regulament privind regulile de participare en

8/12/2019 Regulament Privind Regulile de Participare En

1/36

COUNCIL OF

THE EUROPEAN UNION

Brussels, 5 December 2011

Internsttut!n"l Fle#

2011$0%&& 'COD(

1)&%*$11

RECH *11

CO+PET 5)&

ATO 151

CODEC 22)*

PROPOAL

from: European Commission

dated: 2 December 2011

No Cion doc.: COM(2011) 810 final

ub!ect: "roposal for #e$ulation of t%e European "arliament and of t%e Council la&in$

do'n t%e rules for t%e participation and dissemination in ori*on 2020 + t%e

,rame'or- "ro$ramme for #esearc% and nno/ation (201+2020)

Dele$ations 'ill find attac%ed a proposal from t%e Commission submitted under a co/erin$ letter

from Mr ordi 34E5 "673#N36 Director to Mr 6'e CO#E"6 ecretar&+7eneral of t%e

Council of t%e European 6nion.

Encl.: COM(2011) 810 final

19;


2/36

EUROPEAN COMMISSION

>russels ;0.11.2011

COM(2011) 810 final

2011


3/36

E;PLANATOR< +E+ORANDU+

1= CONTE;T OF THE PROPOAL

5%e set of proposals for Bori*on 2020B full& supports t%e Europe 2020 strate$&

'%ic% identified researc% and inno/ation as central to ac%ie/in$ t%e ob!ecti/es ofsmart sustainable and inclusi/e $ro't%. 5%e& consist of proposals for a ,rame'or-

"ro$ramme Bori*on 2020B a sin$le set of #ules for "articipation and

Dissemination a sin$le pecific "ro$ramme to implement Bori*on 2020B as 'ell

as a separate proposal for t%e parts of Bori*on 2020B correspondin$ to t%e Euratom

5reat&.

Desi$ned to support t%e Europe 2020 ,la$s%ip nitiati/e Bnno/ation 6nionB1 t%e

basic principle of Bori*on 2020B and t%ese rules is to adopt a muc% more strate$ic

approac% to researc% and inno/ation. 3ll polic& instruments and measures are

desi$ned to contribute to researc% and inno/ation and to furt%er de/elop t%e

European #esearc% 3rea '%ereb& -no'led$e researc%ers and tec%nolo$& circulatefreel& and to accelerate t%e commercialisation and diffusion of inno/ation across t%e

in$le Mar-et.

5%e rules proposed 'ere dra'n up 'it% t%e t'ofold aim of:

Ensurin$ a sin$le and sufficientl& fle?ible re$ulator& frame'or- '%ic% 'ill

render participation easier create a more co%erent set of instruments co/erin$

bot% researc% and inno/ation and increase t%e scientific and economic impact

'%ile a/oidin$ duplication and fra$mentation.

implif&in$ t%e terms and procedures from t%e perspecti/e of t%e participantsto ensure t%e most efficient implementation ta-in$ into account t%e need for

eas& access for all participants.

5%e follo'in$ ne' features %a/e been introduced into t%e rules for participation and

dissemination in order to appl& t%e abo/e principles and to brin$ t%e rules into line

'it% t%e c%aracteristics and ob!ecti/es of t%e ne' frame'or- pro$ramme:

5%e rules 'ill appl& to all components of Bori*on 2020B includin$ initiati/es

under 3rticles 18 and 189 5,E6 actions currentl& fallin$ 'it%in t%e scope of

t%e Competiti/eness and nno/ation "ro$ramme as 'ell as t%e E5 acti/ities.

5%e necessar& fle?ibilit& correspondin$ to t%e different nature of t%e researc%and inno/ation actions is ensured b& appropriate dero$ations and b& allo'in$

to set out specific participation details in t%e 'or- pro$rammes

5%e rules for participation relatin$ to t%e 6nion fundin$ are based on t%e

re/ised #e$ulation of t%e European "arliament and t%e Council on t%e financial

rules applicable to t%e annual bud$et of t%e 6nion 2'%ic% %as streamlined and

rendered more efficient t%e 'a& in '%ic% 6nion policies can be implemented.

1 COM (2010) final .10.2010.2 O F p.

EN 2 EN


4/36

5%e financial pro/isions relatin$ to t%e 6nion fundin$ in t%e form of $rants

%a/e been clarified and simplified. 5%us t%e& are no' establis%in$ a sin$le

fundin$ rate dependin$ for eac% t&pe of action funded under Bori*on 2020B

'it% no differentiation amon$ participants. En%anced use of lump sums flat

rates and scale of unit costs is also proposed.

,or direct costs t%ese rules pro/ide for a broad acceptance of t%e usualaccountin$ practices of $rant beneficiaries sub!ect to a minimum number of

boundar& conditions. 5%e $rant a$reement 'ill include furt%er simplification

pro/isions allo'in$ beneficiaries to $ain le$al certaint& on t%e eli$ibilit& of t%e

costs c%ar$ed to actions under Bori*on 2020B. 5%ose simplification pro/isions

'ill include amon$ ot%ers a clear definition of t%e time recordin$

reGuirements and ob!ecti/e references re$ardin$ t%e annual producti/e %ours.

,or indirect costs t%e calculation is radicall& simplified t%e reimbursement

foresees a flat rate based on total direct eli$ible costs of participants 'it% a

possibilit& to declare costs actuall& incurred '%ic% is limited to non+profit le$al

entities.

#ules appl&in$ to t%e ne' forms of fundin$ allo' for more fle?ibilit& suc% as

t%ose related to pri*es to be a'arded for t%e ac%ie/ement of pre+specified

tar$ets or t%ose related to public pre+commercial procurement and procurement

of inno/ati/e solutions as 'ell as t%ose related to t%e financial instruments.

7i/en its demonstrated efficienc& as a safe$uard mec%anism t%e participants

7uarantee ,und set up under t%e e/ent% ,rame'or- "ro$ramme 'ill be

rene'ed for t%e entire duration of Bori*on 2020B 'it% clearer rules and t%e

possibilit& to e?tend it to co/er ris-s underta-en in actions under t%e

E6#35OM ,rame'or- "ro$ramme.

