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18.2.2012 Official
Journal
of
the
European
Union
L
47/1
II
(Non-legislative acts)
REGULATIONS
COUNCIL REGULATION (EURATOM) No 139/2012
of 19 December 2011
laying down the rules for the participation of undertakings, research centres and universities in
indirect actions under the Framework Programme of the European Atomic Energy Community and
for the dissemination of research results (2012-2013)
THE COUNCIL OF THE EUROPEAN UNION,
No 2342/2002 of 23 December 2002 laying down
detailed rules for the implementation of Council Regu
lation (EC, Euratom) No 1605/2002 on the Financial
Having regard to the Treaty establishing the European Atomic
Regulation applicable to the general budget of the
Energy Community, and in particular Articles 7 and 10 thereof,
European Communities ( 5 ).
Having regard to the proposal from the European Commission
(3) The
Framework
Programme
should
also
be
implemented
submitted after consultation of the Scientific and Technical
in accordance with the State aid rules, in particular the
Committee,
rules on State aid for research and development,
currently the Community framework for state aid for
research and development and innovation (
Having regard to the Opinion of the European Parliament (

6 ).

1 ),
Having regard to the Opinion of the European Economic and
(4) The
Framework
Programme
retains
the
overall
scope
and
Social Committee ( 2 ),
principles as regards the Seventh Framework Programme
of the Community adopted by Council Decision
2006/970/Euratom of 18 December 2006 concerning
Having regard to the Opinion of the Court of Auditors,
the Seventh Framework Programme of the European
Atomic Energy Community (Euratom) for nuclear
research and training activities (2007 to 2011) ( 7 ).
Whereas:
(5) The
rules
for
the
participation
of
undertakings,
research
(1) The
Framework
Programme
of
the
European
Atomic
centres and universities should provide a coherent,
Energy Community for nuclear research and training
comprehensive and transparent framework to ensure
activities (2012-2013) (hereinafter ‘the Framework
the most efficient implementation possible, taking into
Programme’), was adopted by Council Decision
account the need for easy access for all participants
2012/93/Euratom ( 3 ). It is the responsibility of the
through simplified procedures, in accordance with the
Commission to ensure the implementation of the
principle of proportionality.
Framework Programme and its specific programmes,
including the related financial aspects.
(6) The
Framework
Programme
should
benefit
from
the
Commission initiative to simplify the implementation
(2) The
Framework
Programme
should
be
implemented
in
accordance with Council Regulation (EC, Euratom) No
of the research framework programmes included in the
1605/2002 of 25 June 2002 on the Financial
Commission Decision C(2011) 174 of 24 January 2011
Regulation applicable to the general budget of the
on three measures for simplifying the implementation of
European Communities (
Decision No 1982/2006/EC of the European Parliament

4 ) (hereinafter ‘the Financial
Regulation’) and Commission Regulation (EC, Euratom)
and of the Council and Council Decision
2006/970/Euratom. This Commission Decision modifies
the model grant agreement adopted under Decision
( 1 ) Opinion of 15 November 2011 (not yet published in the Official
2006/970/Euratom.
Journal). Opinion delivered following non-compulsory consultation.
( 2 ) OJ C 318, 29.10.2011, p. 127. Opinion delivered following non-
compulsory consultation.
( 5 ) OJ L 357, 31.12.2002, p. 1.
( 3 ) See page 25 of this Official Journal.
( 6 ) OJ C 323, 30.12.2006, p. 1.
( 4 ) OJ L 248, 16.9.2002, p. 1.
( 7 ) OJ L 400, 30.12.2006, p. 60.

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Official Journal of the European Union
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(7) These
rules
should
continue
to
facilitate
the
exploitation
No 2342/2002 and in this Regulation, to govern the
of intellectual property developed by participants, also
submission, evaluation and selection of proposals and
taking into account the way in which the participant
the award of grants, as well as redress procedures for
may be organised internationally, while protecting
participants. In particular, rules should be established
legitimate interests of the other participants and the
for the use of independent experts.
Community.
(17) The
duration
of
the
Framework
Programme
is
limited
to
(8) The
Framework
Programme
should
promote
partici
2 years, whereas the Seventh Framework Programme of
pation from the outermost regions of the Union, as
the Union, adopted by Decision No 1982/2006/EC of
well as from a wide range of undertakings, research
the European Parliament and of the Council of
centres and universities.
18 December 2006 concerning the Seventh Framework
Programme of the European Community for research,
technological development and demonstration activities
(9) The
definition
of
micro,
small
and
medium-sized
enter
(2007-2013) ( 2 ), with similar rules to the Seventh
prises (SMEs) given in the Commission Recommendation
Framework Programme of the Community, will be in
2003/361/EC of 6 May 2003 concerning the definition
force in parallel until the end of 2013. It is thus appro
of micro, small and medium-sized enterprises ( 1 ) should
priate to apply similar rules to those for the Seventh
apply to ensure coherence and transparency.
Framework Programme of the Union and avoid major
changes for participants.
(10) The
minimum
conditions
for
participation
need
to
be
established, both as a general rule and for specific
(18) The Commission should establish further rules and
indirect actions under the Framework Programme.
procedures under the Framework Programme in
addition to those provided for in the Financial Regulation
and Regulation (EC, Euratom) No 2342/2002, to govern
(11) Any
legal
entity
should
be
free
to
participate
once
the
the assessment of the legal and financial viability of
minimum conditions have been satisfied. Participation
participants in indirect actions under the Framework
over and above the minimum should ensure the
Programme. Such rules should strike the right balance
efficient implementation of the indirect action concerned.
between protecting the Union’s financial interests and
simplifying and facilitating the participation of legal
entities in the Framework Programme. In order to
ensure consistent verification of the existence and legal
(12) International organisations dedicated to developing
status of participants, as well as their operational and
cooperation in the field of nuclear research and
financial capacities, in indirect actions and to avoid
training in Europe and largely made up of Member
major changes for the participants it is advisable to
States or associated countries should be encouraged to
apply to the Framework Programme the Rules to
participate in the Framework Programme.
ensure consistent verification of the existence and legal
status of participants, as well as their operational and
financial capacities, in indirect actions supported
(13) The
participation
of
legal
entities
established
in
third
through the form of a grant under the Seventh
countries and the participation of international organi
Framework Programme of the Union and the Seventh
sations should also be envisaged, as enshrined in
Framework Programme of the Community, adopted by
Article 101 of the Treaty. However, such participation
Commission Decision C(2007) 2466 of 13 June 2007.
should be justified in terms of the enhanced contribution
made to the objectives of the Framework Programme.
(19) In
this
context,
the
Financial
Regulation
and
Regulation
(EC, Euratom) No 2342/2002 and Council Regulation
(14) In
accordance
with Article
198 of the
Treaty,
legal
(EC, Euratom) No 2988/95 of 18 December 1995 on
entities of Member States’ non-European territories
the protection of the European Communities’ financial
under their jurisdiction are eligible for the Framework
interests ( 3 ), govern, inter alia, the protection of the
Programme.
Union’s financial interests, the fight against fraud and
irregularity, the procedures for the recovery of sums
owed to the Commission, exclusion from contract and
(15) It
is
necessary
to
establish
the
terms
and
conditions
for
grant procedures and related penalties, and audits,
providing Community funding to participants in indirect
checks, and inspections by the Commission and the
actions.
Court of Auditors.
(16) It is necessary for the Commission to establish further
(20) The Community financial contribution should reach
rules and procedures, in addition to those provided for in
participants without undue delay.
the Financial Regulation and Regulation (EC, Euratom)
( 2 ) OJ L 412, 30.12.2006, p. 1.
( 1 ) OJ L 124, 20.5.2003, p. 36.
( 3 ) OJ L 312, 23.12.1995, p. 1.

