, as described in Annex III to
Council Decision 200./. . ./EURATOM [laying down the specific
programme
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.

energy’]. With

‘Nuclear

Article 5

Integrated Projects

to

boost

projects

designed

Integrated

the
are
1.
Community's competitiveness or help solve major societal
tech-
problems by mobilising a critical mass of research,
nological
and
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.

development

training

In principle,

integrated projects shall comprise a set of
2.
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 imple-
mented 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.

C 103 E/336

EN

Official Journal of the European Communities

30.4.2002

AMENDED PROPOSAL

INITIAL PROPOSAL

Article 6

Specific targeted research or training 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.

Specific targeted projects on training are designed to
timely diffusion of new knowledge on a

2.
facilitate
European scale and better integrate national activities.

the

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
include a
improve infrastructure performance. They shall
component of dissemination of knowledge to potential users,
including industry and in particular to SMEs.

Article 8

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 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
training
such as the organisation of conferences, meetings,

30.4.2002

EN

Official Journal of the European Communities

C 103 E/337

INITIAL PROPOSAL

AMENDED PROPOSAL

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
and
for
management of joint or common initiatives.

organisation

definition,

support

the

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
involve
In particular,
conferences, seminars, studies and analyses, high level scientific
awards and competitions, working groups and expert groups,
operational
information and
communication activities, or a combination of these, as appro-
priate in each case.

and dissemination,

activities.

support

shall

they

CHAPTER III

CHAPTER II

RULES FOR PARTICIPATION AND FINANCING

Unchanged

Article 11

Scope

Article 4

Unchanged

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 12

Article 5

General principles

Unchanged

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

1.
receive a Community financial contribution subject
provisions of Article 14.

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

1.
receive a Community financial contribution subject
provisions of Articles 7 and 8.

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 6.

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

C 103 E/338

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

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.

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.

Article 13

Article 6

Minimum numbers of participants and their place of
establishment

Unchanged

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
2.
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.

3.
Specific support actions and actions in favour of human
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 paragraph 1 to 4.

30.4.2002

EN

Official Journal of the European Communities

C 103 E/339

INITIAL PROPOSAL

Article 14

AMENDED PROPOSAL

Article 7

Participation by legal entities from third countries

Unchanged

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

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 terms of Article 6, if such partici-
pation is provided for under an RTDT activity or if
is
necessary for carrying out the indirect action.

it

Any legal entity established in a third country may
2.
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.

Unchanged

Article 15

Article 8

Participation by international organisations

Unchanged

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

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

Article 16

Article 9

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

their proposal,
2.
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,

C 103 E/340

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

Article 17

AMENDED PROPOSAL

Article 10

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.

2.

Paragraph 1 shall not apply to:

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

identified in the work programme;

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

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

the specific programme,

(d) Specific support actions covered by Article 19.

(d) Specific support actions covered by Article 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.

Unchanged

Article 18

Article 11

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
1.
10(1) and Article 10(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;

30.4.2002

EN

Official Journal of the European Communities

C 103 E/341

INITIAL PROPOSAL

AMENDED PROPOSAL

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

knowledge, potential
for promoting
ability to manage intellectual property;

innovation,

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

In applying paragraph 1(c), the following criteria will also

2.
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
capabilities and resources after
the period
covered by the Community financial contribution;

the end of

(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) For

integrated initiatives

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

relating to infrastructure,

type of

in accordance with the

The work programme of the specific programme shall
3.
determine,
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
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
programme or in the call
for proposals may be excluded
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.

C 103 E/342

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

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
some specific support
the provisions of Article 12. For
actions, particularly those covered by Article 10(2),
inde-
pendent experts shall be appointed only if the Commission
deems it appropriate.

Article 19

Article 12

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 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

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
the specific
framework programme and Article 6(2) of
programme 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,

(a) 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 7(2) of
the specific programme shall be very high-ranking indi-
viduals from the fields of science,
industry or politics
with significant experience in research, research policy or
research programme management at national or inter-
national level.

(b) The independent experts appointed by the Commission to
in the evaluation of proposals for networks of
assist
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.

(d) 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.

30.4.2002

EN

Official Journal of the European Communities

C 103 E/343

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 13

Unchanged

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.

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.

the Community financial contribution and,

for changes in consortium membership,

for the updating of

the indirect action,

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

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

Article 21

Article 14

Execution of indirect actions

Unchanged

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.

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.