5%e rules re$ardin$ intellectual propert& e?ploitation and dissemination %a/e

been modelled on t%e 'idel& ac-no'led$ed e/ent% ,rame'or- "ro$ramme

pro/isions 'it% furt%er impro/ements and clarifications. pecific ne'

emp%asis %as been put on open access to researc% publications and an openin$

'as made for e?periments 'it% open access to ot%er results. 5%e enlar$ed

scope and ne' forms of fundin$ as 'ell as t%e need for fle?ibilit& in t%is area

of t%e rules %as been ta-en into account b& t%e possibilit& to la& do'n

additional or specific pro/isions '%ere appropriate. 3ccess ri$%ts for t%e

European 6nion and in t%e field of securit& researc% also for Member tates

%a/e been foreseen.

,urt%ermore t%e participation of le$al entities establis%ed in t%ird countries and of

international or$anisations in actions under Bori*on 2020B 'ill be streamlined and

stimulated in line 'it% t%e ob!ecti/es of international cooperation set out in t%e

5reat& based on mutual benefits and ta-in$ into account t%e conditions for t%e

participation of European 6nion entities to t%ird countriesH pro$rammes.

Iit%in t%e clear and stable frame'or- participants 'ill en!o& furt%er fle?ibilit& to

determine t%e most appropriate internal arran$ements for t%e implementation of t%eir

actions. 5%is s%ould encoura$e and facilitate t%e participation of all researc%

sta-e%olders includin$ small researc% units particularl& MEs.

EN ; EN


5/36

2= REULT OF CONULTATION >ITH THE INTERETED PARTIE AND

I+PACT AE+ENT

5%e preparation of t%e proposal too- full account of t%e responses to an e?tensi/e

public consultation based on a 7reen "aper B,rom c%allen$es to opportunities:

to'ards a common strate$ic frame'or- for 6nion researc% and inno/ation fundin$B

COM(2011)8. =ie's 'ere e?pressed b& t%e European Council Member tates anda 'ide ran$e of sta-e%olders from industr& academia and ci/il societ&.

5%e consultations carried out %a/e identified t%e follo'in$ obstacles:

5%e most important one from t%e participants perspecti/e is t%e comple?it& of

administrati/e procedures alon$ 'it% t%e administrati/e burden.

"articipants also find /er& burdensome to appl& different sets of rules

dependin$ on t%e 6nion researc% and inno/ation pro$ramme and called for a

$reater consistenc& of rules bet'een instruments.

5%e last issue is t%e need to introduce a ris-


6/36

2011


7/36


8/36

,undamental #i$%ts of t%e European 6nion. uc% actions s%ould be in conformit&

'it% an& le$al obli$ation and 'it% et%ical principles '%ic% include a/oidin$ an& -ind

of pla$iarism.

(8) n line 'it% t%e ob!ecti/es of international cooperation as set out in 3rticles 180 and

18 5,E6 t%e participation of le$al entities establis%ed in t%ird countries and of

international or$anisations s%ould be promoted. 5%e implementation of t%ese ruless%ould be in conformit& 'it% t%e measures adopted in accordance 'it% 3rticles 9 and

21 5,E6 and be in compliance 'it% international la'. Moreo/er t%e implementation

of t%ese rules s%ould dul& ta-e into account conditions for t%e participation of 6nion

entities in t%ird countriesH pro$rammes.

() 5%ese rules for t%e participation and dissemination s%ould pro/ide a co%erent

compre%ensi/e and transparent frame'or- to ensure t%e most efficient implementation

possible ta-in$ into account t%e need for eas& access b& all participants notabl& small

and medium+si*ed enterprises t%rou$% simplified procedures. 5%e financial assistance

from t%e 6nion could be pro/ided t%rou$% different forms.

(10) andlin$ of confidential data and classified information s%ould be $o/erned b& all t%e

rele/ant 6nion le$islation includin$ t%e nstitutions internal rules suc% as

Commission Decision 2001


9/36

(1) 5%e financial interests of t%e 6nion s%ould be protected t%rou$% proportionate

measures t%rou$%out t%e e?penditure c&cle.

(1) 5%e participant 7uarantee ,und set up under #e$ulation No 10


10/36

3=E 3DO"5ED 5 #E76F35ON:

Ttle I

INTRODUCTOR< PRO?IION

Article 1

ub@ect m"tter "n sc!4e

1. 5%is #e$ulation la&s do'n specific rules for t%e participation in indirect actions

underta-en under #e$ulation (E6) No KK


11/36

()'basic act'means a le$al act adopted b& t%e 6nion institutions in t%e form of a re$ulation

a directi/e or a decision 'it%in t%e meanin$ of 3rticle 288 5,E6 '%ic% pro/ides a le$al basis

for t%e action

() 'coordination and support action' means an action consistin$ primaril& of accompan&in$

measures suc% as dissemination a'areness raisin$ and communication net'or-in$

coordination or support ser/ices polic& dialo$ues and mutual learnin$ e?ercises and studiesincludin$ desi$n studies for ne' infrastructure

(9)'dissemination'means t%e public disclosure of t%e results b& an& appropriate means (ot%er

t%an resultin$ from protectin$ or e?ploitin$ t%e results) includin$ b& publis%in$ in an&

medium

(8) 'funding body' means a bod& or aut%orit& ot%er t%an t%e Commission to '%ic% t%e

Commission %as entrusted bud$et implementation tas-s in accordance 'it% 3rticle (2) of

#e$ulation (E6) No KK


12/36

(19) Pwork planmeans t%e document similar to t%e Commission 'or- pro$ramme adopted b&

fundin$ bodies entrusted 'it% part of t%e implementation of ori*on 2020 in accordance 'it%

3rticle (2) of #e$ulation (E6) No KK


13/36

communicated to t%e Commission 'it%out restrictions concernin$ confidentialit&.