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(21) The agreements concluded for each action should
(29) The
Community
should
provide
financial
support,
in
provide for supervision and financial control by the
accordance with the Financial Regulation, inter alia, by
Commission, or any representative authorised by the
means of public procurements, in the form of a price for
Commission, as well as audits by the Court of Auditors
goods or services established by contract and selected on
and on-the-spot checks carried out by the European Anti-
the basis of calls for tender, grants, subscriptions to an
Fraud Office (OLAF), in accordance with the procedures
organisation in the form of a membership fee, and
laid down in Council Regulation (Euratom, EC) No
honorarium for independent experts,
2185/96 of 11 November 1996 concerning on-the-
spot checks and inspections carried out by the
Commission in order to protect the European Commun
HAS ADOPTED THIS REGULATION:
ities’ financial interests against fraud and other irregular
ities ( 1 ).
CHAPTER I
(22) The Commission should monitor both the indirect
actions carried out under the Framework Programme
INTRODUCTORY PROVISIONS
and the Framework Programme and its specific
Article 1
programmes. With a view to ensuring efficient and
coherent monitoring and evaluation of the implemen
Subject matter
tation of indirect actions, the Commission should set-
up and maintain an appropriate information system.
This Regulation lays down the rules for the participation of

undertakings, research centres and universities and other legal
entities in actions undertaken by one or more participants
(23) The
Framework
Programme
should
reflect
and
promote
under funding schemes identified in the Annex II to Decision
the general principles laid down in Commission Recom
2012/93/Euratom (hereinafter ‘indirect actions’).
mendation 2005/251/EC of 11 March 2005 on the
European Charter for Researchers and Code of Conduct
for the Recruitment of Researchers ( 2 ), while respecting
It also lays down rules, in accordance with those in the Regu
their voluntary character.
lation (EC, Euratom) No 1605/2002 (hereinafter the ‘Financial
Regulation’) and Regulation (EC, Euratom) No 2342/2002,
(24) The
rules
governing
the
dissemination
of
research
results
concerning the Community financial contribution to
should ensure that, where appropriate, the participants
participants in indirect actions under the Framework
protect the intellectual property generated in actions,
Programme.
and use and disseminate those results.
As regards the results of research carried out under the
(25) While respecting the rights of the owners of intellectual
Framework Programme, this Regulation lays down rules for
property, those rules should be designed to ensure that
the disclosure of foreground by any appropriate means other
participants and, where appropriate their affiliated entities
than those resulting from the formalities for protecting it,
established in a Member State or associated country, have
including the publication of foreground in any medium (here
access to information they bring to the project and to
inafter ‘dissemination’).
knowledge arising from research work carried out in the
project to the extent necessary to conduct the research
work or to use the resulting knowledge.
In addition, it lays down rules for the direct or indirect use of
foreground in further research activities other than those
(26) The ‘Participants Guarantee fund’, set-up under the
covered by the indirect action concerned, including developing,
Seventh Framework Programme of the Community and
creating and marketing a product or process, creating and
managed by the Commission, should continue to operate
providing a service (hereinafter ‘use’).
and should cover amounts due and not reimbursed by
defaulting partners under the Framework Programme.
The creation of such a fund has promoted the simplifi
In respect of both foreground and background, this Regulation
cation and facilitated the participation while safeguarding
lays down rules concerning licences and user rights thereto
the Union’s financial interests in a manner that is also
(hereinafter ‘access rights’).
appropriate for the Framework Programme.
(27) Community
contributions
to
a
joint
undertaking
set
up
Article 2
pursuant to Articles 45 to 51 of the Treaty do not fall
within the scope of this Regulation.
Definitions
For the purposes of this Regulation, the following definitions
(28) This
Regulation respects the fundamental rights and
shall apply:
observes the principles enshrined in the Charter of
Fundamental Rights of the European Union.
(1) ‘legal entity’ means any natural person, or any legal person
( 1 ) OJ L 292, 15.11.1996, p. 2.
created under the national law of its place of estab
( 2 ) OJ L 75, 22.3.2005, p. 67.
lishment, or under Union law or international law,

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which has legal personality and which may, acting under
(13) ‘SMEs’ mean micro, small and medium-sized enterprises
its own name, exercise rights and be subject to obligations;
within the meaning of Recommendation 2003/361/EC;
(2) ‘affiliated entity’ means any legal entity that is under the
(14) ‘work programme’ means a plan adopted by the
direct or indirect control of a participant, or under the
Commission for the implementation of a specific
same direct or indirect control as the participant, control
programme as identified in Article 6 of Council Decision
taking any of the forms set out in Article 7(2);
2012/94/Euratom of 19 December 2011 concerning the
specific programme, to be carried out by means of indirect
(3) ‘fair and reasonable conditions’ means appropriate
actions, implementing the Framework Programme of the
conditions including possible financial terms taking into
European Atomic Energy Community for nuclear research
account the specific circumstances of the request for
and training activities (2012-2013) ( 1 );
access, for example the actual or potential value of the
foreground or background to which access is requested
and/or the scope, duration or other characteristics of the
(15) ‘funding schemes’ mean the mechanisms for Community
use envisaged;
funding of indirect actions as established in the Annex II
to Decision 2012/93/Euratom.
(4) ‘foreground’ means the results, including information,
whether or not they can be protected, which are
For the purposes of point (1) of the first paragraph, in the case
generated by the indirect action concerned, including
of natural persons, references to establishment are deemed to
rights related to copyright, design rights, patent rights,
refer to habitual residence.
plant variety rights or similar forms of protection;
Article 3
(5) ‘background’ means information which is held by
participants prior to their accession to the grant
Confidentiality
agreement, including copyright or other intellectual
property rights pertaining to such information, for which
Subject to the conditions established in the model grant
they have filed applications before acceding to the grant
agreement, the model appointment letter or contract, the
agreement, and which is needed for carrying out the
Commission and the participants shall keep confidential any
indirect action or for using the results of the indirect
data, knowledge and documents communicated to them as
action;
confidential.
(6) ‘participant’ means a legal entity contributing to an
CHAPTER II
indirect action and having rights and obligations with
regard to the Community;
PARTICIPATION
Article 4
(7) ‘research organisation ‘ means a legal entity established as
Specific rules for fusion energy research
a non-profit organisation which carries out research or
technological development as one of its main objectives;
The rules set out in this Chapter apply without prejudice to
specific rules for activities under the thematic area ‘Fusion
(8) ‘third country’ means a country that is not a Member
energy research’ set out in Chapter IV.
State;
SECTION 1
(9) ‘associated country’ means a third country that is party to
an international agreement with the Community, under
Minimum conditions
the terms of which or on the basis of which it makes a
Article 5
financial contribution to all or part of the Framework
Programme;
General principles
1. Any undertaking, university or research centre or other
(10) ‘international organisation’ means an intergovernmental
legal entity, whether established in a Member State, an
organisation, which has legal personality under inter
associated country, or a third country, may participate in an
national public law, other than the Union, as well as
indirect action provided that the minimum conditions laid
any specialised agency set up by such an international
down in this Chapter are met, including any conditions
organisation;
specified pursuant to Article 11.
(11) ‘international European interest organisation’ means an
2. However,
in
the
case
of
an
indirect
action
as
referred
to
in
international organisation, the majority of whose
Article 6 or 8, under which the minimum conditions may be
members are Member States or associated countries, and
met without the participation of a legal entity established in a
whose principal objective is to promote scientific and tech
Member State, participation shall be subject to the further
nological cooperation in Europe;
condition that the attainment of the objectives laid down in
Articles 1 and 2 of the Treaty is thereby enhanced.
(12) ‘public body’ means any legal entity established as such by
national law, and international organisations;
( 1 ) See page 33 of this Official Journal.

