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20.12.2013 Official
Journal
of
the
European
Union L
347/81
REGULATION (EU) No 1290/2013 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 11 December 2013
laying down the rules for participation and dissemination in "Horizon 2020 - the Framework
Programme for Research and Innovation (2014-2020)" and repealing Regulation (EC) No 1906/2006
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
(3) Horizon
2020
should
support
the
achievement
and
func
EUROPEAN UNION,
tioning of the European Research Area in which
researchers, scientific knowledge and technology
circulate freely, by strengthening cooperation both
Having regard to the Treaty on the Functioning of the European
between the Union and the Member States, and among
Union, and in particular Articles 173, 183, and the second
the Member States, in particular through the application
paragraph of Article 188 thereof,
of a coherent set of rules.
Having regard to the proposal from the European Commission,
(4) The rules for participation, exploitation and dissemi
nation in Horizon 2020 laid down in this Regulation
("the Rules") should adequately reflect the recommen
After transmission of the draft legislative act to the national
dations of the European Parliament in its resolution of
parliaments,
11 November 2010 on simplifying the implementation
of the Research Framework Programmes ( 5 ), and of the
Council with regard to the simplification of the adminis
Having regard to the opinion of the Court of Auditors ( 1 ),
trative and financial requirements of the research
framework programmes. The Rules should provide
continuity to the simplification measures already imple
Having regard to the opinion of the European Economic and
mented under Decision No
1982/2006/EC of the
Social Committee (
European Parliament and of the Council
(

2 ),

6 ). They
should take up the recommendations made in the final
report of the Expert Group entitled 'Interim Evaluation of
Acting in accordance with the ordinary legislative procedure (
the 7th Framework Programme' of 12 November 2010

3 ),
and they should enable further progress in reducing the
administrative burden for participants and the complexity
of the financial provisions in order to facilitate partici
Whereas:
pation and reduce the number of financial errors. The
Rules should also duly reflect the concerns raised and
recommendations made by the research community
(1)
"Horizon 2020 - the Framework Programme for
resulting from the debate initiated by the Commission
Research and Innovation (2014-2020)" ("Horizon
Communication of 29 April 2010 entitled "Simplifying
2020") is established by Regulation (EU) No
the implementation of the research framework
1291/2013 of the European Parliament and of the Coun
programmes", and the subsequent Green Paper of
cil ( 4 ). That Regulation needs to be complemented by
9 February 2011 entitled "From Challenges to Oppor
rules for participation in indirect actions undertaken
tunities: Towards a Common Strategic Framework for
under Horizon 2020, and for exploitation and dissemi
EU Research and Innovation funding".
nation of the results of those actions.
(2) Horizon
2020
should
be
implemented
with
a
view
to (5) The
interim
evaluation
of
Horizon
2020
should
include
contributing directly to creating industrial leadership,
an evaluation of the new funding model, including its
growth and employment as well as citizens' welfare in
impact on funding levels, on participation in Horizon
Europe, and should reflect the strategic vision of the
2020 and on the attractiveness of Horizon 2020.
Commission Communication of 6 October 2010
entitled "Europe 2020 Flagship Initiative Innovation", in
which the Commission commits itself to radically
simplify access for participants.
(6) The
Commission
or
the
relevant
funding
body
should
ensure that guidance and information is made available
to all potential participants at the time of publication of
( 1 ) OJ C 318, 20.10.2012, p. 1.
the call for proposals.
( 2 ) OJ C 181, 21.6.2012, p. 111.
( 3 ) Position of the European Parliament of 21 November 2013 (not yet
published in the Official Journal)
( 5 ) OJ C 74E, 13.3.2012, p. 34.
( 4 ) Regulation (EU) No 1291/2013 of the European Parliament and of
( 6 ) Decision No 1982/2006/EC of the European Parliament and of the
the Council of 11 December 2013 establishing Horizon 2020 – The
Council of 18 December 2006 concerning the Seventh Framework
Framework Programme for Research and Innovation (2014 to 2020)
Programme of the European Community for research, technological
and repealing Decision 1982/2006/EC (See page 104 of this Official
development and demonstration activities (2007-2013) (OJ L 412,
Journal).
30.12.2006, p. 1).

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L 347/82
EN
Official Journal of the European Union
20.12.2013
(7) In
order
to
ensure
coherence
with
other
Union
funding (9) Actions
which
fall
within
the
scope
of
this
Regulation
programmes, Horizon 2020 should be implemented in
should respect fundamental rights and observe the prin
accordance with Regulation (EU, Euratom) No 966/2012
ciples acknowledged in particular by the Charter of
of the European Parliament and of the Council ( 1 ), and
Fundamental Rights of the European Union. Such
Commission Delegated Regulation (EU) 1268/2012 ( 2 ),
actions should be in conformity with any legal obligation
taking due account of the specific nature of research
including international law and with any relevant
and innovation activities.
Commission decisions such as the Commission notice
of 28 June 2013 ( 5 ), as well as with ethical principles,
which include avoiding any breach of research integrity.
(8)
An integrated approach should be ensured by bringing
together activities covered by the Seventh Framework
Programme for research, technological development and
(10) In
line
with
the
objectives
of
international
cooperation
as
demonstration activities (2007-2013) adopted by
set out in Articles 180 and 186 TFEU, the participation
Decision No 1982/2006/EC, the Competitiveness and
of legal entities established in third countries and of
Innovation Framework Programme established by
international organisations should be promoted. The
Decision No 1639/2006/EC of the European Parliament
implementation of the Rules should be in conformity
and of the Council (
with the measures adopted in accordance with Articles

3 ) and the European Institute of
Innovation and Technology (the EIT) established by
75 and 215 TFEU and should be in compliance with
Regulation (EC) No
294/2008 of the European
international law. Moreover, the implementation of the
Parliament and of the Council (
Rules should duly take into account the conditions for

4 ) to make participation
easier, create a more coherent set of instruments and
the participation of Union entities in third countries'
increase the scientific and economic impact, while
corresponding programmes.
avoiding duplication and fragmentation. Common rules
should apply in order to ensure a coherent framework
which should facilitate participation in programmes
receiving Union financial contributions from the budget
(11) The
Rules
should
provide
a
coherent,
comprehensive
and
of Horizon 2020, including participation in programmes
transparent framework to ensure the most efficient
managed by the EIT, joint undertakings or any other
implementation possible, taking into account the need
structures under Article 187 of the Treaty on the Func
for easy access by all participants through simplified
tioning of the European Union (TFEU), and participation
procedures, in particular with regard to micro-, small-,
in programmes undertaken by Member States pursuant
and medium-sized enterprises (SMEs). The financial
to Article 185 TFEU.
assistance from the Union could be provided in various
forms.
However, flexibility to adopt specific rules should be
ensured when justified by the specific needs of the
(12) In line with the principle of transparency and in addition
respective actions. In order to take into account the
to the publicity requirement set out in Regulation (EU,
specific operating needs as identified in the framework
Euratom) No
966/2012 and in Regulation (EU)
of the relevant basic act of the bodies set up under
No 1268/2012, the Commission should publish open
Article 187 TFEU, the power to adopt acts in accordance
calls for proposals on the internet pages of Horizon
with Article 290 TFEU should be delegated to the
2020, through specific information channels, and
Commission. It is of particular importance that the
should ensure their wide dissemination, including via
Commission carry out appropriate consultations during
national contact points and upon request in accessible
its preparatory work, including at expert level. The
formats, where practicable.
Commission, when preparing and drawing up delegated
acts, should ensure the simultaneous, timely and appro
priate transmission of relevant documents to the
European Parliament and to the Council.
(13) The
selection
and
award
criteria
laid
down
in
this
Regu
lation should be applied in a transparent way and based
on objective and measurable parameters, taking into
( 1 ) Regulation (EU, Euratom) No 966/2012 of the European Parliament
account the overall aim of Horizon 2020 to achieve a
and of the Council of 25 October 2012 on the financial rules
well-functioning European Research Area.
applicable to the general budget of the Union and repealing
Council Regulation (EC, Euratom) No 1605/2002 (OJ L 298,
26.10.2012, p. 1).
( 2 ) Commission Delegated Regulation (EU) No 1268/2012 of
29.10.2012 on the rules of application of Regulation (EU,
(14) In general, the period between the final date for the
Euratom) No 966/2012 of the European Parliament and of the
submission of complete proposals and the signing of
Council on the financial rules applicable to the general budget of
grant agreements with applicants or notifying grant
the Union (OJ L 362, 31.12.2012, p. 1).
( 3 ) Decision No 1639/2006/EC of the European Parliament and of the
decisions to them should be shorter than the period
Council of 24 October 2006 establishing a Competitiveness and
provided for in Regulation (EU, Euratom) No 966/2012.
Innovation Framework Programme (2007 to 2013) (OJ L 310,
In duly justified cases and for actions of the European
9.11.2006, p. 15).
Research Council a longer period should be allowed.
( 4 ) Regulation (EC) No 294/2008 of the European Parliament and of the
Council of 11 March 2008 establishing the European Institute of
Innovation and Technology (OJ L 97, 9.4.2008, p. 1).
( 5 ) OJ C 205, 19.7.2013, p. 9.