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

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:

C 103 E/344

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

(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 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

Article 15

Community financial contribution

Unchanged

In accordance with the Annex to this Decision, and within the
limits of the Community framework for State aid for research
and development (1),
the Community financial contribution
may take three distinct forms, as follows:

In accordance with Annex III to the framework programme,
the Community financial contribution may take three distinct
forms, as follows:

(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

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.

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

(b) For

some actions

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

30.4.2002

EN

Official Journal of the European Communities

C 103 E/345

INITIAL PROPOSAL

AMENDED PROPOSAL

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

(c) For integrated projects and the other instruments, except
for those covered by (a) and (b) and indirect actions
it shall take the form of a
covered by Article 10(2)(b),
the
grant
to the budget, calculated as a percentage of
budget allocated by the participants to carry out
the
indirect 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 16

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
legal
the
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.

The joint programme of activities for a network of
2.
excellence or
the implementation 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) 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);

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

C 103 E/346

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

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

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

Unchanged

Article 24

Article 17

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 with Article 11.

Article 25

Article 18

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.

Article 26

Article 19

Technical, technological and financial monitoring and
audits

Unchanged

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 use or dissemination of knowledge
submitted by the participants in accordance with the terms
of the contract.

the plan for

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

indirect actions,
independent

assisted

be

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

indirect actions,
independent

assisted

be

30.4.2002

EN

Official Journal of the European Communities

C 103 E/347

INITIAL PROPOSAL

AMENDED PROPOSAL

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.

Pursuant to Article 160C of the Treaty, the Court of
4.
Auditors may check on the use of the Community's financial
contribution, on the basis of its own rules.

Article 27

Article 20

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
and
1074/99 (3).

(EC, Euratom) Nos 2988/95 (1), 2185/96 (2)

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
Council Regulation (Euratom) No 1074/99 (3).

CHAPTER IV

CHAPTER III

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

Unchanged

Article 28

Scope

Article 21

Unchanged

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

Article 29

Procedures

Article 22

Unchanged

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

___________
(1) OJ L 312, 23.12.1995, p. 1.
(2) OJ L 292, 15.11.1996, p. 1.
(3) OJ L 210, 10.8.1999, p. 24.

___________
(1) OJ L 312, 23.12.1995, p. 1.
(2) OJ L 292, 15.11.1996, p. 1.
(3) OJ L 210, 10.8.1999, p. 24.

C 103 E/348

EN

Official Journal of the European Communities

30.4.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

(a) Contracts of association with Member States, Associated

States, or legal entities established in those states;

(b) the European Fusion Development Agreement;

(c) any other multilateral

agreement

concluded by

the

Community with associated legal entities,

(d) 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;

(e) other Contracts of

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

(f)

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

Article 30

Article 23

Community financial contribution

Unchanged

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

The Contracts of association referred to in Article 22(a)
1.
and Contracts of limited duration referred to in Article 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 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 %.

The base rate for the Community financial contribution shall
not exceed 17,5 % over
the 2002-2006
Framework programme.

the duration of

2.
After consultation of the Consultative Committee for the
fusion programme referred to in Article 5(2) of the specific
programme ‘Nuclear Energy’, the Commission may finance:

Unchanged

(a) 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 %;

(b) specifically defined multilateral activities carried out under
the European Fusion Development Agreement or by any
including
for
legal
procurements.

this purpose,

established

entity

(a) the capital

related expenditures of

specifically defined
projects to which priority status has been awarded by
that committee, at a uniform rate equal to 37,5 %;

Unchanged

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.

3.
In the case of projects and activities receiving a financial
contribution above the 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.

The Community financial

4.
contribution to activities
carried out within the framework of an international coop-
eration agreement referred to in Article 29(f) shall be defined
in it or by any legal entity established by it.

The Community financial

4.
contribution to activities
carried out within the framework of an international coop-
eration agreement referred to in Article 22(f) shall be defined
in it or by any legal entity established by it.

30.4.2002

EN

Official Journal of the European Communities

C 103 E/349

INITIAL PROPOSAL

AMENDED PROPOSAL

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.

Unchanged

INITIAL PROPOSAL

ANNEX

RTDT ACTIVITIES AND COMMUNITY FINANCIAL CONTRIBUTION ACCORDING TO TYPE OF
INSTRUMENT

Type of instrument

RTD activities

Community contribution (1)

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)

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

and
integration

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

Specific targeted
research or training
projects

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 50 %
of the budget (4) (5)

— 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 initiatives
relating to infrastructure

— Priority thematic areas (2)

— Other activities in the field of nuclear safety

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

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

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 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).

AMENDED PROPOSAL

Deleted