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3. The
Joint
Research
Centre
(JRC)
may
participate
in
indirect The first paragraph shall not apply to actions with the
actions on the same footing and with the same rights and
aim of coordinating research activities.
obligations as a legal entity established in a Member State.
Article 6
Article 9
Minimum conditions
Sole participants
1. The
minimum
conditions
for
indirect
actions
shall
be
the Where the minimum conditions for an indirect action are
following:
satisfied by a number of legal entities that together form one
legal entity, the latter may be the sole participant in an indirect
(a) at least three legal entities shall participate, each of which is
action, provided that it is established in a Member State or an
established in a Member State or associated country, and no
associated country.
two of which are established in the same Member State or
associated country;
Article 10
(b) all three legal entities shall be independent of each other in
International organisations and legal entities established in
accordance with Article 7.
third countries
2.
For the purposes of point (a) of paragraph 1, where one of
Participation in indirect actions shall be open to international
the participants is the JRC, or an international European interest
organisations and legal entities established in third countries
organisation or an entity created under Union law, these
once the minimum conditions laid down in this Chapter are
participants shall be deemed to be established in a Member
met, as well as any conditions specified in the specific
State or an associated country other than a Member State or
programmes or relevant work programmes.
associated country in which is established another participant in
the same action.
Article 11
Article 7
Additional conditions
Independence
In addition to the minimum conditions laid down in this
1. Two
legal
entities
shall
be
regarded
as
independent
of
each Chapter, specific programmes or work programmes may lay
other where neither is under the direct or indirect control of the
down conditions regarding the minimum number of partici
other or under the same direct or indirect control as the other.
pants.
2. For
the
purposes
of
paragraph
1,
control
may
in
particular They may also lay down, according to the nature and objectives
take either of the following forms:
of the indirect action, additional conditions to be met as regards
type of participant and, where appropriate, place of estab
(a) the direct or indirect holding of more than 50 % of the
lishment.
nominal value of the issued share capital in the legal
entity concerned, or of a majority of the voting rights of
the shareholders or associates of that entity;
SECTION 2
(b) the direct or indirect holding, in fact or in law, of decision-
Procedures
making powers in the legal entity concerned.
S u b s e c t i o n 1
3. However,
the
following
relationships
between
legal
entities
C a l l s f o r p r o p o s a l s
shall not in themselves be deemed to constitute controlling
Article 12
relationships:
Calls for proposals
(a) the same public investment corporation, institutional
1. The
Commission
shall
issue
calls
for
proposals
for
indirect
investor or venture-capital company has a direct or
actions in accordance with the requirements laid down in the
indirect holding of more than 50 % of the nominal value
relevant specific programmes and work programmes.
of the issued share capital or a majority of voting rights of
the shareholders or associates;
In addition to the publicity specified in Regulation (EC,
(b) the legal entities concerned are owned or supervised by the
Euratom) No 2342/2002, the Commission shall publish calls
same public body.
for proposals on the website of the European Commission for
the Framework Programme, through specific information
Article 8
channels, and at the national contact points set up by the
Coordination and support actions, and training and career
Member States and the associated countries.
development of researchers
For coordination and support actions, and actions for the
2. Where
appropriate,
the
Commission
shall
specify
in
the
training and career development of researchers, the minimum
call for proposals that the participants need not establish a
condition shall be the participation of one legal entity.
consortium agreement.

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3. Calls
for
proposals
shall
have
clear
objectives
so
as
to on an evaluation against a limited set of criteria, shall go
ensure that applicants do not respond needlessly.
forward for further evaluation.
Article 13
2. Where a call for proposals specifies a two-stage
submission procedure, only those applicants whose proposals
Exceptions
pass the evaluation for the first stage shall be requested to
The Commission shall not issue calls for proposals for the
submit a complete proposal in the second stage.
following:
All applicants shall be swiftly informed of the results of the first
(a) coordination and support actions to be carried out by legal
stage evaluation.
entities identified in the specific programmes or in the work
programmes when the specific programme permits the
3. The
Commission
shall
adopt
and
publish
rules
governing
work programmes to identify beneficiaries, in accordance
the procedure for the submission of proposals, as well as the
with Regulation (EC, Euratom) No 2342/2002;
related evaluation, selection and award procedures, and shall
publish guides for applicants, including guidelines for evalu
(b) coordination and support actions consisting of the purchase
ators. In particular, it shall lay down detailed rules for the
of goods or services subject to the rules on public
two-stage procedure for submission (including as regards the
procurement set out in the Financial Regulation;
scope and nature of the first-stage proposal and the complete
second-stage proposal) and rules for the two-step evaluation
procedure.
(c) coordination and support actions relating to the
appointment of independent experts;
The Commission shall provide information and set out redress
procedures for applicants.
(d) other actions, where so provided for by the Financial Regu
lation or Regulation (EC, Euratom) No 2342/2002.
4. The
Rules
to
ensure
consistent
verification
of
the
existence
and legal status of participants, as well as their operational and
S u b s e c t i o n 2
financial capacities, in indirect actions supported through the
form of a grant under the Seventh Framework Programme of
E v a l u a t i o n a n d s e l e c t i o n o f p r o p o s a l s a n d
the Union and under the Seventh Framework Programme of the
a w a r d o f g r a n t s
Community, adopted by Commission Decision C(2007) 2466
of 13 June 2007, shall apply under the Framework Programme.
Article 14
Evaluation, selection and award
The Commission shall refrain from repeating such verification
1. The
Commission
shall
evaluate
all
the
proposals
submitted unless the situation of the participant concerned has changed.
in response to a call for proposals on the basis of the evaluation
principles and the selection and award criteria.
Article 16
Appointment of independent experts
The criteria shall be those of excellence, impact and implemen
tation. Within these conditions, the work programme shall
1. The
Commission
shall
appoint
independent
experts
to
further specify the evaluation and selection criteria and may
assist with evaluations of proposals.
add additional requirements, weightings and thresholds, or set
out further details on the application of the criteria.
For coordination and support actions, as referred to in
Article 13, independent experts shall be appointed only if the
2. A
proposal
that
contravenes
fundamental
ethical
prin
Commission deems it appropriate.
ciples or which does not fulfil the conditions set out in the
specific programme, the work programme or in the call for
2. Independent
experts
shall
be
chosen
on
the
basis
of
skills
proposals shall not be selected. Such a proposal may be
and knowledge appropriate to the tasks assigned to them. In
excluded from the evaluation, selection and award procedures
cases where independent experts have to deal with classified
at any time.
information, they shall be required to have the appropriate
security clearance for nomination.
3. Proposals
shall
be
ranked
according
to
the
evaluation
results. Funding decisions shall be made on the basis of that
Independent experts shall be identified and selected on the basis
ranking.
of calls for applications from individuals and calls addressed to
relevant organisations such as national research agencies,
Article 15
research institutions or enterprises with a view to establishing
lists of suitable candidates.
Submission, evaluation, selection and award procedures
1. Where a call for proposals specifies a two-step evaluation
The Commission may, if deemed appropriate, select any indi
procedure, only those proposals that pass the first step, based
vidual with the appropriate skills from outside the lists.