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EN
20.12.2013 Official
Journal
of
the
European
Union L
347/83
(15) The
Commission
should
continue
its
efforts
to
simplify
Code of Good Administrative Behaviour as set out in the
the procedures in ways made possible by the
annex to Commission Decision 2000/633/EC, ECSC,
improvement of IT systems, such as the further
Euratom ( 3 ).
expansion of the portal for participants which should
function as the single entry point from the moment of
publication of the calls for proposals, through
submission of proposals, until implementation of the
(23) It
is
appropriate
to
establish
the
terms
and
conditions
for
action, with the aim of establishing a one-stop shop.
providing Union funding to participants in actions under
The system may also provide feedback to applicants on
Horizon 2020. In order to reduce the complexity of the
the progress and the timeline of their applications.
existing funding rules, a simplified cost reimbursement
system should be adopted with enhanced use of lump
sums, flat rates and unit costs.
(16) The handling of confidential data and classified
information should be governed by all relevant Union
law, including the Institutions' internal rules, such as
(24) The
reimbursement
rates
in
this
Regulation
are
referred
Commission Decision 2001/844/EC, ECSC, Euratom ( 1 )
to as maximums in order to comply with the non-profit
which lays down the provisions on security of
requirement and the co-financing principle, and to allow
European Union classified information.
participants to request a lower rate. In principle, the
reimbursement rates should however be 100 % or 70 %.
(17) It is necessary to establish the minimum conditions for
participation, both as a general rule and with regard to
(25) The
OECD
definitions
regarding
Technological
Readiness
the specificities of the actions under Horizon 2020. In
Level (TRL) should be taken into account in the classifi
particular, rules should be laid down regarding the
cation of technological research, product development
number of participants and their places of establishment.
and demonstration activities.
In the case of an action without the participation of an
entity established in a Member State, the attainment of
the objectives laid down in Articles 173 and 179 TFEU
should be pursued.
(26) Specific
challenges
in
the
area
of
research
and
innovation
should be addressed through new forms of funding such
as prizes, pre-commercial procurement, public
procurement of innovative solutions, the SME Instrument
(18) Pursuant to Council Decision 2001/822/EC
( 2 ), legal
entities of overseas countries and territories are eligible
and the Fast Track to Innovation actions, which require
to participate in Horizon 2020 subject to the specific
specific rules.
conditions laid down in the latter.
(27) In
order
to
maintain
a
level
playing
field
for
all
under
(19) The
Commission
should
consider
the
timings
of
calls
for
takings active in the internal market, funding provided by
proposals and requests for information taking into
Horizon 2020 should be designed in accordance with
account, where possible, standard holiday periods.
State aid rules so as to ensure the effectiveness of
public spending and prevent market distortions such as
crowding-out of private funding, the creation of inef
fective market structures or the preservation of inefficient
(20) In the case of unsuccessful proposals, the Commission
firms. Care should be taken to ensure that funding of
should give feedback to the applicants concerned.
innovation actions neither distorts competition nor leads
to market interference without sufficient cause.
(21) Clear
and
transparent
mechanisms
to
develop
calls
for
proposals on specific topics should enable a level playing
(28) The
financial
interests
of
the
Union
should
be
protected
field, increase the attractiveness of Horizon 2020 and
through proportionate measures throughout the expen
increase participation.
diture cycle, ensuring an appropriate balance between
trust and control.
(22) The
Commission
should
in
all
aspects
of
Horizon
2020
act in accordance with the principles of the European
(29) In accordance with Regulation (EU, Euratom)
No 966/2012, the Rules should provide the basis for a
( 1 ) 2001/844/EC,ECSC,Euratom: Commission Decision of 29 November
wider acceptance of the usual cost accounting practices
2001 amending its internal Rules of Procedure (OJ L 317,
of the beneficiaries.
3.12.2001).
( 2 ) Council Decision 2001/822/EC of 27 November 2001 on the
association of the overseas countries and territories with the
( 3 ) 2000/633/EC, ECSC, Euratom: Commission Decision of 17 October
European Community ('Overseas Association Decision') (OJ L 314,
2000 amending its Rules of Procedure (OJ L 267, 20.10.2000,
30.11.2001, p. 1).
p. 63).

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L 347/84
EN
Official Journal of the European Union
20.12.2013
(30) The
participant
Guarantee
Fund
set
up
under
Regulation
and that plan to exploit the results generated with such
(EC) No 1906/2006 of the European Parliament and of
funding primarily in third countries not associated with
the Council ( 1 ) and managed by the Commission has
Horizon 2020, should indicate how the Union funding
proved to be an important safeguard mechanism which
will benefit Europe's overall competitiveness (reciprocity
mitigates the risks associated with the amounts due and
principle), as set out in the grant agreement.
not reimbursed by defaulting participants. Therefore, a
new participant Guarantee Fund ("the Fund") should be
established. In order to ensure more efficient
management and better coverage of participants' risk,
the Fund should cover actions under the programme
(34) In the case of research with the potential for further
set up under Decision No 1982/2006/EC, under the
development into a novel medical technology (such as
programme set up by Council Decision 2006/970/Eura
drugs, vaccines and medical diagnostics), measures
tom ( 2 ), under the programme set up by Council
should be taken to ensure the immediate exploitation
Decision 2012/93/Euratom ( 3 ) as well as actions under
and dissemination of the results, where appropriate.
Horizon 2020 and Regulation (Euratom) No
1314/2013 of the Council ( 4 ). Programmes managed by
entities other than Union funding bodies should not be
covered by the Fund.
(35) Despite
the
success
of
existing
Union
debt
and
equity
financial instruments for research, development, inno
vation and growth, access to risk finance remains a key
issue, in particular for innovative SMEs. In order to allow
(31) In
order
to
enhance
transparency,
the
names
of
experts
their most effective use, debt and equity financial
that have assisted the Commission or relevant funding
instruments should be allowed to be combined with
bodies in the application of this Regulation should be
each other and with grants funded under the Union
published. Where the publication of the name would
budget, including under Horizon 2020. Moreover, the
endanger the security or integrity of the expert or
Commission should, in particular, ensure continuity of
would unduly prejudice his or her privacy, the
the Risk-Sharing Finance Facility (RSFF) set up under
Commission or funding bodies should be able to
Decision No 1982/2006/EC and the early stage part of
refrain from the publication of such names.
the High-Growth and Innovative SME Facility (GIF1) set
up under Decision No
1639/2006/EC within their
succeeding debt and equity financial instruments under
Horizon 2020, respectively the 'Union loan & guarantee
(32) Personal
data
relating
to
the
experts
should
be
processed
service for Research and innovation' and the 'Union
in accordance with Regulation (EC) No 45/2001 of the
Equity Instruments for research and innovation'. In this
European Parliament and of the Council ( 5 ).
context, revenues and repayments generated by any of
those financial instruments should directly benefit the
financial instruments set up under Horizon 2020.
(33) Rules
governing
the
exploitation
and
dissemination
of
results should be laid down to ensure that participants
protect, exploit and disseminate those results as appro
(36) The
Commission
should
ensure
sufficient
complemen
priate, and to provide for the possibility of additional
tarities between the SME instrument under Horizon
exploitation conditions in the European strategic
2020 and the financial instruments under Horizon
interest. Participants that have received Union funding,
2020 and the COSME programme established under
Regulation (EU) No 1287/2013 of the European
( 1 ) Regulation No 1906/2006/EC of the European Parliament and of the
Parliament and of the Council ( 6 ), as well as with
Council of 18 December 2006 laying down the rules for the partici
schemes and instruments set up jointly with Member
pation of undertakings, research centres and universities in actions
States, such as the Eurostars Joint Programme ( 7 ).
under the Seventh Framework Programme and for the dissemination
of research results (2007-2013) (OJ L 391, 30.12.2006, p. 1).
( 2 ) Council Decision 2006/970/Euratom of 18 December 2006
concerning the Seventh Framework Programme of the European
Atomic Energy Community (Euratom) for nuclear research and
training activities (2007 to 2011) (OJ L 400, 30.12.2006, p. 60).
(37) For
reasons
of
legal
certainty
and
clarity,
Regulation
(EC)
( 3 ) 2012/93/Euratom: Council Decision of 19 December 2011
No 1906/2006 should be repealed,
concerning the Framework Programme of the European Atomic
Energy Community for nuclear research and training activities
(2012 to 2013) (OJ L 47, 18.2.2012, p. 25).
( 6 ) Regulation (EU) No 1287/2013 of the European Parliament and of
( 4 ) Regulation (Euratom) No 1314/2013 of the Council on the Research
the Council of 11 December 2013 establishing a Programme for the
and Training Programme of the European Atomic Energy
Competitiveness of Enterprises and small and medium-sized enter
Community (2014-2018) complementing Horizon 2020 - the
prises (COSME) (2014 - 2020) and repealing Decision No 1639/
Framework Programme for Research and Innovation (See page
2006/EC (See page 33 of this Official Journal).
948 of this Official Journal).
( 7 ) Decision No 743/2008/EC of the European Parliament and of the
( 5 ) Regulation (EC) No 45/2001 of the European Parliament and of the
Council of 9 July 2008 on the Community's participation in a
Council of 18 December 2000 on the protection of individuals with
research and development programme undertaken by several
regard to the processing of personal data by the Community insti
Member States aimed at supporting research and development
tutions and bodies and on the free movement of such data (OJ L 8,
performing small and medium-sized enterprises (OJ L 201,
12.1.2001, p. 1).
30.7.2008, p. 58).

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EN
20.12.2013 Official
Journal
of
the
European
Union L
347/85
HAVE ADOPTED THIS REGULATION:
with the grant agreement and without the consent of
other participants referred to in Article 44(1) and (2);
TITLE I
(ii) allow for specific agreements for access rights to back
INTRODUCTORY PROVISIONS
ground for developing results for commercialisation or
commercialising results themselves (direct exploitation)
Article 1
referred to in Article 48(2) to (4);
Subject matter and scope
1. This
Regulation
lays
down
specific
rules
for
participation
in indirect actions undertaken under Regulation (EU) No
(iii) complement the rules by introducing provisions on
1291/2013, including participation in indirect actions funded
ownership and access to data, knowledge and
by funding bodies in accordance with Article 9(2) of that Regu
information which are outside of the objectives of
lation.
an action and which are not needed for implementing
and exploiting the action (sideground) referred to in
Article 41(2) and Articles 45 to 48;
This Regulation also lays down the rules governing the exploi
tation and dissemination of results.
(iv) extend rules on exploitation to other purposes than
implementing the action (research use) or developing
results for commercialisation or commercialising
2. Subject
to
the
specific
rules
laid
down
in
this
Regulation,
results themselves (direct exploitation) referred to in
the relevant rules of Regulation (EU, Euratom) No 966/2012
Article 48;
and Regulation (EU) No 1268/2012 shall apply.
(v) set out specific criteria for allowing sub-licensing from
3. Regulation (EC) No 294/2008 or any basic act which
one participant to another participant in the same
entrusts budget implementation tasks to a funding body
action referred to in Article 46(2);
under Article 185 TFEU may establish rules which depart
from those laid down in this Regulation. In order to take
into account their specific operating needs and subject to the
rules established in the relevant basic act, the Commission shall
(vi) extend, under the conditions defined in the
be empowered to adopt delegated acts in accordance with
consortium agreement referred to in Article 24(2),
Article 56, with regard to funding bodies set up under
the access rights of participants, their affiliated
Article 187 TFEU concerning:
entities and third parties as licensees to results or
background for purposes other than implementing
the action (research use) under appropriate conditions
including financial terms, or developing results for
(a) the conditions for participation in calls for proposals issued
commercialisation or commercialising results them
by funding bodies established in the area of aeronautics
selves (direct exploitation), as referred to in Articles
with a view to reducing the minimum number of
46 to 48;
participants set out in Article 9(1);
(vii) make access rights for direct exploitation conditional
(b) the eligibility for funding as set out in Article 10, allowing
upon the agreement of the participants concerned, as
funding bodies established in the area of bio-based
referred to in Article 48;
industries and of innovative medicines to limit the eligibility
for funding to specific types of participants;
(viii) render optional the dissemination through scientific
publication in the form of open access, as referred
(c) the rules governing exploitation and dissemination of
to in Article 43(2);
results, allowing funding bodies established in the area of
innovative medicines to:
(d) the funding of the actions, allowing funding bodies in the
area of electronic components and systems to apply
(i) extend the possibilities of transfer and licensing of
reimbursement rates different to those set out in
results and background for affiliated entities,
Article 28(3) in cases where one or more Member States
purchasers and any successor entity, in accordance
co-fund a participant or an action.