5%e Commission rules on securit& s%all appl& re$ardin$ classified information.

Ttle II

RULE FOR THE PARTICIPATION

C"4ter I

-ENERAL PRO?IION

Article "

F!rms !3 3unn/

n accordance 'it% 3rticle 10 of #e$ulation (E6) KK


14/36

2. ,or t%e purposes of para$rap% 1 control ma& in particular ta-e eit%er of t%e

follo'in$ forms:

(a) t%e direct or indirect %oldin$ of more t%an 0 Q of t%e nominal /alue of t%e

issued s%are capital in t%e le$al entit& concerned or of a ma!orit& of t%e /otin$

ri$%ts of t%e s%are%olders or associates of t%at entit&

(b) t%e direct or indirect %oldin$ in fact or in la' of decision ma-in$ po'ers in

t%e le$al entit& concerned.

;. o'e/er t%e follo'in$ relations%ips bet'een le$al entities s%all not in t%emsel/es

be deemed to constitute controllin$ relations%ips:

(a) t%e same public in/estment corporation institutional in/estor or /enture+capital

compan& %as a direct or indirect %oldin$ of more t%an 0 Q of t%e nominal

/alue of t%e issued s%are capital or a ma!orit& of /otin$ ri$%ts of t%e

s%are%olders or associates

(b) t%e le$al entities concerned are o'ned or super/ised b& t%e same public bod&.

C"4ter II

-RANT

ECTION I

A>ARD PROCEDURE

Article %

C!nt!ns 3!r 4"rtc4"t!n

1. 5%e follo'in$ minimum conditions s%all appl&:

(a) at least t%ree le$al entities s%all participate in an action

(b) eac% of t%e t%ree s%all be establis%ed in a Member tate or associated countr&

(c) no t'o of t%e t%ree ma& be establis%ed in t%e same Member tate or associated

countr&

(d) all t%ree le$al entities s%all be independent of eac% ot%er 'it%in t%e meanin$ of

3rticle 9.

2. ,or t%e purposes of para$rap% 1 '%ere one of t%e participants is t%e #C or an

international European interest or$anisation or an entit& created under 6nion la' it

s%all be deemed to be establis%ed in a Member tate or associated countr& ot%er t%an

an& Member tate or associated countr& in '%ic% anot%er participant in t%e same

action is establis%ed.

EN 1; EN


15/36

;. >& 'a& of dero$ation from para$rap% 1 in t%e case of European #esearc% Council

(E#C) frontier researc% actions t%e ME instrument pro$ramme co+fund actions

and in !ustified cases pro/ided for in t%e 'or- pro$ramme or 'or- plan t%e

minimum condition s%all be t%e participation of one le$al entit& establis%ed in a

Member tate or associated countr&.

. >& 'a& of dero$ation from para$rap% 1 in t%e case of coordination and supportactions and trainin$ and mobilit& actions t%e minimum condition s%all be t%e

participation of one le$al entit&.

. Ior- pro$rammes or 'or- plans ma& pro/ide for additional conditions accordin$ to

specific polic& reGuirements or to t%e nature and ob!ecti/es of t%e action includin$

inter aliaconditions re$ardin$ t%e number of participants t%e t&pe of participant and

t%e place of establis%ment.

Article &

El/blt. 3!r 3unn/

1. 5%e follo'in$ participants are eli$ible for fundin$ from t%e 6nion:

(a) an& le$al entit& establis%ed in a Member tate or associated countr& or created

under 6nion la'

(b) an& international European interest or$anisation

(c) an& le$al entit& establis%ed in a t%ird countr& identified in t%e 'or-

pro$ramme.

2. n t%e case of a participatin$ international or$anisation or in t%e case of a

participatin$ le$al entit& establis%ed in a t%ird countr& neit%er of '%ic% are eli$ible

for fundin$ accordin$ to para$rap% 1 fundin$ from t%e 6nion ma& be $ranted

pro/ided t%at at least one of t%e follo'in$ conditions is fulfilled:

(a) t%e participation is deemed essential for carr&in$ out t%e action b& t%e

Commission or t%e rele/ant fundin$ bod&

(b) suc% fundin$ is pro/ided for under a bilateral scientific and tec%nolo$ical

a$reement or an& ot%er arran$ement bet'een t%e 6nion and t%e international

or$anisation or for entities establis%ed in t%ird countries t%e countr& in '%ic%t%e le$al entit& is establis%ed.

Article 1

C"lls 3!r 4r!4!s"ls

Iit%out pre!udice to t%e ot%er cases pro/ided for in #e$ulation (E6) No KK


16/36

Article 11

!nt c"lls t tr c!untres !r t ntern"t!n"l !r/"ns"t!ns

1. oint calls for proposals 'it% t%ird countries or t%eir scientific and tec%nolo$ical

or$anisations and a$encies or 'it% international or$anisations ma& be launc%ed to

!ointl& fund actions. "roposals s%all be e/aluated and selected t%rou$% !ointe/aluation and selection procedures to be a$reed upon. uc% e/aluation and selection

procedures s%all ensure compliance 'it% t%e principles set out in 5itle = of

#e$ulation (E6) KK


17/36

Article 1!

elect!n "n ""r crter"

1. 5%e proposals submitted s%all be e/aluated on t%e basis of t%e follo'in$ a'ard

criteria:

(a) e?cellence

(b) impact

(c) Gualit& and efficienc& of t%e implementation.

2. 5%e sole criterion of e?cellence s%all appl& for proposals for E#C frontier researc%

actions.

;. 5%e 'or- pro$ramme or 'or- plan s%all la& do'n furt%er details of t%e application

of t%e a'ard criteria laid do'n in para$rap% 1 and specif& 'ei$%tin$s and

t%res%olds.

. "roposals s%all be ran-ed accordin$ to t%e e/aluation results. 5%e selection s%all be

made on t%e basis of t%is ran-in$.