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Appropriate measures shall be taken to ensure a reasonable
Article 18
gender balance when appointing groups of independent experts.
General provisions of the grant agreement
3. When
appointing
an
independent
expert,
the
Commission
1. The
model
grant
agreement
adopted
by
the
Commission
shall take all necessary steps to ensure that the expert is not
Decision C(2007) 1509 of 10 April 2007 shall apply under the
faced with a conflict of interests in relation to the matter on
Framework Programme.
which the expert is required to provide an opinion.
The grant agreement shall establish the rights and obligations of
4. The
Commission
shall
sign
an
appointment
letter
between the participants with regard to the Community, in accordance
the Community and each independent expert based on the
with Decision 2006/970/Euratom, this Regulation, the Financial
model appointment letter adopted by the Commission
Regulation and Regulation (EC, Euratom) No 2342/2002, and
Decision C(2008) 4617 of 21 August 2008.
in accordance with the general principles of Union law.
5. The
Commission
shall
publish
once
a
year
in
any
appro
It shall also establish, in accordance with the same conditions,
priate medium the list of the independent experts that have
the rights and obligations of legal entities who become
assisted it for the Framework Programme and each specific
participants when the indirect action is ongoing.
programme.
S u b s e c t i o n 3
2. Where
appropriate,
the
grant
agreement
shall
specify
which part of the Community financial contribution is based
I m p l e m e n t a t i o n a n d g r a n t a g r e e m e n t s
on the reimbursement of eligible costs, and which part is based
Article 17
on flat rates (including scale of unit costs) or lump sums.
General
3. The
grant
agreement
shall
specify
which
changes
in
the
1. The
participants
shall
implement
the
indirect
action
and composition of the consortium are to require the prior
shall take all necessary and reasonable measures to that end.
publication of a competitive call.
Participants in the same indirect action shall implement the
work jointly and severally vis-à-vis the Community.
4. The
grant
agreement
shall
require
the
submission
to
the
2. The Commission shall draw up, on the basis of the model
Commission of periodic progress reports concerning the imple
grant agreement referred to in Article 18 and taking into
mentation of the indirect action concerned.
account the characteristics of the funding scheme concerned,
a grant agreement between the Community and the partici
pants.
5. Where
appropriate,
the
grant
agreement
shall
provide
that
the Commission is to be notified in advance of any intended
transfer of ownership of foreground to a third party.
3. Participants
shall
make
no
commitments
incompatible
with the grant agreement.
6. Where
the
grant
agreement
requires
participants
to
carry
4. Where
a
participant
fails
to
comply
with
its
obligations out activities that benefit third parties, the participants shall
regarding the technical implementation of the indirect action,
advertise this widely and identify, evaluate and select third
the other participants shall comply with the grant agreement
parties transparently, fairly and impartially. If provided for in
without any complementary Community contribution unless
the work programme, the grant agreement shall establish
the Commission expressly relieves them of that obligation.
criteria for the selection of such third parties. The Commission
reserves the right to object to the selection of the third parties.
5. If
the
implementation
of
an
action
becomes
impossible
or
if the participants fail to implement it, the Commission shall
7. If a significant modification of the model grant agreement
ensure the termination of the action.
referred to in paragraph 1 proves necessary, the Commission
shall, in close cooperation with Member States, revise it as
appropriate.
6. Participants
shall
ensure
that
the
Commission
is
informed
of any event that might affect the implementation of the
indirect action or the interests of the Community.
8. The model grant agreement shall reflect the general prin
ciples laid down in the European Charter for Researchers and
7. Where provided for in the grant agreement, the the Code of Conduct for the Recruitment of Researchers. It shall
participants in the indirect action may subcontract certain
address, as appropriate, synergies with education at all levels;
elements of the work to be carried out to third parties.
readiness and capacity to foster dialogue and debate on
scientific issues and research results with a broad public
beyond the research community; activities to increase the
8. The
Commission
shall
set
out
redress
procedures
for participation and role of women in research; and activities
participants.
addressing socioeconomic aspects of the research.