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L 347/86
EN
Official Journal of the European Union
20.12.2013
A funding body entrusted with budget implementation tasks
(7) 'coordination and support action' means an action
under points (i) or (ii) of point (c) of Article 58(1) of Regu
consisting primarily of accompanying measures such as
lation (EU, Euratom) No 966/2012, may apply rules which
standardisation, dissemination, awareness-raising and
depart from those laid down in this Regulation, subject to
communication, networking, coordination or support
the consent of the Commission, if its specific operating
services, policy dialogues and mutual learning exercises
needs so require. The Commission shall give its consent
and studies, including design studies for new infra
in such cases only if those rules are in compliance with
structure, and may also include complementary activities
the general principles established in this Regulation.
of networking and coordination between programmes in
different countries;
4. This
Regulation
shall
not
apply
to
direct
actions
carried
out by the Joint Research Centre (JRC).
(8) 'dissemination' means the public disclosure of the results
by any appropriate means (other than resulting from
protecting or exploiting the results), including by scientific
publications in any medium;
Article 2
Definitions
1. For the purposes of this Regulation, the following defi
(9) 'exploitation' means the use of results in further research
nitions apply:
activities other than those covered by the action
concerned, or in developing, creating and marketing a
product or process, or in creating and providing a
service, or in standardisation activities;
(1) 'access rights' means rights to use results or background
under the terms and conditions laid down in accordance
with this Regulation;
(10) 'fair and reasonable conditions' means appropriate
conditions, including possible financial terms or royalty-
free conditions, taking into account the specific circum
(2) 'affiliated entity' means any legal entity that is under the
stances of the request for access, for example the actual or
direct or indirect control of a participant, or under the
potential value of the results or background to which
same direct or indirect control as the participant, or that
access is requested and/or the scope, duration or other
is directly or indirectly controlling a participant. Control
characteristics of the exploitation envisaged;
may take any of the forms set out in Article 8(2);
(11) 'funding body' means a body or authority, other than the
(3) 'associated country' means a third country which is party
Commission, as referred to in point (c) of Article 58(1) of
to an international agreement with the Union, as identified
Regulation (EU, Euratom) No 966/2012, to which the
in Article 7 of Regulation (EU) No 1291/2013;
Commission has entrusted budget implementation tasks
in accordance with Article 9(2) of Regulation (EU) No
1291/2013;
(4) 'background' means any data, know-how or information
whatever its form or nature, tangible or intangible,
including any rights such as intellectual property rights,
which is: (i) held by participants prior to their accession
(12) 'international European interest organisation' means an
to the action; (ii) needed for carrying out the action or for
international organisation, the majority of whose
exploiting the results of the action; and (iii) identified by
members are Member States or associated countries, and
the participants in accordance with Article 45;
whose principal objective is to promote scientific and tech
nological cooperation in Europe;
(5) 'basic act' means a legal act adopted by the Union insti
tutions in the form of a regulation, a directive or a
(13) 'legal entity' means any natural person, or any legal person
decision within the meaning of Article 288 TFEU which
created and recognised as such under national law, Union
provides a legal basis for the action;
law or international law, which has legal personality and
which may, acting in its own name, exercise rights and be
subject to obligations;
(6) 'innovation action' means an action primarily consisting of
activities directly aimed at producing plans and
arrangements or designs for new, altered or improved
(14) 'non-profit legal entity' means a legal entity which by its
products, processes or services. For this purpose they
legal form is non-profit-making or which has a legal or
may include prototyping, testing, demonstrating, piloting,
statutory obligation not to distribute profits to its share
large-scale product validation and market replication;
holders or individual members;

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EN
20.12.2013 Official
Journal
of
the
European
Union L
347/87
(15) 'participant' means any legal entity carrying out an action
2. For
the
purposes
of
this
Regulation,
an
entity
which
does
or part of an action under Regulation (EU) No 1291/2013
not have legal personality under the applicable national law
having rights and obligations with regard to the Union or
shall be considered as being assimilated to a legal entity
another funding body under this Regulation;
provided that the conditions set out in Article 131(2) of Regu
lation (EU, Euratom) No 966/2012 and Article 198 of Regu
lation (EU) No 1268/2012 are complied with.
(16) 'programme co-fund action' means an action funded
through a grant the main purpose of which is supple
menting individual calls or programmes funded by
3. For
the
purposes
of
this
Regulation,
grant
recipients
shall
entities, other than Union funding bodies, managing
not be considered to be funding bodies.
research and innovation programmes. A programme co-
fund action may also include complementary activities of
networking and coordination between programmes in
Article 3
different countries;
Confidentiality
Subject to the conditions established in the implementing agree
(17) 'pre-commercial procurement' means the procurement of
ments, decisions or contracts, any data, knowledge and
research and development services involving risk-benefit
information communicated as confidential in the framework
sharing under market conditions, and competitive devel
of an action shall be kept confidential, taking due account of
opment in phases, where there is a clear separation of the
Union law regarding the protection of and access to classified
research and development services procured from the
information.
deployment of commercial volumes of end-products;
Article 4
(18) 'public procurement of innovative solutions' means
Information to be made available
procurement where contracting authorities act as a
launch customer for innovative goods or services which
1. Without
prejudice
to
Article
3,
the
Commission
shall,
are not yet available on a large-scale commercial basis, and
upon request, make available to the Union institutions,
may include conformity testing;
bodies, offices or agencies, any Member State or associated
country, any useful information in its possession concerning
results generated by a participant in an action that has
received Union funding, provided that both the following
(19) 'results' means any tangible or intangible output of the
conditions are met:
action, such as data, knowledge or information, that is
generated in the action, whatever its form or nature,
whether or not it can be protected, as well as any rights
(a) the information concerned is relevant to public policy;
attached to it, including intellectual property rights;
(b) the participants have not provided sound and sufficient
(20) 'SME' means micro-, small- and medium-sized enterprises,
reasons for withholding the information concerned.
as defined in Commission Recommendation
2003/361/EC ( 1 );
In actions under the specific objective 'Secure societies -
Protecting freedom and security of Europe and its citizens',
(21) 'work programme' means the document adopted by the
the Commission shall upon request make available to Union
Commission for the implementation of the specific
institutions, bodies, offices or agencies or to Member States'
programme in accordance with Article 5 of Council
national authorities any useful information in its possession
Decision 2013/743/EU of 3 December 2013 (
concerning results generated by a participant in an action that

2 );
has received Union funding. The Commission shall notify the
participant of such communication. Where a Member State or
Union institution, body, office or agency requests the communi
(22) 'work plan' means the document similar to the
cation of information, the Commission shall also notify such
Commission work programme adopted by funding
communication to all Member States.
bodies entrusted with part of the implementation of
Horizon 2020 in accordance with Article 9(2) of Regu
lation (EU) No 1291/2013.
2. The
provision
of
information
pursuant
to
paragraph
1
shall not be deemed to transfer to the recipient any rights or
( 1 ) Commission Recommendation 2003/361/EC of 6 May 2003
obligations of the Commission or of the participants. However,
concerning the definition of micro, small and medium-sized enter
the recipient shall treat any such information as confidential
prises (OJ L 124, 20.5.2003, p. 36).
unless it becomes public or is made available publicly by the
( 2 ) Council Decision 2013/743/EU of 11 December 2013 establishing
participants, or unless it was communicated to the Commission
the Specific Programme Implementing Horizon 2020 - The
Framework Programme for Research and Innovation
without restrictions concerning confidentiality. The Commission
(2014 - 2020) (See page 965 of this Official Journal).
rules on security shall apply regarding classified information.

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Official Journal of the European Union
20.12.2013
Article 5
2. For
the
purposes
of
paragraph
1,
control
may,
in
particular, take either of the following forms:
Guidance and information for potential participants
In accordance with Regulation (EU, Euratom) No 966/2012 and
Regulation (EU) No 1268/2012, the Commission or the relevant
(a) the direct or indirect holding of more than 50 % of the
funding body shall ensure that sufficient guidance and
nominal value of the issued share capital in the legal
information is made available to all potential participants at
entity concerned, or of a majority of the voting rights of
the time of publication of the call for proposals, in particular
the shareholders or associates of that entity;
the applicable model grant agreement.
(b) the direct or indirect holding, in fact or in law, of decision-
TITLE II
making powers in the legal entity concerned.
RULES FOR PARTICIPATION
CHAPTER I
3. For the purposes of paragraph 1, the following rela
tionships between legal entities shall not in themselves be
General provisions
deemed to constitute controlling relationships:
Article 6
Forms of funding
(a) the same public investment corporation, institutional
investor or venture-capital company has a direct or
In accordance with Article 10 of Regulation (EU) No
indirect holding of more than 50 % of the nominal value
1291/2013, funding may take one or several of the forms
of the issued share capital or a majority of voting rights of
provided for by Regulation (EU, Euratom) No 966/2012, in
the shareholders or associates;
particular grants, prizes, procurement or financial instruments.
Article 7
(b) the legal entities concerned are owned or supervised by the
same public body.
Legal entities that may participate in actions
1. Any legal entity, regardless of its place of establishment,
or international organisation may participate in an action
CHAPTER II
provided that the conditions laid down in this Regulation
have been met, together with any conditions laid down in the
Grants
relevant work programme or work plan.
S e c t i o n I
A w a r d p r o c e d u r e
2. The
relevant
work
programme
may
restrict
the
partici
pation in Horizon 2020 or parts thereof of legal entities estab
Article 9
lished in third countries where conditions for the participation
of legal entities from Member States, or of their affiliated
Conditions for participation
entities established in a third country, in the third country's
1. The
following
minimum
conditions
shall
apply:
research and innovation programmes are considered to be
prejudicial to the Union's interests.
(a) at least three legal entities shall participate in an action;
3. The relevant work programme or work plan may exclude
entities unable to provide satisfactory security guarantees,
including as regards personnel security clearance if justified by
(b) three legal entities shall each be established in a different
security reasons.
Member State or associated country; and
4. The
JRC
may
participate
in
actions
with
the
same
rights (c) the three legal entities referred to in point (b) shall be
and obligations as a legal entity established in a Member State.
independent of each other within the meaning of Article 8.
Article 8
2. For the purposes of paragraph 1, where one of the
Independence
participants is the JRC, or an international European interest
organisation or an entity created under Union law, it shall be
1. Two
legal
entities
shall
be
regarded
as
independent
of
each deemed to be established in a Member State or associated
other where neither is under the direct or indirect control of the
country other than any Member State or associated country
other or under the same direct or indirect control as the other.
in which another participant in the same action is established.