. 5%e Commission or t%e rele/ant fundin$ bod& s%all /erif& t%e financial capacit& in

ad/ance onl& for coordinators '%en t%e reGuested fundin$ from t%e 6nion for t%e

action is eGual or superior to E6# 00 000 unless '%ere on t%e basis of a/ailable

information t%ere are $rounds to doubt t%e financial capacit& of t%e coordinator or

ot%er participants.

. 5%e financial capacit& s%all not be /erified for le$al entities '%ose /iabilit& is$uaranteed b& a Member tate or an associated countr& and for %i$%er and secondar&

education establis%ments.

Article 1"

E9"lu"t!n re9e 4r!ceure

1. 5%e Commission or t%e rele/ant fundin$ bod& s%all pro/ide an e/aluation re/ie'

procedure for applicants '%o consider t%at t%e e/aluation of t%eir proposal %as not

been carried out in accordance 'it% t%e procedures set out in t%ese rules t%e rele/ant'or- pro$ramme or 'or- plan and t%e call for proposals.

2. 3 reGuest for re/ie' s%all relate to a specific proposal and s%all be submitted b& t%e

coordinator of t%e proposal 'it%in ;0 da&s of t%e date '%en t%e Commission or t%e

rele/ant fundin$ bod& informs t%e coordinator of t%e e/aluation results.

;. 5%e Commission or t%e rele/ant fundin$ bod& s%all be responsible for t%e

e?amination of t%is reGuest. 5%is e?amination s%all onl& co/er t%e procedural aspects

of t%e e/aluation and not t%e merit of t%e proposal.

. 3n e/aluation re/ie' committee composed of Commission staff or of t%e rele/antfundin$ bod& staff s%all pro/ide an opinion on t%e procedural aspects of t%e

EN 1 EN


18/36

e/aluation process. t s%all be c%aired b& an official of t%e Commission or of t%e

rele/ant fundin$ bod& from a department ot%er t%an t%e one responsible for t%e call

for proposals. 5%e committee ma& recommend one of t%e follo'in$:

(a) re+e/aluation of t%e proposal

(b) confirmation of t%e initial opinion.

. On t%e basis of t%at recommendation a decision s%all be ta-en b& t%e Commission or

t%e rele/ant fundin$ bod& and notified to t%e coordinator of t%e proposal.

. 5%e re/ie' procedure s%all not dela& t%e selection process of proposals '%ic% are not

t%e sub!ect of reGuests for re/ie'.

9. 5%e re/ie' procedure s%all not preclude an& ot%er actions t%e participant ma& ta-e in

accordance 'it% 6nion la'.

Article 1#

-r"nt "/reement

1. 5%e Commission or t%e rele/ant fundin$ bod& s%all enter into a $rant a$reement 'it%

t%e participants.

2. 5%e $rant a$reement s%all establis% t%e ri$%ts and obli$ations of t%e participants of

t%e Commission or t%e rele/ant fundin$ bodies. t s%all also establis% t%e ri$%ts and

obli$ations of le$al entities '%ic% become participants durin$ t%e implementation of

t%e action.

;. 5%e $rant a$reement ma& establis% ri$%ts and obli$ations of t%e participants 'it%

re$ard to access ri$%ts e?ploitation and dissemination additional to t%ose laid do'n

in t%is #e$ulation.

. 5%e $rant a$reement s%all '%ere appropriate reflect t%e $eneral principles laid

do'n in Commission #ecommendation on t%e European C%arter for #esearc%ers and

t%e Code of Conduct for t%e #ecruitment of #esearc%ers1.

. 5%e $rant a$reement s%all '%ere appropriate contain pro/isions ensurin$ t%e

respect of et%ical principles includin$ t%e establis%ment of an independent et%ics

board and t%e ri$%t of t%e Commission to carr& out an et%ics audit.

. pecific $rants for actions ma& form part of a frame'or- partners%ip accordin$ to

t%e pro/isions of #e$ulation (E6) No KK


19/36

I%ere appropriate t%e Commission in accordance 'it% 3rticle K of #e$ulation (E6) No

KK


20/36

. 5%e a'ard of subcontracts for carr&in$ out certain elements of t%e action s%all be

limited to t%e cases pro/ided for in t%e $rant a$reement.

. 5%ird parties ot%er t%an subcontractors ma& carr& out part of a participants 'or-

under t%e action pro/ided t%at t%e t%ird part& and t%e 'or- to be carried out b& it are

identified in t%e $rant a$reement.

Costs incurred b& t%ese t%ird parties ma& be deemed eli$ible if t%e t%ird part& meets

all t%e follo'in$ conditions:

(a) it is eli$ible for fundin$ if it 'ere a participant

(b) it is an affiliated entit& or %as a lin- to a participant in t%e frame'or- of a le$al

structure co/erin$ a collaboration not limited to t%e pro!ect

(c) it is identified in t%e $rant a$reement

(d) it abides b& t%e rules applicable to t%e participant under t%e $rant a$reement

'it% re$ard to eli$ibilit& of costs and control of e?penditure.

. 5%ird parties ma& also ma-e a/ailable resources to a participant b& means of

contributions in -ind to t%e action. Costs incurred b& t%ird parties in relation to t%eir

in+-ind contributions '%ic% are made free of c%ar$e are eli$ible for fundin$ pro/ided

t%e& meet t%e conditions establis%ed in t%e $rant a$reement.

9. 5%e action ma& in/ol/e financial support to t%ird parties under t%e conditions

establis%ed in #e$ulation (E6) No KK


21/36

Article 2

C!ns!rtum

1. 5%e members of an& consortium 'is%in$ to participate in an action s%all appoint one

of t%em to act as coordinator '%ic% s%all be identified in t%e $rant a$reement.

2. 5%e members of a consortium participatin$ in an action s%all conclude an internal

a$reement (t%e consortium a$reement) e?cept in dul& !ustified cases pro/ided for in

t%e 'or- pro$ramme or 'or- plan or call for proposals.