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Official Journal of the European Union
18.2.2012
9. The
model
grant
agreement
shall
provide
for
supervision
S u b s e c t i o n 4
and financial control by the Commission or any representative
authorised by it, and the Court of Auditors.
C o n s o r t i a
Article 23
10. The
grant
agreement
shall
lay
down
time
limits
for
participants to give the various notifications referred to in this
Consortium agreements
Regulation.
1. Save
where
otherwise
provided
in
the
call
for
proposals,
all participants in an indirect action shall conclude an
Article 19
agreement, hereinafter ‘the consortium agreement’, to govern,
inter alia, the following:
Provisions concerning access rights use and dissemination
1. The
grant
agreement
shall
establish
the
respective
rights (a) the internal organisation of the consortium;
and obligations of the participants with regard to access rights,
use and dissemination, in so far as those rights and obligations
(b) the distribution of the Community financial contribution;
have not been laid down in this Regulation.
(c) rules additional to those in Chapter III as well as to related
For those purposes, it requires the submission to the
provisions in the grant agreement;
Commission of a plan for the use and dissemination of fore
ground.
(d) the settlement of internal disputes, including the cases of
abuses of power;
2. The
grant
agreement
shall
specify
the
conditions
under
which the participants may object to a technological audit of
the use and dissemination of the foreground being carried out
(e) liability, indemnification and confidentiality arrangements
by certain authorised representatives of the Commission.
between the participants.
Article 20
2. The
Commission
shall
establish
and
publish
guidelines
on
the main issues that may be addressed by participants in their
Provisions concerning termination
consortium agreements.
The grant agreement shall specify the grounds for its
termination, in whole or in part, in particular for non-
Article 24
compliance with this Regulation, non-performance or breach,
Coordinator
as well as the consequences for participants of any non-
compliance on the part of another participant.
1. The
legal
entities
wishing
to
participate
in
an
indirect
action shall appoint one of their number to act as coordinator
Article 21
to carry out the following tasks in accordance with this Regu
lation, the Financial Regulation, Regulation (EC, Euratom) No
Specific provisions
2342/2002, and the grant agreement:
1. In
the
case
of
indirect
actions
to
support
existing
research
infrastructures and, where applicable, new research infrastruc
(a) monitoring compliance by participants in the indirect action
tures, the grant agreement shall lay down specific provisions
with their obligations;
relating to confidentiality, publicity and access rights and
commitments that might affect users of the infrastructure.
(b) verifying whether the legal entities identified in the grant
agreement complete the necessary formalities for accession
2. In
the
case
of
indirect
actions
to
support
training
and
to the grant agreement;
career development of researchers, the grant agreement shall
lay down specific provisions on confidentiality, access rights
(c) receiving the Community financial contribution and
and commitments relating to the researchers benefiting from
distributing it in accordance with the consortium and
the action.
grant agreement;
3. To
safeguard
the
defence
interests
of
the
Member
States (d) keeping the records and financial accounts relevant for the
within the meaning of Article 24 of the Treaty, the grant
Community financial contribution and informing the
agreement shall lay down, where appropriate, specific provisions
Commission of its distribution in accordance with
on confidentiality, classification of information, access rights,
Article 23(1)(b) and Article 35;
transfer of ownership of foreground and the use thereof.
(e) acting as an intermediary for efficient and correct communi
Article 22
cation between the participants and reporting regularly to
the participants and to the Commission on the progress of
Signature and accession
the project.
The grant agreement shall enter into force upon signature by
the coordinator and the Commission.
2. The
coordinator
shall
be
identified
in
the
grant
agreement.
It shall apply to each participant that has formally acceded
The appointment of a new coordinator shall require the written
thereto.
approval of the Commission.

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EN
18.2.2012 Official
Journal
of
the
European
Union
L
47/9
Article 25
3. The
monitoring
and
evaluation
referred
to
in
Article
6
of
Decision 2012/93/Euratom shall include aspects relating to the
Changes in the consortium
application of this Regulation and shall address the budgetary
1. The
participants
in
an
indirect
action
may
agree
to
add
a impact of the changes in the cost calculation regime as
new participant or to remove an existing participant in
compared to the Seventh Framework Programme of the
accordance with the provisions established to this effect in the
Community and its effects on the administrative burden for
consortium agreement.
participants.
2. Any
legal
entity
that
joins
an
ongoing
action
shall
accede 4. The
Commission
shall
appoint,
in
accordance
with
to the grant agreement.
Article 16, independent experts to assist with evaluations
required under the Framework Programme and its specific
3. In
specific
cases,
where
provided
for
in
the
grant programme, and, as deemed necessary, for the evaluation of
agreement, the consortium shall publish a competitive call
previous framework programmes.
and advertise it widely using specific information support,
particularly Internet sites for the Framework Programme, the
5. In
addition,
the
Commission
may
set
up
groups
of
inde
specialist press and brochures, and the national contact points
pendent experts appointed in accordance with Article 16, to
set up by the Member States and associated countries for
advise on the design and implementation of Community
information and support.
research policy.
The consortium shall evaluate offers in the light of the criteria
Article 27
governing the initial action and with the assistance of inde
pendent experts appointed by the consortium, in accordance
Information to be made available
with the principles laid down in Articles 14 and 16.
1. Subject
to
Article
3,
the
Commission
shall,
upon
request,
make available to any Member State or associated country any
4. The consortium shall notify any proposed change in its
useful information in its possession on foreground arising from
composition to the Commission, which may object within 45
work carried out in the context of an indirect action, provided
days of the notification.
that the following conditions are met:
Changes in the composition of the consortium associated with
(a) the information concerned is relevant to public policy;
proposals for other changes to the grant agreement which are
not directly related to the change in composition shall be
subject to written approval by the Commission.
(b) the participants have not provided sound and sufficient
reasons for withholding the information concerned.
S u b s e c t i o n 5
M o n i t o r i n g a n d e v a l u a t i o n o f p r o g r a m m e s
2. Under
no
circumstances
shall
the
provision
of
information
a n d i n d i r e c t a c t i o n s a n d c o m m u n i c a t i o n o f
pursuant to paragraph 1 be deemed to transfer to the recipient
i n f o r m a t i o n
any rights or obligations of the Commission or of the partici
pants.
Article 26
Monitoring and evaluation
However, the recipient shall treat any such information as
confidential unless it becomes public or is made available
1. The
Commission
shall
monitor
the
implementation
of publicly by the participants, or unless it was communicated
indirect actions on the basis of the periodic progress reports
to the Commission without restrictions on its confidentiality.
submitted in accordance with the model grant agreement
referred to in Article 18.
SECTION 3
In particular, the Commission shall monitor the implementation
Community financial contribution
of the plan for the use and dissemination of foreground,
submitted in accordance with the second subparagraph of
S u b s e c t i o n 1
Article 19(1).
E l i g i b i l i t y f o r f u n d i n g a n d f o r m s o f g r a n t s
Article 28
For those purposes, the Commission may be assisted by inde
pendent experts appointed in accordance with Article 16.
Eligibility for funding
1. The
following
legal
entities
participating
in
an
indirect
2. The
Commission
shall
set
up
and
maintain
an
information action may receive a Community financial contribution:
system to enable the monitoring referred to in paragraph 1 to
be carried out in an efficient and coherent manner across the
Framework Programme.
(a) any legal entity established in a Member State or an
associated country, or created under Union law;
Subject to Article 3, the Commission shall publish on any
appropriate medium information on the funded projects.
(b) any international European interest organisation.