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Union L
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3. By
way
of
derogation
from
paragraph
1,
the
minimum
the Union and the international organisation or, for entities
condition shall be the participation of one legal entity estab
established in third countries, the country in which the legal
lished in a Member State or associated country, in the case of:
entity is established.
(a) European Research Council (ERC) frontier research actions;
Article 11
Calls for proposals
(b) the SME instrument, where the action has a clear European
added value;
1. Calls
for
proposals
shall
be
issued
in
accordance
with
Regulation (EU, Euratom) No 966/2012 and Regulation (EU)
No 1268/12, taking account in particular of the need for trans
(c) programme co-fund actions; and
parency and non-discrimination, and for flexibility appropriate
to the diverse nature of the research and innovation sectors.
(d) justified cases provided for in the work programme or work
plan.
2. As
an
exception
and
without
prejudice
to
the
other
cases
provided for in Regulation (EU, Euratom) No 966/2012 and
Regulation (EU) No 1268/2012, calls for proposals shall not
4. By
way
of
derogation
from
paragraph
1,
in
the
case
of be issued for coordination and support actions and
coordination and support actions and training and mobility
programme co-fund actions to be carried out by legal entities
actions, the minimum condition shall be the participation of
identified in the work programmes or work plans provided that
one legal entity.
the action does not fall within the scope of a call for proposals.
5. Where
appropriate
and
duly
justified,
work
programmes
or work plans may provide for additional conditions according
3. In
accordance
with
the
relevant
rules
of
Regulation
(EU,
to specific policy requirements or to the nature and objectives
Euratom) No 966/2012 and Regulation (EU) No 1268/2012,
of the action, including inter alia conditions regarding the
sufficient time periods for preparing proposals shall be
number of participants, the type of participant and the place
provided, with reasonable notice of upcoming calls for
of establishment.
proposals through the publication of a work programme and
a reasonable time period between the publication of a call for
proposals and the deadline for submitting a proposal.
Article 10
Eligibility for funding
Article 12
1. The
following
participants
are
eligible
for
funding
from
the Union:
Joint calls with third countries or with international
organisations
1. Joint
calls
for
proposals
with
third
countries
or
their
(a) any legal entity established in a Member State or associated
scientific and technological organisations and agencies or with
country, or created under Union law;
international organisations may be issued to jointly fund actions
in priority areas of common interest and expected mutual
benefit where there is a clear added value for the Union.
(b) any international European interest organisation;
Proposals shall be evaluated and selected through joint
evaluation and selection procedures to be agreed upon. Such
evaluation and selection procedures shall ensure compliance
(c) any legal entity established in a third country identified in
with the principles set out in Title VI of Regulation (EU,
the work programme.
Euratom) No 966/2012 and involve a balanced group of inde
pendent experts appointed by each party.
2. In
the
case
of
a
participating
international
organisation
or
in the case of a participating legal entity established in a third
country, neither of which are eligible for funding according to
2. Legal
entities
receiving
funding
from
the
Union
shall
paragraph 1, funding from the Union may be granted provided
conclude a grant agreement with the Union or the relevant
that at least one of the following conditions is fulfilled:
funding body. That grant agreement shall include a description
of the work to be done by those participants and by the
participating legal entities from the third countries involved.
(a) the participation is deemed essential for carrying out the
action by the Commission or the relevant funding body;
3. Legal
entities
receiving
funding
from
the
Union
shall
conclude a coordination agreement with the participating legal
(b) such funding is provided for under a bilateral scientific and
entities receiving funding from the relevant third countries or
technological agreement or any other arrangement between
international organisations.

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20.12.2013
Article 13
3. The
criterion
referred
to
in
point
(b)
of
paragraph
1
may
be given a higher weighting for proposals for innovation
Proposals
actions.
1. Proposals
shall
include
a
draft
plan
for
the
exploitation
and dissemination of the results, where provided for in the
work programme or work plan.
4.
The work programme or work plan shall lay down further
details of the application of the award criteria laid down in
paragraph 1, and specify weightings and thresholds.
2. Any
proposal
for
research
on
human
embryonic
stem
cells shall include, as appropriate, details of licensing and
control measures that will be taken by the competent auth
5. The
Commission
shall
take
into
account
the
possibility
of
orities of the Member States concerned as well as details of
a two-stage submission procedure provided for in Regulation
the ethical approvals that will be provided. As regards the deri
(EU, Euratom) No
966/2012 and Regulation (EU)
vation of human embryonic stem cells, institutions, organi
No 1268/2012, where appropriate and consistent with the
sations and researchers shall be subject to strict licensing and
objectives of the call for proposals.
control in accordance with the legal framework of the Member
States concerned.
6. Proposals
shall
be
ranked
according
to
the
evaluation
3. A proposal which contravenes ethical principles or any
results. The selection shall be made on the basis of that ranking.
applicable legislation, or which does not fulfil the conditions
set out in Decision No 2013/743/EU, in the work programme,
in the work plan or in the call for proposals may be excluded
7. The
evaluation
shall
be
carried
out
by
independent
from the evaluation, selection and award procedures at any
experts.
time.
8. In
the
case
of
a
legal
entity
referred
to
in
Article
11(2)
or
4. Where
relevant
and
specified
in
the
work
programme
or in other duly justified exceptional circumstances, the evaluation
the work plan, proposals shall explain how and to what extent
may be carried out in a manner derogating from paragraph 7.
gender analysis is relevant to the content of the intended
In each case of such evaluation the Commission shall provide
project.
the Member States with detailed information on the evaluation
procedure used and its outcome.
Article 14
Ethics review
9. In cases where the requested funding from the Union for
1. The
Commission
shall
systematically
carry
out
ethics the action is equal or superior to EUR
500
000, the
reviews for proposals raising ethical issues. That review shall
Commission or the relevant funding body shall, by means
verify the respect of ethical principles and legislation and, in
compatible with national law, verify in advance the financial
the case of research carried out outside the Union, that the same
capacity of only the coordinators. Furthermore, whenever
research would have been allowed in a Member State.
there are grounds to doubt the financial capacity of the coor
dinator or other participants on the basis of available
information, the Commission or the relevant funding body
2. The
Commission
shall
make
the
process
of
the
ethics shall verify their financial capacity.
review as transparent as possible and ensure that it is carried
out in a timely manner avoiding, where possible, the resub
mission of documents.
10. The
financial
capacity
shall
not
be
verified
either
in
respect of legal entities whose viability is guaranteed by a
Member State or an associated country or in respect of higher
Article 15
and secondary education establishments.
Selection and award criteria
1. The
proposals
submitted
shall
be
evaluated
on
the
basis
of 11. Financial
capacity
may
be
guaranteed
by
any
other
legal
the following award criteria:
entity, whose financial capacity shall in turn be verified in
accordance with paragraph 9.
(a) excellence;
Article 16
(b) impact;
Evaluation review procedure
1. The
Commission
or
the
relevant
funding
body
shall
(c) quality and efficiency of the implementation.
provide a transparent evaluation review procedure for applicants
which consider that the evaluation of their proposal has not
been carried out in accordance with the procedures set out in
2. Only
the
criterion
referred
to
in
point
(a)
of
paragraph
1 this Regulation, the relevant work programme, work plan or the
shall apply to proposals for ERC frontier research actions.
call for proposals.

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2. A
request
for
review
shall
relate
to
a
specific
proposal,
and in accordance with this Regulation. If a significant modification
shall be submitted by the coordinator of the proposal within 30
of a model grant agreement is required, the Commission shall,
days of the date on which the Commission or the relevant
in close cooperation with the Member States, revise it as appro
funding body informs the coordinator of the evaluation results.
priate.
3. The
Commission
or
the
relevant
funding
body
shall
be
2. The
Commission
or
the
relevant
funding
body
shall
enter
responsible for the examination of the request referred to in
into a grant agreement with the participants. The removal or
paragraph 2. The examination shall cover only the procedural
substitution of an entity before signature of the grant agreement
aspects of the evaluation, and not the merits of the proposal.
shall be duly justified.
4. An evaluation review committee composed of
Commission staff or of staff of the relevant funding body
3. The
grant
agreement
shall
establish
the
rights
and
shall provide an opinion on the procedural aspects of the
obligations of the participants and of either the Commission
evaluation process. It shall be chaired by an official of the
or the relevant funding body in compliance with this Regu
Commission or of the relevant funding body, from a
lation. It shall also establish the rights and obligations of legal
department other than that responsible for the call for
entities which become participants during the implementation
proposals. The committee may recommend one of the
of the action, as well as the role and tasks of a consortium
following:
coordinator.
(a) re-evaluation of the proposal primarily by evaluators not
4. On the basis of a requirement in a work programme or
involved in the previous evaluation;
work plan, the grant agreement may establish rights and
obligations of the participants with regard to access rights,
exploitation and dissemination, in addition to those laid down
(b) confirmation of the initial evaluation.
in this Regulation.
5. On
the
basis
of
the
recommendation
referred
to
in
5. The
grant
agreement
shall,
where
appropriate
and
to
the
paragraph 4, a decision shall be taken by the Commission or
extent possible, reflect the general principles laid down in the
the relevant funding body and notified to the coordinator of the
Commission Recommendation on the European Charter for
proposal. The Commission or the relevant funding body shall
Researchers and the Code of Conduct for the Recruitment of
take such decision without undue delay.
Researchers, principles of research integrity, the Commission
Recommendation on the management of intellectual property
in knowledge transfer activities, the Code of Practice for univer
6. The
review
procedure
shall
not
delay
the
selection
process sities and other public research institutions as well as the gender
of proposals which are not the subject of requests for review.
equality principle laid down in Article 16 of Regulation (EU)
No 1291/2013.
7. The
review
procedure
shall
not
preclude
any
other
actions
the participant may take in accordance with Union law.
6. The
grant
agreement
shall,
where
appropriate,
contain
provisions ensuring the respect of ethical principles, including
the establishment of an independent ethics board and the right
Article 17
of the Commission to carry out an ethics audit by independent
experts.
Enquiries and complaints
1. The
Commission
shall
ensure
the
existence
of
a
procedure
for participants to make enquiries or complaints about their
7. In
duly
justified
cases,
specific
grants
for
actions
may
form
involvement in Horizon 2020.
part of a framework partnership in accordance with Regulation
(EU, Euratom) No
966/2012 and Regulation (EU)
No 1268/2012.
2. The
Commission
shall
ensure
that
information
on
how
to
register concerns, enquiries or complaints is made available to
all participants and is published on-line.
Article 19
Grant decisions
Article 18
Where appropriate, and in duly justified cases, the Commission,
Grant agreement
in accordance with Article 121(1) of Regulation (EU, Euratom)
No 966/2012, or the relevant funding body, may notify grant
1. The
Commission
shall,
in
close
cooperation
with
the decisions instead of entering into grant agreements. The
Member States, draw up model grant agreements between the
provisions of this Regulation referring to grant agreements
Commission or the relevant funding body and the participants
shall apply mutatis mutandis.