;. 5%e consortium ma& propose to add or remo/e a participant in accordance 'it% t%e

respecti/e pro/isions of t%e $rant a$reement pro/ided t%at t%is c%an$e is in

conformit& 'it% t%e conditions for participation does not ad/ersel& affect t%e

implementation of t%e action and is not contrar& to t%e principle of eGual treatment.

ECTION III

FOR+ OF -RANT AND FUNDIN- RULE

Article 21

F!rms !3 /r"nts

7rants ma& ta-e an& of t%e forms pro/ided for in 3rticle J11L of #e$ulation (E6) No

KK


22/36

. 5%e ori*on 2020 $rant ma& reac% a ma?imum of 100 Q of t%e total eli$ible costs

'it%out pre!udice to t%e co+financin$ principle.

. 5%e ori*on 2020 $rant s%all be limited to a ma?imum of 90 Q of t%e total eli$ible

costs for t%e follo'in$ actions:

(a) actions primaril& consistin$ of acti/ities suc% as protot&pin$ testin$demonstratin$ e?perimental de/elopment pilotin$ mar-et replication

(b) pro$ramme co+fund actions.

. 5%e reimbursement rates determined in t%is 3rticle s%all also appl& in t%e case of

actions '%ere flat rate scale of unit or lump+sum financin$ is fi?ed for t%e '%ole or

part of an action.

Article 2

El/blt. !3 c!sts

1. Conditions for eli$ibilit& of costs are defined in 3rticle K of #e$ulation (E6) No ??

Jt%e ,inancial #e$ulation


23/36

2. ,or persons 'or-in$ e?clusi/el& for t%e action no time recordin$ is reGuired. n suc%

cases t%e participant s%all si$n a declaration confirmin$ t%at t%e person concerned

%as 'or-ed e?clusi/el& for t%e action.

;. 5%e $rant a$reement s%all contain t%e minimum reGuirements for t%e time recordin$

s&stem as 'ell as t%e number of annual producti/e %ours to be used for t%e

calculation of t%e %ourl& personnel rates.

Article 2#

Pers!nnel c!sts !3 te !ners !3 sm"ll "n meum:s6e enter4rses "n n"tur"l

4ers!ns t!ut s"l"r.

5%e o'ners of small and medium+si*ed enterprises '%o do not recei/e a salar& and ot%er

natural persons '%o do not recei/e a salar& ma& c%ar$e personnel costs on t%e basis of a scale

of unit cost.

Article 2$

c"les !3 unt c!sts

1. n accordance 'it% 3rticle K of #e$ulation (E6) No KK


24/36

5%e certificate on financial statements s%all co/er t%e total amount of t%e $rant claimed b& a

participant under t%e form of reimbursement of actual costs and under t%e form of scale of

unit costs referred to 3rticle 29(2). 5%e certificate s%all onl& be submitted '%en t%at amount

is eGual to or $reater t%an E6# ;2 000 at t%e time of claimin$ t%e pa&ment of t%e balance of

t%e $rant.

Article 2&

Cert3c"tes !n te met!!l!/.

1. "articipants t%at calculate and claim direct personnel costs on t%e basis of scale of

unit costs ma& submit to t%e Commission a certificate on t%e met%odolo$&. 5%at

met%odolo$& s%all compl& 'it% t%e conditions set out in 3rticle 29(2) and meet t%e

reGuirements of $rant a$reement.

2. I%ere t%e Commission accepts a certificate on t%e met%odolo$& it s%all be /alid for

all actions financed under #e$ulation (E6) No KK


25/36

ECTION I?

-UARANTEE

Article 2

P"rtc4"nt -u"r"ntee Fun

1. 3 participant $uarantee fund (Bt%e ,undB) is %ereb& establis%ed and s%all co/er t%e

ris- associated 'it% non+reco/er& of sums due to t%e 6nion under actions financed

t%rou$% $rants b& t%e Commission under Decision No 182an- or to an appropriate financial

institution (t%e depositor& ban-). 5%e depositor& ban- s%all mana$e t%e ,und

pursuant to t%e instructions of t%e Commission.

2. 5%e participants contribution to t%e ,und ma& be offset from t%e initial pre+financin$

and be paid to t%e ,und on be%alf of t%e participants.

EN 2 EN


26/36

;. I%ere amounts are due to t%e 6nion b& a participant t%e Commission ma& 'it%out

pre!udice to penalties '%ic% ma& be imposed on t%e defaultin$ participant ta-e

eit%er of t%e follo'in$ actions:

(a) transfer or order t%e depositor& ban- to transfer directl& t%e amount due from

t%e ,und to t%e coordinator of t%e action. 5%at transfer s%all be made after t%e

termination or 'it%dra'al of t%e participation of t%e defaultin$ participant ift%e action is still on$oin$ and if t%e remainin$ participants a$ree to implement

it accordin$ to t%e same ob!ecti/es. 3mounts transferred from t%e ,und s%all

be re$arded as 6nion fundin$

(b) reco/er effecti/el& t%at amount from t%e ,und.

5%e Commission s%all issue a reco/er& order a$ainst t%at participant to t%e benefit of

t%e ,und. 5%e Commission ma& adopt to t%at end a reco/er& decision in accordance

'it% #e$ulation (E6) No KK


27/36

5%e procurement procedures:

(a) s%all compl& 'it% t%e principles of transparenc& non+discrimination eGual

treatment sound financial mana$ement proportionalit& and 'it% competition

rules and '%ere applicable 'it% Directi/es 200


28/36

(a) t%e e/aluation of proposals

(b) t%e monitorin$ of t%e implementation of actions carried out under #e$ulation

(E6) No KK


29/36

Ttle III

RULE -O?ERNIN- DIE+INATION OF REULT

C"4ter I

-RANT

ECTION I

REULT

Article %

Oners4 !3 results

1. #esults s%all be o'ned b& t%e participant $eneratin$ t%ese results.