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L 47/10
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Official Journal of the European Union
18.2.2012
2. In
the
case
of
a
participating
international
organisation,
the objectives of the indirect action and its expected results,
other than an international European interest organisation, or a
in a manner consistent with the principles of economy,
legal entity established in a third country other than an
efficiency and effectiveness;
associated country, a Community financial contribution may
be granted provided that at least one of the following
conditions is met:
(d) they must be recorded in the accounts of the participant
and, in the case of any contribution from third parties, they
must be recorded in the accounts of the third parties;
(a) provision is made to that effect in the specific programmes
or in the relevant work programme;
(e) they must be exclusive of non-eligible costs, in particular
(b) the contribution is essential for carrying out the indirect
identifiable indirect taxes including value added tax, duties,
action;
interest owed, provisions for possible future losses or
charges, exchange losses, cost related to return on capital,
costs declared or incurred, or reimbursed in respect of
(c) the contribution is provided for in a bilateral scientific and
another Union project, debt and debt service charges,
technological agreement or any other arrangement between
excessive or reckless expenditure, and any other cost that
the Community and the country in which the legal entity is
does not meet the conditions referred to in points (a) to (d).
established.
Article 29
For the purposes of point (a) of the first subparagraph, average
personnel costs may be used if they are consistent with the
Forms of grants
management principles and accounting practices of the
participant and do not differ significantly from actual costs.
The Community financial contribution for grants identified in
the Annex II to the Decision 2012/93/Euratom shall be based
on the reimbursement, in whole or in part, of eligible costs.
4. While
the
Community
financial
contribution
shall
be
calculated by reference to the cost of the indirect action as a
However, the Community financial contribution may take the
whole, its reimbursement shall be based on the reported costs
form of flat rate financing, including scale of unit costs, or lump
of each participant.
sum financing, or it may combine the reimbursement of eligible
costs with flat rates and lump sums. The Community financial
contribution may also take the form of scholarships or prizes.
Article 31
Direct eligible costs and indirect eligible costs
The work programmes and calls for proposals shall specify the
1. Eligible costs shall be composed of costs attributable
forms of grants to be used in the actions concerned.
directly to the action (hereinafter ‘direct eligible costs’) and,
where applicable, of costs that are not attributable directly to
Article 30
the action, but which have been incurred in direct relationship
with the direct eligible costs attributed to the action (hereinafter
Reimbursement of eligible costs
‘indirect eligible costs’).
1. Indirect
actions
financed
by
grants
shall
be
co-financed
by
the participants.
2. The
reimbursement
of
participants’
costs
shall
be
based
on
their eligible direct and indirect costs.
The Community financial contribution to reimburse eligible
costs shall not give rise to a profit.
In compliance with Article 30(3)(c), a participant may use a
simplified method for calculating its indirect eligible cost at
2. Receipts
shall
be
taken
into
consideration
for
the
payment the level of its legal entity if this method is in accordance
of the grant at the end of the implementation of the action.
with its usual accounting and management principles and prac
tices. Principles to be followed in this respect shall be set out in
3. In
order
to
be
considered
eligible,
costs
incurred
for
the the model grant agreement.
implementation of an indirect action shall meet the following
conditions:
3. The
grant
agreement
may
provide
that
the
reimbursement
of indirect eligible costs is to be limited to a maximum
(a) they must be actual;
percentage of the direct eligible costs, excluding the direct
eligible costs for subcontracting, in particular in the case of
(b) they must have been incurred during the duration of the
coordination and support actions, and, where appropriate,
action, with the exception of final reports when provided
actions for the training and career development of researchers.
for in the grant agreement;
4. By way of derogation from paragraph 2, for the coverage
(c) they must have been determined in accordance with the
of indirect eligible costs a participant may opt for a flat rate of
usual accounting and management principles and practices
its total direct eligible costs, excluding its direct eligible costs for
of the participant and used for the sole purpose of achieving
subcontracting or reimbursement of third parties’ costs.

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18.2.2012 Official
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Union L
47/11
The Commission shall establish appropriate flat rates based on a
Article 33
close approximation of the real indirect costs concerned, in
accordance with the Financial Regulation and Regulation
Reporting and audit of eligible costs
(EC, Euratom) No 2342/2002.
1. Periodic
reports
shall
be
submitted
to
the
Commission
regarding eligible costs, financial interest yielded by pre-
financing, and receipts in relation to the indirect action
5. Non-profit
public
bodies,
secondary
and
higher
education concerned and, where appropriate, a certificate for the
establishments, research organisations and SMEs that are unable
financial statements, in accordance with the Financial Regulation
to identify with certainty their real indirect costs for the action
and Regulation (EC, Euratom) No 2342/2002.
concerned, when participating in funding schemes which
include research and technological development and demon
stration activities, as referred to in Article 32, may opt for a
Any co-financing of the action concerned shall be reported and,
flat rate equal to 60 % of the total direct eligible costs.
where appropriate, certified at the end of the action.
2. Notwithstanding
the
Financial
Regulation
and
Regulation
6. All flat rates shall be set out in the model grant
(EC, Euratom) No 2342/2002, a certificate for the financial
agreement.
statements shall be compulsory only whenever the cumulative
amount of interim payments and balance payments made to a
participant is equal to EUR 375 000 or more for an indirect
Article 32
action.
Upper funding limits
However, for indirect actions of duration of 2 years or less, not
1. For
research
and
technological
development
activities,
the more than one certificate on the financial statements shall be
Community financial contribution may reach a maximum of
requested from the participant, at the end of the project.
50 % of the total eligible costs.
Certificates for the financial statements shall not be required for
However, in the case of non-profit public bodies, secondary and
indirect actions entirely reimbursed by means of lump sums or
higher education establishments, research organisations and
flat rates.
SMEs, it may reach a maximum of 75 % of the total eligible
costs.
3. In
the
case
of
public
bodies,
research
organisations,
and
higher and secondary education establishments, a certificate for
the financial statements as required under paragraph 1 may be
2. For
demonstration
activities,
the
Community
financial established by a competent public officer.
contribution may reach a maximum of 50 % of the total
eligible costs.
Article 34
3. For
activities
supported
by
coordination
and
support
Networks of excellence
actions, and actions for the training and career development
1. The
work
programme
shall
provide
for
the
forms
of
of researchers, the Community financial contribution may
grants to be used for networks of excellence.
reach a maximum of 100 % of the total eligible costs.
2. Where
the
Community
financial
contribution
to
networks
4. For
management
activities,
including
certificates
for
the of excellence takes the form of a lump sum, it shall be
financial statements, and other activities not covered by para
calculated according to the number of researchers to be
graphs 1, 2 and 3, the Community financial contribution may
included in the network of excellence and the duration of the
reach a maximum of 100 % of the total eligible costs.
action. The unit value for lump sums paid shall be EUR 23 500
per year and per researcher.
The other activities referred to in the first subparagraph include,
That amount shall be adjusted by the Commission in
inter alia, training in actions that do not fall under the funding
accordance with the Financial Regulation and Regulation
scheme for the training and career development of researchers,
(EC, Euratom) No 2342/2002.
coordination, networking, and dissemination.
3. The
work
programme
shall
establish
the
maximum
5. For
the
purposes
of
paragraphs
1
to
4,
eligible
costs
and number of participants and, where appropriate, the maximum
receipts shall be taken into consideration in order to determine
number of researchers that may be used as the basis for the
the Community financial contribution.
calculation of the maximum lump sum. However, participants
over and above the maximum number for the establishment of
the financial contribution may participate as appropriate.
6. Paragraphs 1 to 5 shall apply, as appropriate, to indirect
actions where flat rate financing or lump sum financing is used
4. The
payment
of
the
financial
contribution
shall
be
effected
for the whole indirect action.
by means of periodic releases.