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20.12.2013
Article 20
S e c t i o n I I
Time to grant
I m p l e m e n t a t i o n
1. In
accordance
with
Article
128(2)
of
Regulation
(EU,
Euratom) No 966/2012, calls for proposals shall specify the
Article 23
planned date by which all applicants shall be informed of the
Implementation of actions
outcome of the evaluation of their application and the indicative
date for the signature of grant agreements or the notification of
1. Participants
shall
implement
actions
in
compliance
with
grant decisions.
all the conditions and obligations set out in this Regulation,
Regulation (EU, Euratom) No
966/2012, Regulation (EU)
No 1268/2012, Decision 2013/743/EU, the work programme
or work plan, the call for proposals and the grant agreement.
2. The
dates
referred
to
in
paragraph
1
shall
be
based
on
the
following periods:
2. Participants
shall
make
no
commitments
which
are
incompatible with this Regulation or the grant agreement.
Where a participant fails to comply with its obligations
(a) for informing all applicants of the outcome of the scientific
regarding the technical implementation of the action, the
evaluation of their application, a maximum period of five
other participants shall comply with the obligations without
months from the final date for submission of complete
any additional Union funding unless the Commission or the
proposals;
relevant funding body expressly relieves them of that obligation.
In the event of a participant defaulting, the Commission may, in
accordance with point (a) of Article 39(3) transfer the amount
due from the Participant Guarantee Fund referred to in
(b) for signing grant agreements with applicants or notifying
Article 38 to the coordinator of the action. The financial
grant decisions to them, a maximum period of three
responsibility of each participant shall be limited to its own
months from the date of informing applicants they have
debt subject to the provisions relating to the Participant
been successful.
Guarantee Fund. Participants shall ensure that the Commission
or the relevant funding body is informed in due time of any
event which might significantly affect the implementation of the
action or the interests of the Union.
3. The
periods
referred
to
in
paragraph
2
may
be
exceeded
for actions of the ERC and in exceptional, duly justified cases, in
particular where actions are complex, where there is a large
3. Participants shall implement the action and shall take all
number of proposals or where requested by the applicants.
necessary and reasonable measures to that end. They shall have
the appropriate resources as and when needed for carrying out
the action. Where it is necessary for the implementation of the
action, they may call upon third parties, including subcon
4. Participants
shall
be
given
reasonable
time
to
submit
the tractors, to carry out work under the action or may use
information and documentation required for the signature of
resources made available by third parties by means of
the grant agreement. The Commission shall make decisions
contributions in kind, according to the conditions set out in
and requests for information as promptly as possible. Where
the grant agreement. Participants shall retain responsibility
possible, resubmission of documents shall be avoided.
towards the Commission or the relevant funding body and
towards the other participants for the work carried out.
Article 21
4. The
award
of
subcontracts
for
carrying
out
certain
Time to Pay
elements of the action shall be limited to the cases provided
for in the grant agreement and to duly justified cases that could
Participants shall be paid in a timely manner in accordance with
not be clearly foreseen at the time of entry into force of the
Regulation (EU, Euratom) No 966/2012. When a payment has
grant agreement.
been made to the coordinator, the Commission or the relevant
funding body shall notify the participants thereof.
5. Third
parties
other
than
subcontractors
may
carry
out
work under the action under the conditions laid down in the
grant agreement. The third party and the work to be carried out
Article 22
by it shall be identified in the grant agreement.
Secure electronic system
All exchanges with participants, including the conclusion of
grant agreements, the notification of grant decisions and any
Costs incurred by those third parties may be deemed eligible if
amendments thereto, may be made through an electronic
the third party meets all the following conditions:
exchange system set up by the Commission or by the
relevant funding body, as stipulated in Article 179 of Regu
lation (EU) No 1268/2012.
(a) it would be eligible for funding if it were a participant;

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European
Union L
347/93
(b) it is an affiliated entity or has a legal link to a participant
be carried out. Where appropriate, participants shall seek the
implying a collaboration not limited to the action;
approval of the relevant national or local ethics committees
prior to the start of the action.
(c) it is identified in the grant agreement;
10. Work
using
animals
shall
be
carried
out
in
accordance
with Article 13 TFEU and shall comply with the requirement to
(d) it abides by the rules applicable to the participant under the
replace, reduce and refine the use of animals for scientific
grant agreement with regard to eligibility of costs and
purposes in accordance with Union law and in particular with
control of expenditure;
Directive 2010/63/EU of the European Parliament and of the
Council ( 4 ).
(e) it accepts joint and several liability with the participant for
the Union contribution corresponding to the amount
Article 24
declared by the third party, if required by the Commission
Consortium
or the relevant funding body.
1. The
members
of
any
consortium
wishing
to
participate
in
an action shall appoint one of them to act as coordinator,
which shall be identified in the grant agreement. The coor
6. Third
parties
may
also
make
available
resources
to
a dinator shall be the principal point of contact between the
participant by means of contributions in kind to the action.
members of the consortium in relations with the Commission
Costs incurred by third parties in relation to such contributions
or the relevant funding body, unless specified otherwise in the
which are made free of charge are eligible for funding provided
grant agreement, or in the event of non-compliance with its
they meet the conditions established in the grant agreement.
obligations under the grant agreement.
7. The
action
may
involve
financial
support
to
third
parties 2. The
members
of
a
consortium
participating
in
an
action
under the conditions established in Regulation (EU, Euratom)
shall conclude an internal agreement ("the consortium agree
No 966/2012 and Regulation (EU) No 1268/2012. The
ment") establishing their rights and obligations with respect to
amounts referred to in point (c) of Article 137(1) of Regulation
the implementation of the action in compliance with the grant
(EU, Euratom) No 966/2012 may be exceeded where it is
agreement, except in duly justified cases provided for in the
necessary to achieve the objectives of an action.
work programme or work plan or call for proposals. The
Commission shall publish guidelines on the main issues that
may be addressed by participants in the consortium agreement.
8. The
action
carried
out by
participants
which
are
contracting authorities within the meaning of Directive
2004/17/EC of the European Parliament and of the Council ( 1 ),
3. The
consortium
agreement
may
stipulate
inter
alia
the
Directive 2004/18/EC of the European Parliament and of the
following:
Council ( 2 ) and Directive 2009/81/EC of the European
Parliament and of the Council ( 3 ) may involve or have as their
primary aim the pre-commercial procurement and procurement
of innovative solutions, where provided for in a work
(a) the internal organisation of the consortium;
programme or a work plan and required for its implementation.
In such cases, the rules set out in Article 51(2), (4) and (5) of
this Regulation shall apply to the procurement procedures
carried out by the participants.
(b) the distribution of the Union funding;
9. Participants
shall
comply
with
national
legislation,
regu
(c) rules on dissemination, use and access rights, additional to
lations and ethical rules in the countries where the action will
those in Title III, Chapter I of this Regulation, and to the
provisions in the grant agreement;
( 1 ) Directive 2004/17/EC of the European Parliament and of the
Council of 31 March 2004 coordinating the procurement
procedures of entities operating in the water, energy, transport
and postal services sectors (OJ L 134, 30.4.2004, p. 1).
(d) arrangements for settling internal disputes;
( 2 ) Directive 2004/18/EC of the European Parliament and of the
Council of 31 March 2004 on the coordination of procedures for
the award of public works contracts, public supply contracts and
public service contracts (OJ L 134, 30.4.2004, p. 114).
(e) liability, indemnification and confidentiality arrangements
( 3 ) Directive 2009/81/EC of the European Parliament and of the
between the participants.
Council of 13 July 2009 on the coordination of procedures for
the award of certain works contracts, supply contracts and service
contracts by contracting authorities or entities in the fields of
( 4 ) Directive 2010/63/EU of the European Parliament and of the
defence and security, and amending Directives 2004/17/EC and
Council of 22 September 2010 on the protection of animals used
2004/18/EC (OJ L 216, 20.8.2009, p. 76).
for scientific purposes (OJ L 276, 20.10.2010, p. 33).

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The members of the consortium may make any arrangements
(a) it is part of the usual remuneration practices of the
in the consortium they deem fit to the extent that those
participant and is paid in a consistent manner whenever
arrangements are not in conflict with the grant agreement or
the same kind of work or expertise is required;
this Regulation.
(b) the criteria used to calculate the supplementary payments
4. The
consortium
may
propose
to
add
or
remove
a
are objective and of general application by the participant,
participant or change the coordinator in accordance with the
independent of the source of funding used.
relevant provisions of the grant agreement, provided that the
change is in conformity with the conditions for participation,
does not adversely affect the implementation of the action and
3. Additional remuneration may be eligible up to EUR 8 000
is not contrary to the principle of equal treatment.
per year and per person. In relation to a person not working
exclusively for the action, a limit per hour shall apply. The limit
per hour shall be calculated by dividing EUR 8 000 by the
number of annual productive hours calculated in accordance
S e c t i o n I I I
with Article 31.
F o r m s o f g r a n t s a n d f u n d i n g r u l e s
Article 25
Article 28
Forms of grants
Funding of the action
Grants may take any of the forms provided for in Article 123
1. The
funding
of
an
action
shall
not
exceed
the
total
eligible
of Regulation (EU, Euratom) No 966/2012, taking into account
costs minus the receipts of the action.
the objectives of the action.
2. The
following
shall
be
considered
as
receipts
of
the
action:
Article 26
Eligibility of costs
1. Conditions
for
eligibility
of
costs
are
defined
in
Article
126
(a) resources made available by third parties to the participants
of Regulation (EU, Euratom) No 966/2012. Costs incurred by
by means of financial transfers or contributions in kind free
third parties under the action may be eligible according to the
of charge, the value of which has been declared as eligible
provisions of this Regulation and of the grant agreement.
costs by the participant, provided that they have been
contributed by the third party specifically to be used in
the action;
2. Ineligible
costs
are
those
not
complying
with
the
conditions of paragraph 1, including, in particular, provisions
(b) income generated by the action, except income generated by
for possible future losses or charges, exchange losses, costs
the exploitation of the results of the action;
related to return on capital, costs reimbursed in respect of
another Union action or programme, debt and debt service
charges and excessive or reckless expenditure.
(c) income generated from the sale of assets purchased under
the grant agreement up to the value of the cost initially
charged to the action by the participant.
Article 27
Direct eligible personnel costs
1. Without
prejudice
to
the
conditions
laid
down
in 3. A
single
reimbursement
rate
of
the
eligible
costs
shall
be
Article 26, direct eligible personnel costs shall be limited to
applied per action for all activities funded therein. The
salaries plus social security charges and other costs included
maximum rate shall be fixed in the work programme or
in the remuneration of personnel assigned to the action,
work plan.
arising from national law or from the employment contract.
4. The
Horizon
2020
grant
may
reach
a
maximum
of
100
%
of the total eligible costs, without prejudice to the co-financing
2. Without
prejudice
to
the
conditions
laid
down
in principle.
Article 26, additional remuneration to personnel of participants
that are non-profit legal entities assigned to the action,
including payments on the basis of supplementary contracts
regardless of their nature, may also be considered as direct
5. The Horizon 2020 grant shall be limited to a maximum
eligible personnel costs, up to the amount set out in
of 70 % of the total eligible costs for innovation actions and
paragraph 3, if they fulfil the following additional conditions:
programme co-fund actions.