2. I%ere participants in an action %a/e !ointl& $enerated results and '%ere t%eir

respecti/e s%are of t%e 'or- cannot be ascertained t%e& s%all %a/e !oint o'ners%ip of

t%ose results. 5%e !oint o'ners s%all establis% an a$reement re$ardin$ t%e allocation

and terms of e?ercise of t%at !oint o'ners%ip in accordance 'it% t%eir obli$ations

under t%e $rant a$reement.

6nless ot%er'ise a$reed in t%e !oint o'ners%ip a$reement eac% !oint o'ner s%all be

entitled to $rant non+e?clusi/e licences to t%ird parties to e?ploit t%e !ointl& o'ned

results 'it%out an& ri$%t to sub+licence sub!ect to t%e follo'in$ conditions:

(a) prior notice s%all be $i/en to t%e ot%er !oint o'ners

(b) fair and reasonable compensation s%all be pro/ided to t%e ot%er !oint o'ners.

;. f emplo&ees or an& part& 'or-in$ for a participant are entitled to claim ri$%ts to t%e

results $enerated t%e participant concerned s%all ensure t%at it is possible to e?ercise

t%ese ri$%ts in a manner compatible 'it% its obli$ations under t%e $rant a$reement.

Article &

Pr!tect!n !3 results

1. I%ere results are capable of commercial or industrial application t%e participant

o'nin$ t%ese results s%all e?amine t%e possibilit& for protection and if possible and

!ustified $i/en t%e circumstances s%all adeGuatel& protect t%em for an appropriate

period of time and 'it% an appropriate territorial co/era$e %a/in$ due re$ard to its

le$itimate interests and t%e le$itimate interests particularl& t%e commercial interests

of t%e ot%er participants in t%e action.

2. I%ere a participant t%at %as recei/ed 6nion fundin$ intends not to protect results$enerated b& it for reasons ot%er t%an impossibilit& under 6nion or national la' or

EN 28 EN


30/36

t%e lac- of potential for commercial e?ploitation and unless t%e participant intends to

transfer t%em to anot%er le$al entit& establis%ed in a Member tate or associated

countr& in /ie' of t%eir protection it s%all inform t%e Commission or fundin$ bod&

before an& dissemination relatin$ to t%ese results ta-es place. 5%e Commission on

be%alf of t%e 6nion or t%e fundin$ bod& ma& assume o'ners%ip of t%ese results and

ta-e t%e necessar& steps for t%eir adeGuate protection.

5%e participant ma& refuse consent onl& if it demonstrates t%at its le$itimate interests

'ould suffer si$nificant %arm. No dissemination relatin$ to t%ese results ma& ta-e

place until t%e Commission or t%e fundin$ bod& %as ta-en a decision or %as decided

t%at it 'ill assume o'ners%ip and %as ta-en t%e necessar& steps to ensure protection.

5%e $rant a$reement s%all la& do'n time+limits in t%is respect.

;. I%ere a participant t%at %as recei/ed 6nion fundin$ intends to abandon t%e

protection of results or not to see- e?tension of suc% protection for reasons ot%er t%an

t%e lac- of potential for commercial e?ploitation it s%all inform t%e Commission or

t%e fundin$ bod& '%ic% ma& continue or e?tend protection b& assumin$ o'ners%ip

t%ereof. 5%e participant ma& refuse consent onl& if it demonstrates t%at its le$itimateinterests 'ould suffer si$nificant %arm. 5%e $rant a$reement s%all la& do'n time+

limits in t%is respect.

Article !

E4l!t"t!n "n ssemn"t!n !3 results

1. Eac% participant t%at %as recei/ed 6nion fundin$ s%all use its best efforts to e?ploit

t%e results it o'ns in furt%er researc% or commerciall& or to %a/e t%em e?ploited b&

anot%er le$al entit& for t%ese purposes in particular t%rou$% transfer and licensin$ ofresults in accordance 'it% 3rticle 1.

3dditional e?ploitation obli$ations ma& be laid do'n in t%e $rant a$reement. 3n&

suc% additional obli$ations s%all be indicated in t%e 'or- pro$ramme or 'or- plan.

2. ub!ect to an& restrictions due to t%e protection of intellectual propert& securit& rules

or le$itimate commercial interests eac% participant s%all t%rou$% appropriate means

disseminate t%e results it o'ns as soon as possible. 5%e $rant a$reement ma& la&

do'n time+limits in t%is respect.

3dditional dissemination obli$ations ma& be laid do'n in t%e $rant a$reement.

Iit% re$ard to dissemination t%rou$% researc% publications open access s%all appl&

under t%e terms and conditions laid do'n in t%e $rant a$reement. Iit% re$ard to

dissemination of ot%er results includin$ researc% data t%e $rant a$reement ma& la&

do'n t%e terms and conditions under '%ic% open access to suc% results s%all be

pro/ided in particular in E#C frontier researc% or in ot%er appropriate areas.

"rior notice of an& dissemination acti/it& s%all be $i/en to t%e ot%er participants.

,ollo'in$ notification a participant ma& ob!ect if it demonstrates t%at its le$itimate

interests in relation to its results or bac-$round 'ould suffer si$nificant %arm b& t%e

intended dissemination. n suc% cases t%e dissemination acti/it& ma& not ta-e place

EN 2 EN


31/36

unless appropriate steps are ta-en to safe$uard t%ese le$itimate interests. 5%e $rant

a$reement ma& la& do'n time+limits in t%is respect.

;. Eac% participant s%all report to t%e Commission or fundin$ bod& on its e?ploitation

and dissemination related acti/ities. ,or t%e purposes of monitorin$ and

dissemination b& t%e Commission or fundin$ bod& participants s%all pro/ide an&

information and documents useful in accordance 'it% t%e conditions laid do'n in t%e$rant a$reement.

. 3ll patent applications standards publications or an& ot%er dissemination also in

electronic form relatin$ to results s%all include a statement '%ic% ma& include

/isual means t%at t%e action recei/ed financial support from t%e 6nion. 5%e terms of

t%at statement s%all be establis%ed in t%e $rant a$reement.