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L 47/12
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Official Journal of the European Union
18.2.2012
Those periodic releases shall be made according to the
5. The
deduction
referred
to
in
paragraph
4
shall
not
apply
assessment of the progressive implementation of the Joint
to public bodies, legal entities whose participation in the
Programme of Activities through measurement of the inte
indirect action is guaranteed by a Member State or an associated
gration of research resources and capacities based on the basis
country, and higher and secondary education establishments.
of performance indicators negotiated with the consortium and
specified in the grant agreement.
6. The
Commission
shall
only
verify ex ante the financial
capacity of coordinators, and of participants other than those
S u b s e c t i o n 2
referred to in paragraph 5 applying for a Community financial
P a y m e n t ,
d i s t r i b u t i o n ,
r e c o v e r y
a n d
contribution in an indirect action in excess of EUR 500 000,
g u a r a n t e e s
unless there are exceptional circumstances when, on the basis of
information already available, there are justified grounds to
Article 35
doubt the financial capacity of these participants.
Payment and distribution
1. The
Community
financial
contribution
shall
be
paid
to
the 7. The
Participant
guarantee
fund
shall
be
considered
as
a
participants via the coordinator without undue delay.
sufficient guarantee under the Financial Regulation. No
additional guarantee or security may be requested from
participants or imposed on them.
2. The
coordinator
shall
keep
records
making
it
possible
to
determine at any time what portion of the Community funds
has been distributed to each participant.
CHAPTER III
DISSEMINATION AND USE, AND ACCESS RIGHTS
The coordinator shall communicate that information to the
Commission upon request.
SECTION 1
Foreground
Article 36
Article 38
Recovery
Specific rules for fusion energy research
The Commission may adopt a recovery decision in accordance
The rules set out in this Chapter shall apply without prejudice
with the Financial Regulation.
to the specific rules for activities under the thematic area ‘Fusion
energy research’ set out in Chapter IV.
Article 37
S u b s e c t i o n 1
Risk avoidance mechanism
O w n e r s h i p
1. The
financial
responsibility
of
each
participant
shall
be
limited to its own debt, subject to paragraphs 2 to 5.
Article 39
Ownership of foreground
2. In
order
to
manage
the
risk
associated
with
the
non-
1. Foreground
arising
from
work
carried
out
under
indirect
recovery of sums due to the Community, the Commission
actions other than those referred to in paragraph 3 shall be the
has established and operates the Participant Guarantee Fund
property of the participant carrying out the work generating
(hereinafter ‘the Fund’) in accordance with the Annex.
that foreground.
Financial interests generated by the Fund shall be added to the
2. If
employees
or
other
personnel
working
for
a
participant
Fund and shall serve exclusively for the purposes set out in
are entitled to claim rights to foreground, the participant shall
point 3 of the Annex, without prejudice to point 4 thereof.
ensure that it is possible to exercise those rights in a manner
compatible with its obligations under the grant agreement.
3. The contribution to the Fund by a participant to an
indirect action taking the form of a grant shall not exceed
5 % of the Community financial contribution due to the
3. Foreground
shall
be
the
property
of
the
Community
in
the
participant. At the end of the action the amount contributed
following cases:
to the Fund shall be returned to the participant, via the coor
dinator, subject to paragraph 4.
(a) coordination and support actions consisting in the purchase
of goods or services subject to the rules on public
4. If the interests generated by the Fund are insufficient to
procurement set out in the Financial Regulation;
cover sums due to the Community, the Commission may
deduct from the amount to be returned to a participant a
maximum of one per cent of the Community financial
(b) coordination and support actions relating to independent
contribution to it.
experts.

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18.2.2012 Official
Journal
of
the
European
Union L
47/13
Article 40
object to any transfer of ownership on the ground that
it would adversely affect its access rights.
Joint ownership of foreground
1. Where
several
participants
have
jointly
carried
out
work
generating foreground and where their respective share of the
Where any of the other participants demonstrate that their
work cannot be ascertained, they shall have joint ownership of
rights would be adversely affected, the intended transfer shall
such foreground.
not take place until agreement has been reached between the
participants concerned.
They shall establish an agreement regarding the allocation and
terms of exercising that joint ownership in accordance with the
5. Where
appropriate,
the
grant
agreement
may
provide,
that
terms of the grant agreement.
the Commission is to be notified in advance of any intended
transfer of ownership or any intended grant of a licence to a
third party established in a third country not associated with the
2. Where
no
joint
ownership
agreement
has
yet
been Framework Programme.
concluded, each of the joint owners shall be entitled to grant
non-exclusive licences to third parties, without any right to sub-
licence, subject to the following conditions:
Article 42
Preservation of European competitiveness, defence interest
of Member States and ethical principles
(a) prior notice must be given to the other joint owners;
The Commission may object to the transfer of ownership of
foreground, or to the granting of a licence regarding fore
(b) fair and reasonable compensation must be provided to the
ground, to third parties established in a third country not
other joint owners.
associated with the Framework Programme, if it considers that
this is not in accordance with the interests of developing the
competitiveness of the European economy or with the defence
interests of the Member States within the meaning of Article 24
3. Upon
request,
the
Commission
shall
give
guidance
on of the Treaty or is inconsistent with ethical principles.
possible aspects to be included in the joint ownership
agreement.
In such cases, the transfer of ownership or granting of a licence
shall not take place unless the Commission is satisfied that
Article 41
appropriate safeguards are put in place.
Transfer of foreground
1. The
owner
of
the
foreground
may
transfer
it
to
any
legal
S u b s e c t i o n 2
entity, subject to paragraphs 2 to 5 of this Article and
Article 42.
P r o t e c t i o n ,
p u b l i c a t i o n ,
d i s s e m i n a t i o n
a n d u s e
Article 43
2. Where
a
participant
transfers
ownership
of
foreground,
it
shall pass on its obligations regarding that foreground to the
Protection of foreground
assignee, including the obligation to pass them on to any
Where foreground is capable of industrial or commercial appli
subsequent assignee, in accordance with the grant agreement.
cation, its owner shall provide for its adequate and effective
protection, having due regard to its legitimate interests and
the legitimate interests, particularly the commercial interests,
3. Subject
to
its
obligations
concerning
confidentiality,
where of the other participants in the indirect action concerned.
the participant is required to pass on access rights, it shall give
prior notice to the other participants in the same action,
together with sufficient information concerning the new
Where a participant that is not the owner of the foreground
owner of the foreground to permit them to exercise their
invokes its legitimate interests, it shall, in any given instance,
access rights under the grant agreement.
show that it would suffer disproportionately great harm.
However, the other participants may, by written agreement,
Where the foreground is capable of industrial or commercial
waive their right to individual prior notice in the case of
application and its owner does not protect it, and does not
transfers of ownership from one participant to a specifically
transfer it to another participant, to an affiliated entity estab
identified third party.
lished in a Member State or associated country or to any other
third party established in a Member State or associated country
along with the associated obligations in accordance with
4. Following
notification
in
accordance
with
the
first Article 41, no dissemination activities may take place before
subparagraph of paragraph 3, any other participant may
the Commission has been informed.