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By way of derogation from paragraph 3, the Horizon 2020
number of annual productive hours to be used for the
grant may, for innovation actions, reach a maximum of
calculation of the hourly personnel rates, taking account
100 % of the total eligible costs for non-profit legal entities,
of the participant's usual accounting practices.
without prejudice to the co-financing principle.
Article 32
6. The
reimbursement
rates
determined
in
this
Article
shall
also apply in the case of actions where flat rate, unit or lump-
Owners of SMEs and natural persons without a salary
sum financing is fixed for the whole or part of the action.
The owners of SMEs who do not receive a salary, and other
natural persons who do not receive a salary, may charge
personnel costs on the basis of a unit cost.
Article 29
Indirect costs
Article 33
1. Indirect
eligible
costs
shall
be
determined
by
applying
a
flat rate of 25 % of the total direct eligible costs, excluding
Unit costs
direct eligible costs for subcontracting and the costs of
1. In
accordance
with
Article
124
of
Regulation
(EU,
resources made available by third parties which are not used
Euratom) No
966/2012, the Commission may establish
on the premises of the beneficiary, as well as financial support
methods to determine unit costs based on:
to third parties.
(a) statistical data or similar objective means;
2. By
way
of
derogation
from
paragraph
1,
indirect
costs
may be declared in the form of a lump sum or unit costs
when provided for in the work programme or work plan.
(b) auditable historical data of the participant.
Article 30
2. Direct
eligible
personnel
costs
may
be
financed
on
the
Evaluation of the funding levels
basis of unit costs determined according to the participant's
usual cost accounting practices, provided that they comply
The interim evaluation of Horizon 2020 shall include an
with the following cumulative criteria:
evaluation of the impact of the various features introduced by
the new funding levels laid down in Articles 27, 28 and 29 of
this Regulation, with the aim of evaluating whether the new
approach has led to undesired situations adversely affecting the
(a) they are calculated on the basis of the total actual personnel
attractiveness of Horizon 2020.
costs recorded in the participant's general accounts which
may be adjusted by the participant on the basis of budgeted
or estimated elements according to the conditions defined
by the Commission;
Article 31
Annual productive hours
(b) they comply with Articles 26 and 27;
1. Eligible
personnel
costs
shall
cover
only
the
actual
hours
worked by the persons directly carrying out work under the
action. Evidence regarding the actual hours worked shall be
provided by the participant, usually through a time recording
(c) they ensure compliance with the non-profit requirement
system.
and the avoidance of double funding of costs;
2. For
persons
working
exclusively
for
the
action,
no
time (d) they are calculated with due regard to Article 31.
recording is required. In such cases, the participant shall sign a
declaration confirming that the person concerned has worked
exclusively for the action.
Article 34
Certificate on the financial statements
3. The
grant
agreement
shall
contain:
The certificate on the financial statements shall cover the total
amount of the grant claimed by a participant under the form of
reimbursement of actual costs and under the form of unit costs
referred to in Article 33(2), excluding the amounts declared on
(a) the minimum requirements for the time recording system;
the basis of lump sums, flat rates and unit costs other than
those determined according to the participant's usual cost
accounting practices. The certificate shall be submitted only
(b) the option to choose between a fixed number of annual
when that amount is equal to or greater than EUR 325 000
productive hours and the method for establishing the
at the time of claiming the payment of the balance of the grant.

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Article 35
sums due to the Union under actions financed through grants
by the Commission under Decision No 1982/2006/EC and by
Certificate on the methodology
the Commission or Union funding bodies under "Horizon
1. Participants
that
calculate
and
claim
direct
personnel
costs 2020" according to the rules set out in this Regulation. The
on the basis of unit costs in accordance with Article 33(2) may
Fund shall replace and succeed the Participant Guarantee Fund
submit to the Commission a certificate on the methodology.
set up under Regulation (EC) No 1906/2006.
That methodology shall comply with the conditions set out in
Article 33(2) and meet the requirements of the grant agreement.
2. The
Fund
shall
be
operated
in
accordance
with
Article
39.
Any financial interest generated by the Fund shall be added to
2. Where
the
Commission
accepts
a
certificate
on
the the Fund and shall serve exclusively for the purposes set out in
methodology, it shall be valid for all actions financed under
Article 39(3).
Regulation (EU) No 1291/2013 and the participant shall
calculate and claim costs on the basis of it. Once the
Commission has accepted a certificate on the methodology, it
3. Where interest is insufficient to cover the operations
shall not attribute any systemic or recurrent error to the
described in Article 39(3), the Fund shall not intervene and
accepted methodology.
the Commission or the relevant Union funding body shall
recover directly from participants or third parties any amount
owed.
Article 36
Certifying auditors
4. The
Fund
shall
be
considered
a
sufficient
guarantee
under
1. The
certificates
on
the
financial
statements
and
on
the Regulation (EU, Euratom) No
966/2012. No additional
methodology referred to in Articles 34 and 35 shall be estab
guarantee or security may be accepted from participants or
lished by an independent auditor qualified to carry out statutory
imposed upon them except in the case described in paragraph
audits of accounting documents in accordance with Directive
3 of this Article.
2006/43/EC of the European Parliament and of the Council ( 1 )
or similar national regulations, or by a competent and inde
pendent public officer in whom the relevant national authorities
5. Participants
in
actions
under
Horizon
2020
whose
risk
is
have vested the legal capacity to audit the participant and who
covered by the Fund shall make a contribution of 5 % of the
has not been involved in the preparation of the financial state
Union funding for the action. At the end of the action the
ments.
amount contributed to the Fund shall be returned to the partici
pants, via the coordinator.
2. Upon
request
by
the
Commission,
the
Court
of
Auditors
or the European Anti-fraud Office (OLAF), the auditor who
6. The
rate
of
the
participants'
contribution
to
the
Fund
set
delivers the certificate on the financial statements and on the
out in paragraph 5 may be reduced on the basis of the interim
methodology shall grant access to the supporting documents
evaluation of Horizon 2020.
and audit working papers on the basis of which a certificate
on the financial statements or on the methodology was issued.
Article 39
Article 37
Operation of the Fund
Cumulative funding
1. The
Fund
shall
be
managed
by
the
Union,
represented
by
the Commission acting as executive agent on behalf of the
An action for which a grant from the Union budget has been
participants, in accordance with the conditions established by
awarded may also give rise to the award of a grant on the basis
the grant agreement.
of Regulation (EU) No 1291/2013, provided that the grants do
not cover the same cost items.
The Commission may manage the Fund directly or entrust the
financial management of the Fund either to the European
S e c t i o n I V
Investment Bank or to an appropriate financial institution
G u a r a n t e e s
("the depository bank"). The depository bank shall manage the
Fund pursuant to the instructions of the Commission.
Article 38
Participant Guarantee Fund
2. The
participants'
contribution
to
the
Fund
may
be
offset
from the initial pre-financing and be paid to the Fund on behalf
1. A
participant
guarantee
fund
(the "Fund") is hereby estab
of the participants.
lished and shall cover the risk associated with non-recovery of
( 1 ) Directive 2006/43/EC of the European Parliament and of the
3. Where amounts are due to the Union by a participant, the
Council of 17 May 2006 on statutory audits of annual accounts
Commission may, without prejudice to penalties which may be
and consolidated accounts, amending Council Directives 78/660/EEC
and 83/349/EEC and repealing Council Directive 84/253/EEC
imposed on the defaulting participant, take either of the
(OJ L 157, 9.6.2006, p. 87).
following actions:

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(a) transfer, or order the depository bank to transfer, directly
tasks assigned to them. In cases where independent experts have
the amount due from the Fund to the coordinator of the
to deal with classified information, the appropriate security
action. That transfer shall be made after the termination or
clearance shall be required before appointment.
withdrawal of the participation of the defaulting participant
if the action is still ongoing and if the remaining
participants agree to implement it according to the same
objectives. Amounts transferred from the Fund shall be
Independent experts shall be identified and selected on the basis
regarded as Union funding;
of calls for applications from individuals and calls addressed to
relevant organisations such as research agencies, research insti
tutions, universities, standardisation organisations, civil society
(b) recover effectively that amount from the Fund.
organisations or enterprises with a view to establishing a
database of candidates.
The Commission shall issue a recovery order against that
participant or third party to the benefit of the Fund. The
Commission may adopt to that end a recovery decision in
The Commission or the relevant funding body may, if deemed
accordance with Regulation (EU, Euratom) No 966/2012.
appropriate and in duly justified cases, select in a transparent
manner any individual expert with the appropriate skills not
included in the database.
4. The
amounts
recovered
shall
constitute
revenue
assigned
to the Fund within the meaning of Article 21(4) of Regulation
(EU, Euratom) No 966/2012. Once the implementation of all
grants whose risk is covered by the Fund is complete, any sums
When appointing independent experts, the Commission or the
outstanding shall be recovered by the Commission and entered
relevant funding body shall take appropriate measures to seek a
into the budget of the Union, subject to decisions of the legis
balanced composition within the expert groups and evaluation
lative authority.
panels in terms of various skills, experience, knowledge,
geographical diversity and gender, and taking into account the
situation in the field of the action. Where appropriate, private-
public sector balance shall also be sought.
CHAPTER III
Experts
Article 40
The Commission or the relevant funding body may call upon
the advice of advisory bodies for the appointment of inde
Appointment of independent experts
pendent experts. In the case of ERC frontier research actions,
the Commission shall appoint experts on the basis of a proposal
1. The
Commission
and,
where
appropriate,
funding
bodies from the Scientific Council of the ERC.
may appoint independent experts to evaluate proposals in
accordance with Article 15 or to advise on or assist with:
3. The
Commission
or
the
relevant
funding
body
shall
(a) the evaluation of proposals;
ensure that an expert faced with a conflict of interest in
relation to a matter on which the expert is required to
provide an opinion does not evaluate, advise or assist on the
(b) the monitoring of the implementation of actions carried out
specific matter in question.
under Regulation (EU) No 1291/2013 as well as of previous
Research and/or Innovation Programmes;
4. All
exchanges
with
independent
experts,
including
the
(c) the implementation of Union research and innovation
conclusion of contracts for their appointment and any
policy or programmes including Horizon 2020, as well as
amendment thereto, may be done through electronic
the achievement and functioning of the European Research
exchange systems set up by the Commission or by the
Area;
relevant funding body as stipulated in Article 287(4) of Regu
lation (EU) No. 1268/2012.
(d) the evaluation of Research and Innovation Programmes;
5. The
names
of
experts
appointed
in
a
personal
capacity,
who have assisted the Commission or the funding bodies in
(e) the design of the Union research and innovation policy,
implementation of Regulation (EU) No 1291/2013 and
including the preparation of future programmes.
Decision 2013/743/EU shall be published, together with their
area of expertise, at least once a year on the internet site of the
Commission or the relevant funding body. Such information
2. Independent
experts
shall
be
chosen
on
the
basis
of
their shall be collected, processed and published in accordance with
skills, experience and knowledge appropriate to carry out the
Regulation (EC) No 45/2001.