Article !1

Tr"ns3er "n lcensn/ !3 results

1. I%ere a participant transfers o'ners%ip of results it s%all pass on its obli$ations

under t%e $rant a$reement re$ardin$ t%ose results to t%e transferee includin$ t%e

obli$ation to pass t%em on in an& subseGuent transfer.

Iit%out pre!udice to confidentialit& obli$ations arisin$ from la's or re$ulations in

t%e case of mer$ers and acGuisitions '%ere ot%er participants still en!o& access ri$%ts

to t%e results to be transferred t%e participant '%o intends to transfer t%e results s%all

$i/e prior notice to t%ose ot%er participants to$et%er 'it% sufficient information

concernin$ t%e intended ne' o'ner of t%e results to permit t%e ot%er participants to

anal&se t%e effect of t%e intended transfer on t%e possible e?ercise of t%eir access

ri$%ts.

,ollo'in$ notification a participant ma& ob!ect to t%e transfer of o'ners%ip if it

demonstrates t%at t%e intended transfer 'ould ad/ersel& affect t%e e?ercise of its

access ri$%ts. n suc% case t%e transfer ma& not ta-e place until a$reement %as been

reac%ed bet'een t%e participants concerned. 5%e $rant a$reement ma& la& do'n

time+limits.

5%e ot%er participants ma& b& prior 'ritten a$reement 'ai/e t%eir ri$%t to prior

notice and to ob!ect in t%e case of transfers of o'ners%ip from one participant to a

specificall& identified t%ird part&.

2. "ro/ided t%at an& access ri$%ts to t%e results can be e?ercised and t%at an& additional

e?ploitation obli$ations are complied 'it% t%e participant '%o o'ns results ma&

$rant licences or ot%er'ise $i/e t%e ri$%t to e?ploit t%em to an& le$al entit&

includin$ on an e?clusi/e basis.

;. Iit% re$ard to results '%ic% are $enerated b& participants t%at %a/e recei/ed 6nion

fundin$ t%e Commission or fundin$ bod& ma& ob!ect to transfers of o'ners%ip or to

$rants of an e?clusi/e licence to t%ird parties establis%ed in a t%ird countr& not

associated to ori*on 2020 if it considers t%at t%e $rant or transfer is not in

accordance 'it% t%e interests of de/elopin$ t%e competiti/eness of t%e 6nion

econom& or is inconsistent 'it% et%ical principles or securit& considerations.

EN ;0 EN


32/36

n suc% cases t%e transfer of o'ners%ip or $rant of e?clusi/e licence s%all not ta-e

place unless t%e Commission or fundin$ bod& is satisfied t%at appropriate safe$uards

'ill be put in place.

I%ere appropriate t%e $rant a$reement s%all pro/ide t%at t%e Commission or

fundin$ bod& is to be notified in ad/ance of an& suc% transfer of o'ners%ip or $rant

of an e?clusi/e licence. 5%e $rant a$reement s%all la& do'n time+limits.

ECTION 2

ACCE RI-HT TO BAC-ROUND AND REULT

Article !2

B"c8/r!un

"articipants s%all identif& t%e bac-$round for t%eir action in an& manner in a 'ritten

a$reement.

Article !

Access r/ts 4rnc4les

1. 3n& reGuest to e?ercise access ri$%ts or an& 'ai/in$ of access ri$%ts s%all be made in

'ritin$.

2. 6nless ot%er'ise a$reed b& t%e o'ner of t%e results or bac-$round to '%ic% access is

reGuested access ri$%ts s%all not include t%e ri$%t to sub+licence.

;. "articipants in t%e same action s%all inform eac% ot%er before t%eir accession to t%e

$rant a$reement of an& le$al restriction or limit to $rantin$ access to t%eir

bac-$round. 3n& a$reement concluded t%ereafter b& a participant re$ardin$

bac-$round s%all ensure t%at an& access ri$%ts ma& be e?ercised.

. ,or t%e purposes of access ri$%ts fair and reasonable conditions ma& be ro&alt&+free

conditions.

. 5%e termination of t%e participation in an action s%all not affect t%e obli$ation of

suc% a participant to $rant access under t%e terms and conditions establis%ed in t%e$rant a$reement.

. I%ere a participant defaults on its obli$ations and suc% default is not remedied t%e

consortium a$reement ma& stipulate t%at suc% a participant s%all no lon$er en!o&

access ri$%ts.

EN ;1 EN


33/36

Article !!

Access r/ts 3!r m4lement"t!n

1. 3 participant s%all en!o& access ri$%ts to t%e results of anot%er participant in t%e same

action if suc% access is needed b& t%e former to carr& out its 'or- under t%e action.

uc% access s%all be $ranted on a ro&alt&+free basis.

2. 3 participant s%all en!o& access ri$%ts to bac-$round of anot%er participant in t%e

same action if suc% access is needed b& t%e former to carr& out its 'or- under t%e

action and sub!ect to an& restrictions pursuant to 3rticle ;(;).

uc% access s%all be $ranted on a ro&alt&+free basis unless ot%er'ise a$reed b& t%e

participants before t%eir accession to t%e $rant a$reement.

Article !"

Access r/ts 3!r e4l!t"t!n

1. 3 participant s%all en!o& access ri$%ts to t%e results of anot%er participant in t%e same

action if suc% access is needed b& t%e former to e?ploit its results.

ub!ect to a$reement suc% access s%all be $ranted under fair and reasonable

conditions.

2. 3 participant s%all en!o& access ri$%ts to bac-$round of anot%er participant in t%e

same action if suc% access is needed b& t%e former to e?ploit its results and sub!ect

to an& restrictions or limits pursuant to 3rticle ;(;).

ub!ect to a$reement suc% access s%all be $ranted under fair and reasonable

conditions.

;. 3n affiliated entit& establis%ed in a Member tate or associated countr& s%all unless

ot%er'ise pro/ided for in t%e consortium a$reement also %a/e access ri$%ts to results

or bac-$round under t%e same conditions if suc% access is needed to e?ploit t%e

results $enerated b& t%e participant to '%ic% it is affiliated.