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TITLE III
appropriate territorial coverage, having due regard to its
legitimate interests, and the legitimate interests, particularly
RULES GOVERNING THE EXPLOITATION AND
the commercial interests, of the other participants in the action.
DISSEMINATION OF RESULTS
CHAPTER I
Grants
2. Where
a
participant
that
has
received
Union
funding
intends not to protect results generated by it for reasons
other than impossibility under Union or national law or the
S e c t i o n I
lack of potential for commercial or industrial exploitation, and
R e s u l t s
unless the participant intends to transfer them to another legal
entity established in a Member State or associated country in
Article 41
view of their protection, it shall inform the Commission or the
relevant funding body before any dissemination relating to
Ownership of results
those results takes place. The Commission, on behalf of the
Union, or the relevant funding body may, with the consent
1. Results
shall
be
owned
by
the
participant
generating
them.
of the participant concerned, assume ownership of those
results and take the necessary steps for their adequate
protection.
2. Where
participants
in
an
action
have
jointly
generated
results, and where their respective contribution to the joint
results cannot be ascertained, or where it is not possible to
separate such joint results for the purpose of applying for,
The participant may refuse consent only if it demonstrates that
obtaining or maintaining the relevant intellectual property
its legitimate interests would suffer significant harm. No
rights protection, they shall have joint ownership of those
dissemination relating to those results may take place until
results. The joint owners shall establish an agreement
the Commission or the relevant funding body has taken a
regarding the allocation and terms of exercise of that joint
decision not to assume ownership of the results or has
ownership in accordance with their obligations under the
decided that it will assume ownership and has taken the
grant agreement. The joint owners may agree not to continue
necessary steps to ensure their protection. The Commission or
with joint ownership but decide on an alternative regime, inter
the relevant funding body shall make such decision without
alia by transferring their ownership shares to a single owner
undue delay. The grant agreement shall lay down time-limits
with access rights for the other participants, once the results
in this respect.
have been generated.
Unless otherwise agreed in the joint ownership agreement, each
3. Where
a
participant
that
has
received
Union
funding
joint owner shall be entitled to grant non-exclusive licences to
intends to abandon the protection of results or intends not to
third parties to exploit the jointly owned results, without any
seek the extension of such protection for reasons other than the
right to sub-license, subject to the following conditions:
lack of potential for commercial or industrial exploitation
within a period that shall not exceed five years following the
payment of the balance, it shall inform the Commission or the
(a) prior notice shall be given to the other joint owners;
relevant funding body, which may continue or extend
protection by assuming ownership thereof. The participant
may refuse consent only if it demonstrates that its legitimate
interests would suffer significant harm. The grant agreement
(b) fair and reasonable compensation shall be provided to the
shall lay down time-limits in this respect.
other joint owners.
3. If
employees
or
any
party
working
for
a
participant
are
Article 43
entitled to claim rights to the results generated, the participant
concerned shall ensure that it is possible for those rights to be
Exploitation and dissemination of results
exercised in a manner compatible with its obligations under the
1. Each
participant
that
has
received
Union
funding
shall
use
grant agreement.
its best efforts to exploit the results it owns, or to have them
exploited by another legal entity, in particular through the
transfer and licensing of results in accordance with Article 44.
Article 42
Protection of results
1. Where
results
are
capable
of
or
may
reasonably
be
Any additional exploitation obligations shall be laid down in
expected to be capable of commercial or industrial exploitation,
the grant agreement. In the case of research with the potential
the participant owning those results shall examine the possi
to address major societal challenges, additional exploitation
bility of protecting them. The participant shall, if possible,
obligations may include licensing on non-exclusive terms. Any
reasonable and justified given the circumstances, adequately
such additional obligations shall be indicated in the work
protect them for an appropriate period of time and with an
programme or work plan.

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2. Subject to any restrictions due to the protection of intel
may include visual means, that the action received financial
lectual property, security rules or legitimate interests, each
support from the Union. The terms of that statement shall be
participant shall through appropriate means disseminate the
established in the grant agreement.
results it owns as soon as possible. The grant agreement may
lay down time-limits in this respect.
Article 44
Transfer and licensing of results
Any additional dissemination obligations shall be laid down in
the grant agreement and indicated in the work programme or
1. Where
a
participant
transfers
ownership
of
results,
it
shall
work plan.
pass on its obligations under the grant agreement regarding
those results to the transferee, including the obligation to pass
them on in any subsequent transfer.
With regard to the dissemination of results through scientific
publications, open access shall apply under the terms and
Without prejudice to confidentiality obligations arising from
conditions laid down in the grant agreement. Costs relating to
laws or regulations in the case of mergers and acquisitions,
open access to scientific publications that result from research
where other participants still enjoy access rights or may still
funded under Horizon 2020, incurred within the duration of an
request the granting of access rights to the results to be trans
action, shall be eligible for reimbursement under the conditions
ferred, a participant which intends to transfer the results shall
of the grant agreement. With due regard to Article 18 of Regu
give prior notice to the other participants, together with
lation (EU) No 1291/2013, the grant agreement shall not
sufficient information concerning the intended new owner of
stipulate conditions regarding open access to publications
the results, to permit the other participants to analyse the effect
which would result in additional publishing costs after the
of the intended transfer on the possible exercise of their access
completion of an action.
rights.
With regard to the dissemination of research data, the grant
Following notification, a participant may object to the transfer
agreement may, in the context of the open access to and the
of ownership if it demonstrates that the intended transfer would
preservation of research data, lay down terms and conditions
adversely affect the exercise of its access rights. In such a case,
under which open access to such results shall be provided, in
the transfer may not take place until agreement has been
particular in ERC frontier research and FET (Future and
reached between the participants concerned. The grant
Emerging Technologies) research or in other appropriate areas,
agreement shall lay down time-limits in this respect.
and taking into consideration the legitimate interests of the
participants and any constraints pertaining to data protection
rules, security rules or intellectual property rights. In such cases,
The other participants may by prior written agreement waive
the work programme or work plan shall indicate if the dissemi
their right to prior notice and to object to transfers of
nation of research data through open access is required.
ownership from one participant to a specifically identified
third party.
Prior notice of any dissemination activity shall be given to the
2. Provided
that
access
rights
to
the
results
can
be
exercised,
other participants. Following notification, a participant may
and that any additional exploitation obligations are complied
object if it demonstrates that its legitimate interests in relation
with by the participant which owns the results, the latter may
to its results or background would suffer significant harm by
grant licences or otherwise grant the right to exploit them to
the intended dissemination. In such cases, the dissemination
any legal entity, including on an exclusive basis. Exclusive
may not take place unless appropriate steps are taken to
licences for results may be granted subject to consent by all
safeguard those legitimate interests. The grant agreement shall
the other participants concerned that they will waive their
lay down time-limits in this respect.
access rights thereto.
3. For
the
purposes
of
monitoring
and
dissemination
by
the 3. With
regard
to
results
which
are
generated
by
participants
Commission or the relevant funding body, participants shall
that have received Union funding, the grant agreement may
provide any information on their exploitation and dissemi
provide that the Commission or the relevant funding body
nation related activities, and provide any documents necessary
may object to transfers of ownership or to grants of an
in accordance with the conditions laid down in the grant
exclusive licence to third parties established in a third country
agreement. Subject to the legitimate interests of the participants
not associated with Horizon 2020, if it considers that the grant
which have provided the information, such information shall be
or transfer is not in accordance with the interests of developing
made publicly available. The grant agreement shall, inter alia, lay
the competitiveness of the Union economy, or is inconsistent
down time-limits with respect to such reporting obligations.
with ethical principles or security considerations.
In such cases, the transfer of ownership or grant of exclusive
4. All
patent
applications,
standards,
publications
or
any licence shall not take place unless the Commission or the
other dissemination, including those in electronic form,
relevant funding body is satisfied that appropriate safeguards
relating to results shall, if possible, include a statement, which
will be put in place.

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Where appropriate, the grant agreement shall provide that the
needed by the former to carry out its work under the action,
Commission or the relevant funding body is to be notified in
and subject to any restrictions or limits pursuant to
advance of any such transfer of ownership or grant of an
Article 46(3).
exclusive licence. The grant agreement shall lay down time-
limits in this respect.
Such access shall be granted on a royalty-free basis, unless
otherwise agreed by the participants before their accession to
S e c t i o n I I
the grant agreement.
A c c e s s r i g h t s t o b a c k g r o u n d a n d r e s u l t s
Article 45
Article 48
Background
Access rights for exploitation
Participants shall identify the background for their action in any
1. A
participant
shall
enjoy
access
rights
to
the
results
of
manner in a written agreement.
another participant in the same action if those results are
needed by the former to exploit its own results.
Article 46
Subject to agreement, such access shall be granted under fair
Access rights principles
and reasonable conditions.
1. Any
request
to
exercise
access
rights
or
any
waiving
of
access rights shall be made in writing.
2. A
participant
shall
enjoy
access
rights
to
background
of
another participant in the same action if this background is
2. Unless
otherwise
agreed
by
the
owner
of
the
results
or needed by the former to exploit its own results, and subject
background to which access is requested, access rights shall not
to any restrictions or limits pursuant to Article 46(3).
include the right to sub-license.
Subject to agreement, such access shall be granted under fair
3. Participants
in
the
same
action
shall
inform
each
other and reasonable conditions.
before their accession to the grant agreement of any legal
restriction or limit to granting access to their background.
Any agreement concluded thereafter by a participant regarding
3. An
affiliated
entity
established
in
a
Member
State
or
background shall ensure that any access rights may be exercised.
associated country shall, unless otherwise provided for in the
consortium agreement, also have access rights to results and,
subject to any restrictions or limits pursuant to Article 46(3), to
4. The
termination
of
the
participation
in
an
action
shall
not background under fair and reasonable conditions if those results
affect the obligation of such a participant to grant access under
and background are needed to exploit the results generated by
the terms and conditions established in the grant agreement.
the participant to which it is affiliated. Such access rights shall
be requested and obtained directly from the participant owning
the results or background unless otherwise agreed in accordance
with Article 46(2).
5. The
consortium
agreement
may
stipulate
that
where
a
participant defaults on its obligations and such default is not
remedied, such a defaulting participant shall no longer enjoy
access rights.
4. A request for access under paragraphs 1, 2 or 3 may be
made up to one year after the end of the action, unless the
participants agree on a different time-limit.
Article 47
Access rights for implementation
Article 49
1. A
participant
shall
enjoy
access
rights
to
the
results
of
Access rights for the Union and the Member States
another participant in the same action if those results are
needed by the former to carry out its work under the action.
1. The
Union
institutions,
bodies,
offices
or
agencies
shall,
for the duly justified purpose of developing, implementing and
monitoring Union policies or programmes, enjoy access rights
solely to the results of a participant that has received Union
Such access shall be granted on a royalty-free basis.
funding. Such access rights are limited to non-commercial and
non-competitive use.
2. A
participant
shall
enjoy
access
rights
to
background
of
another participant in the same action if this background is
Such access shall be granted on a royalty-free basis.