. 3 reGuest for access under para$rap%s 1 2 and ; ma& be made up to one &ear after

t%e end of t%e action. o'e/er t%e participants ma& a$ree on a different time+limit.

Article !#

Access r/ts 3!r te Un!n "n te +ember t"tes

1. 5%e 6nion institutions and bodies s%all for t%e purpose of de/elopin$ implementin$

and monitorin$ 6nion policies or pro$rammes en!o& access ri$%ts to t%e results of a

participant t%at %as recei/ed 6nion fundin$. uc% access ri$%ts are limited to non+

commercial and non+competiti/e use.

uc% access s%all be $ranted on a ro&alt&+free basis.

EN ;2 EN


34/36

2. #e$ardin$ actions in t%e acti/it& ecure societies 'it%in t%e specific ob!ecti/e

nclusi/e inno/ati/e and secure societies t%e 6nion institutions and bodies as 'ell

as Member tates national aut%orities s%all for t%e purpose of de/elopin$

implementin$ and monitorin$ t%eir policies or pro$rammes in t%is area en!o& access

ri$%ts to t%e results of a participant t%at %as recei/ed 6nion fundin$. Not'it%standin$

3rticle ;(2) suc% access ri$%ts s%all include t%e ri$%t to aut%orise t%ird parties to

use t%e results in public procurement in t%e case of t%e de/elopment of capabilities indomains 'it% /er& limited mar-et si*e and a ris- of mar-et failure and '%ere a

predominant public interest e?ists.

uc% access s%all be $ranted on a ro&alt&+free basis e?cept for use in public

procurement '%ere it s%all be $ranted on fair and reasonable conditions to be a$reed

upon. 5%e 6nion fundin$ recei/ed in $eneratin$ t%e results s%all be full& ta-en into

account in t%e determination of t%e fair and reasonable conditions. 5%e Commission

rules on securit& s%all appl& re$ardin$ classified information.

ECTION %

PECIFIC CAE

Article !$

4ec3c 4r!9s!ns

1. n t%e case of actions in/ol/in$ securit&+related acti/ities t%e $rant a$reement ma&

la& do'n specific pro/isions in particular on c%an$es to t%e consortiums

composition classified information e?ploitation dissemination transfers and

licences of results.

2. n t%e case of actions to support e?istin$ or ne' researc% infrastructures t%e $rant

a$reement ma& la& do'n specific pro/isions relatin$ to users of t%e infrastructure.

;. n t%e case of E#C frontier researc% actions t%e $rant a$reement ma& la& do'n

specific pro/isions in particular on access ri$%ts portabilit& and dissemination

relatin$ to participants researc%ers and an& part& concerned b& t%e action.

. n t%e case of trainin$ and mobilit& actions t%e $rant a$reement ma& la& do'n

specific pro/isions on commitments relatin$ to t%e researc%ers benefitin$ from t%e

action o'ners%ip access ri$%ts and portabilit&.

. n t%e case of coordination and support actions t%e $rant a$reement ma& la& do'n

specific pro/isions in particular on o'ners%ip access ri$%ts e?ploitation and

dissemination.

. n t%e case of t%e ME instrument and $rants b& fundin$ bodies tar$etin$ MEs t%e

$rant a$reement ma& la& do'n specific pro/isions in particular on o'ners%ip access

ri$%ts e?ploitation and dissemination.

9. n t%e case of t%e Rno'led$e and nno/ation Communities of t%e E5 t%e $rant

a$reement ma& la& do'n specific pro/isions in particular on o'ners%ip access

ri$%ts e?ploitation and dissemination.

EN ;; EN


35/36

CHAPTER II

PRIE AND PROCURE+ENT

Article !%

Pr6es

3n& pri*e a'arded s%all be conditional on t%e acceptance of t%e appropriate publicit&

obli$ations. 5%e 'or- pro$ramme or 'or- plan ma& contain specific obli$ations re$ardin$

e?ploitation and dissemination.

Article !&

Pr!curement, 4re:c!mmerc"l 4r!curement

"n 4ublc 4r!curement !3 nn!9"t9e s!lut!ns

1. 6nless ot%er'ise stipulated in t%e call for tenders results $enerated b& procurement

carried out b& t%e Commission s%all be o'ned b& t%e 6nion.

2. pecific pro/isions re$ardin$ o'ners%ip access ri$%ts and licensin$ s%all be laid

do'n in t%e contracts re$ardin$ pre+commercial procurement to ensure ma?imum

upta-e of t%e results and to a/oid an& unfair ad/anta$e. 5%e contractor $eneratin$

results in pre+commercial procurement s%all o'n at least t%e attac%ed intellectual

propert& ri$%ts. 5%e contractin$ aut%orities s%all en!o& at least ro&alt&+free access

ri$%ts to t%e results for t%eir o'n use as 'ell as t%e ri$%t to $rant or reGuire t%e

participatin$ contractors to $rant non+e?clusi/e licences to t%ird parties to e?ploitt%e results under fair and reasonable conditions 'it%out an& ri$%t to sub+licence. f a

contractor fails to commerciall& e?ploit t%e results 'it%in a $i/en period after t%e

pre+commercial procurement as identified in t%e contract it s%all transfer an&

o'ners%ip of t%e results to t%e contractin$ aut%orities.

;. pecific pro/isions re$ardin$ o'ners%ip access ri$%ts and licensin$ ma& be laid

do'n in t%e contracts re$ardin$ public procurement of inno/ati/e solutions to ensure

ma?imum upta-e of t%e results and to a/oid an& unfair ad/anta$e.

TITLE I?

FINAL PRO?IION

Article "

Re4e"l "n tr"nst!n"l 4r!9s!ns

1. #e$ulation (EC) No 10


36/36

bodies under Decision No 182russels

+or the European ,arliament +or the ouncil

.he ,resident .he ,resident

regulament privind regulile de participare en

Documents