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EN
20.12.2013 Official
Journal
of
the
European
Union L
347/101
2. Regarding
actions
under
the
specific
objective 'Secure
where applicable, with Directives 2004/17/EC, 2004/18/EC
societies - Protecting freedom and security of Europe and its
and 2009/81/EC, or, where the Commission acts on its own
citizens' set out in Part III of Annex I to Regulation (EU) No
behalf, with Regulation (EU, Euratom) No 966/2012;
1291/2013, Union institutions, bodies, offices and agencies, as
well as Member States' national authorities, shall, for the
purpose of developing, implementing and monitoring their
policies or programmes in this area, enjoy the necessary
(b) may provide for specific conditions such as the place of
access rights to the results of a participant that has received
performance of the procured activities being limited for
Union funding. Such access rights shall be limited to non-
pre-commercial procurement, to the territory of the
commercial and non-competitive use. Such access rights shall
Member States and of countries associated to Horizon
be granted on a royalty-free basis and upon bilateral agreement
2020 where duly justified by the objectives of the actions;
defining specific conditions aimed at ensuring that those rights
will be used only for the intended purpose and that appropriate
confidentiality obligations will be in place. Such access rights
shall not extend to the participant's background. The requesting
Member State, Union institution, body, office or agency shall
(c) may authorise the award of multiple contracts within the
notify all Member States of such requests. The Commission
same procedure (multiple sourcing);
rules on security shall apply regarding classified information.
TITLE IV
(d) shall provide for the award of the contracts to the tender(s)
offering best value for money.
SPECIFIC PROVISIONS
Article 50
3. Unless
otherwise
stipulated
in
the
call
for
tenders,
results
Prizes
generated by procurement carried out by the Commission shall
1. Union
funding
may
take
the
form
of
prizes
as
defined
in be owned by the Union.
Title VII of Regulation (EU, Euratom) No 966/2012 and Regu
lation (EU) No 1268/2012.
4. Specific
provisions
regarding
ownership,
access
rights
and
2. Any
prize
awarded
shall
be
conditional
upon
the licensing shall be laid down in the contracts regarding pre-
acceptance of the appropriate publicity obligations. Regarding
commercial procurement to ensure maximum uptake of the
the dissemination of results, Title III of this Regulation shall
results and to avoid any unfair advantage. The contractor
apply. The work programme or work plan may contain
generating results in pre-commercial procurement shall own
specific obligations regarding exploitation and dissemination.
at least the attached intellectual property rights. The contracting
authorities shall enjoy at least royalty-free access rights to the
results for their own use and the right to grant, or require the
participating contractors to grant, non-exclusive licences to
Article 51
third parties to exploit the results under fair and reasonable
conditions without any right to sub-license. If a contractor
Procurement, pre-commercial procurement and public
fails to commercially exploit the results within a given period
procurement of innovative solutions
after the pre-commercial procurement as identified in the
1. Any
procurement
carried
out
by
the
Commission
on
its contract, it shall transfer any ownership of the results to the
own behalf or jointly with Member States shall be subject to the
contracting authorities.
rules on public procurement set out in Regulation (EU,
Euratom) No 966/2012 and Regulation (EU) No 1268/2012.
5. Specific
provisions
regarding
ownership,
access
rights
and
licensing may be laid down in the contracts regarding public
2. Union
funding
may
take
the
form
of
pre-commercial procurement of innovative solutions to ensure maximum
procurement or the procurement of innovative solutions
uptake of the results and to avoid any unfair advantage.
carried out by the Commission or the relevant funding body
on its own behalf or jointly with contracting authorities from
Member States and associated countries.
Article 52
The procurement procedures:
Financial Instruments
1. Financial
instruments
may
take
any
of
the
forms
referred
to in, and shall be implemented in accordance with, Title VIII of
(a) shall comply with the principles of transparency, non-
Regulation (EU, Euratom) No 966/2012 and may be combined
discrimination, equal treatment, sound financial with each other and with grants funded under the Union
management, proportionality, with competition rules and,
budget, including under Regulation (EU) No 1291/2013.

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L 347/102
EN
Official Journal of the European Union
20.12.2013
2. By
way
of
derogation
from
the
second
subparagraph
of exceed six months. Proposals shall be ranked according to the
Article 140(6) of Regulation (EU, Euratom) No 966/2012, both
impact, quality and efficiency of implementation and excellence,
revenues and annual repayments generated by a financial
with the criterion of impact given a higher weighting. No more
instrument established under Regulation (EU) No 1291/2013
than five legal entities shall participate in any one action. The
shall be assigned, in accordance with Article 21(4) of Regulation
amount of the grant shall not exceed EUR 3 million.
No 966/2012, to that financial instrument.
Article 55
3. By
way
of
derogation
from
the
second
subparagraph
of
Article 140(6) of Regulation (EU, Euratom) No 966/2012, both
Other specific provisions
revenues and annual repayments generated by the Risk Sharing
1. In
the
case
of
actions
involving
security-related
activities,
Finance facility set up under Decision No 1982/2006/EC and
the grant agreement may lay down specific provisions, in
the early stage part of the High-Growth and Innovative SME
particular on pre-commercial public procurement, procurement
Facility (GIF1) set up under Decision No 1639/2006/EC, shall
of innovative solutions, changes to the consortium's
be assigned, in accordance with Article 21(4) of Regulation (EU,
composition, classified information, exploitation, dissemination,
Euratom) No 966/2012, to the succeeding financial instruments
open access to research publications, transfers and licences of
under Regulation (EU) No 1291/2013.
results.
Article 53
2. In
the
case
of
actions
to
support
existing
or
new
research
infrastructures, the grant agreement may lay down specific
SME Instrument
provisions relating to users of the infrastructure and to the
1. Only SMEs may apply for calls for proposals issued under
users' access to them.
the dedicated SME instrument referred to in Article 22 of Regu
lation (EU) No 1291/2013. They may cooperate with other
companies, and with research organisations or universities.
3. In the case of ERC frontier research actions, the grant
agreement may lay down specific provisions, in particular on
access rights, portability and dissemination, or relating to
participants, researchers and any party concerned by the action.
2. Once a company has been validated as an SME, that legal
status shall be assumed to prevail for the entire duration of the
project, even in cases where the company, due to its growth,
later exceeds the ceilings of the SME definition.
4. In the case of training and mobility actions, the grant
agreement may lay down specific provisions on commitments
relating to the researchers benefiting from the action,
ownership, access rights and portability.
3. In the case of the SME instrument or grants by funding
bodies or by the Commission targeting SMEs, the grant
agreement may lay down specific provisions, in particular on
ownership, access rights, exploitation and dissemination.
5. In the case of coordination and support actions, the grant
agreement may lay down specific provisions, in particular on
ownership, access rights, exploitation and dissemination of
results.
Article 54
Fast Track to Innovation
1. In
accordance
with
Article
7,
any
legal
entity
may 6. In the case of the Knowledge and Innovation Commu
participate in a Fast Track to Innovation ("FTI") action.
nities of the EIT, the grant agreement may lay down specific
Actions funded under FTI shall be innovation actions. The FTI
provisions, in particular on ownership, access rights, exploi
call shall be open to proposals relating to any technology field
tation and dissemination.
under the specific objective "Leadership in enabling and
industrial technologies" set out in point 1 of Part II of Annex
I to Regulation (EU) No 1291/2013 or to any of the specific
objectives under the priority "Societal challenges" set out in
TITLE V
points 1 to 7 of Part III of Annex I to that Regulation.
FINAL PROVISIONS
Article 56
2. Proposals
may
be
submitted
at
any
time.
The
Commission
Exercise of the delegation
shall set three cut-off dates per year to evaluate proposals. The
period between a cut-off date and signature of the grant
1. The
power
to
adopt
delegated
acts
is
conferred
on
the
agreement or notification of the grant decision shall not
Commission subject to the conditions laid down in this Article.

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EN
20.12.2013 Official
Journal
of
the
European
Union L
347/103
2. The power to adopt delegated acts referred to in
Article 57
Article 1(3) shall be conferred on the Commission for the
duration of Horizon 2020.
Repeal and transitional provisions
1. Regulation
(EC)
No
1906/2006
is
repealed
with
effect
from 1 January 2014.
3. The
delegation
of
power
referred
to
in
Article
1(3)
may
be
revoked at any time by the European Parliament or by the
Council. A decision to revoke shall put an end to the delegation
2. Without
prejudice
to
paragraph
1,
this
Regulation
shall
of the power specified in that decision. It shall take effect the
not affect the continuation or modification, including the
day following the publication of the decision in the Official
total or partial termination, of the actions concerned, until
Journal of the European Union or at a later date specified
their closure, or until the award of financial assistance by the
therein. It shall not affect the validity of any delegated acts
Commission or funding bodies under Decision No 1982/
already in force.
2006/EC or any other legislation applying to that assistance
on 31 December 2013, which shall continue to apply to the
actions concerned until their closure.
4. As
soon
as
it
adopts
a
delegated
act,
the
Commission
shall
notify it simultaneously to the European Parliament and to the
Council.
3. Any
sums
from
the
participant
Guarantee
Fund
set
up
by
Regulation (EC) No 1906/2006 as well as all its rights and
obligations shall be transferred to the Fund as of 31 December
5. A
delegated
act
adopted
pursuant
to
Article
1(3)
shall 2013. The participants in actions under Decision No 1982/
enter into force only if no objection has been expressed
2006/EC signing grant agreements after 31 December 2013
either by the European Parliament or by the Council within a
shall make their contribution to the Fund.
period of two months of notification of that act to the
European Parliament and the Council or if, before the expiry
Article 58
of that period, the European Parliament and the Council have
both informed the Commission that they will not object. That
This Regulation shall enter into force on the third day following
period shall be extended by two months at the initiative of the
that of its publication in the Official Journal of the European
European Parliament or of the Council.
Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Strasbourg, 11 December 2013.
For the European Parliament
For the Council
The President
The President
M. SCHULZ
V. LEKEVIIUS

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