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L 47/14
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18.2.2012
In such cases, the Commission may, with the consent of the
Article 47
participant concerned, assume ownership of that foreground
and adopt measures for its adequate and effective protection.
Principles
The participant concerned may refuse consent only if it can
1. All
requests
for
access
rights
shall
be
made
in
writing.
demonstrate that its legitimate interests would suffer dispropor
tionately great harm.
2. Unless
otherwise
agreed
by
the
owner
of
the
foreground
Article 44
or background, access rights shall confer no entitlement to
Statement relating to Community financial support
grant sub-licences.
All publications, patent applications filed by or on behalf of a
participant, or any other dissemination relating to foreground
shall include a statement, which may include visual means, that
3. Exclusive
licences
for
foreground
or
background
may
be
the foreground concerned was generated with the assistance of
granted, subject to written confirmation by all the other
financial support from the Community.
participants that they waive their access rights thereto.
The terms of that statement shall be established in the grant
agreement.
4. Without prejudice
to paragraph
3, any
agreement
providing access rights to foreground or background to
participants or third parties shall be such as to ensure that
Article 45
potential access rights for other participants are maintained.
Use and dissemination
1. The
participants
shall
use
the
foreground
that
they
own,
or ensure that it is used.
5. Without prejudice to Articles 48 and 49 and the grant
agreement, participants in the same action shall inform each
other as soon as possible of any limitation on the granting of
2. Each
participant
shall
ensure
that
the
foreground
of
which access rights to background, or of any other restriction that
it has ownership is disseminated as swiftly as possible. If it fails
might substantially affect the granting of access rights.
to do so the Commission may disseminate that foreground in
accordance with Article 12 of the Treaty.
6. The
termination
of
its
participation
in
an
indirect
action
shall in no way affect the obligation of that participant to grant
The grant agreement may set out time limits in this respect.
access rights to the remaining participants in the same action
under the terms and conditions established by the grant
3. Dissemination
activities
shall
be
compatible
with
the agreement.
protection of intellectual property rights, confidentiality
obligations, and the legitimate interests of the owner of the
foreground and the defence interests of the Member States
Article 48
within the meaning of Article 24 of the Treaty.
Access rights for the implementation of indirect actions
4. Prior
notice
of
any
dissemination
activity
shall
be
given
to
1. Access rights to foreground shall be granted to the other
the other participants concerned.
participants in the same indirect action, if this is needed to
enable those participants to carry out their own work under
that indirect action.
Following notification, any of those participants may object if
they consider that their legitimate interests in relation to their
foreground or background could suffer disproportionately great
harm. In such cases, the dissemination activity may not take
Such access rights shall be granted on a royalty-free basis.
place unless appropriate steps are taken to safeguard these
legitimate interests.
2. Access rights to background shall be granted to the other
participants in the same indirect action, if this is needed to
SECTION 2
enable those participants to carry out their own work under
Access rights to background and foreground
that indirect action provided that the participant concerned is
entitled to grant them.
Article 46
Background covered
Participants may define the background needed for the purposes
Such access rights shall be granted on a royalty-free basis, unless
of the indirect action in a written agreement and, where appro
otherwise agreed by all participants before their accession to the
priate, may exclude specific background.
grant agreement.

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EN
18.2.2012 Official
Journal
of
the
European
Union L
47/15
Article 49
(b) the European Fusion Development Agreement (EFDA),
concluded between the Community and organisations in,
Access rights for use
or acting for, Member States and associated countries;
1. Participants
in
the
same
indirect
action
shall
enjoy
access
rights to foreground, if this is needed to use their own fore
ground.
(c) the European Joint Undertaking for International Thermo
nuclear Experimental Reactor (ITER), based on the
provisions of Title II, Chapter 5 of the Treaty;
Subject to agreement, such access rights shall be granted either
under fair and reasonable conditions or be royalty-free.
(d) international agreements relating to cooperation with third
2. Participants
in
the
same
indirect
action
shall
enjoy
access
countries, or with any legal entity which may be established
rights to background, if this is needed to use their own fore
by such an agreement, in particular the ITER and the
ground provided that the participant concerned is entitled to
Broader Approach agreements;
grant them.
Subject to agreement, such access rights shall be granted either
(e) any other multilateral agreement concluded between the
under fair and reasonable conditions or royalty-free.
Community and associated organisations, in particular the
Agreement on Staff Mobility;
3. An
affiliated
entity
established
in
a
Member
State
or
associated country shall also have access rights, as referred to
(f) cost sharing actions to promote and contribute to fusion
in paragraphs 1 and 2, to foreground or background under the
energy research with bodies in Member States or countries
same conditions as for the participant to which it is affiliated,
associated with the Framework Programme with which
unless otherwise provided for in the grant agreement or
there is no Contract of Association.
consortium agreement.
4. A
request
for
access
rights
under
paragraphs
1,
2
and
3
Article 52
may be made up to 1 year after either of the following events:
Community financial contribution
(a) the end of the indirect action;
1. The
Contracts
of
Association
referred
to
in
point
(a)
of
Article 51 and cost sharing actions referred to in point (f) of
Article 51 shall establish the rules relating to the Community
(b) termination of its participation by the owner of the back
financial contribution to the activities concerned.
ground or foreground concerned.
However, the participants concerned may agree on a different
The annual rate for the Community financial contribution,
time limit.
established in the Contracts of Association, shall not exceed
20 % of the expenditure of the Associations on activities
specified in their Annual Work Programmes over the total
CHAPTER IV
duration of the Seventh Framework Programme of the
Community and this Framework Programme.
SPECIFIC RULES FOR PARTICIPATION IN ACTIVITIES UNDER
THE THEMATIC AREA ‘FUSION ENERGY RESEARCH’
Article 50
2. After
consultation
of
the
consultative
committee
for
the
fusion programme referred to in Article 7 of Decision
Scope
2012/94/Euratom, the Commission may finance:
The rules set out in this Chapter apply to activities under the
thematic area ‘Fusion energy research’ as set out in the specific
programme. In the event of any conflict between the rules set
(a) under the Contracts of Association at a rate not exceeding
out in this Chapter and those set out in Chapters II and III, the
40 %: expenditure of specific cooperative projects between
rules set out in this Chapter shall apply.
the Associates which have been recommended for priority
support by the consultative committee and approved by the
Commission; priority support shall concentrate on actions
Article 51
of relevance to the ITER/DEMO, except in the case of
Implementation of fusion energy research
projects already awarded priority status in earlier
framework programmes;
Activities under the thematic area ‘Fusion energy research’ may
be implemented on the basis of procedures and rules for
dissemination and use as set out in the following frameworks:
(b) actions carried out under the European Fusion Development
Agreement including procurements, or under the Joint
(a) the Contracts of Association, concluded between the
Undertaking referred to in point (c) of Article 51;
Community and Member States or associated third
countries or legal entities within Member States or
associated third countries;
(c) actions carried out under the Agreement on Staff Mobility.

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L 47/16
EN
Official Journal of the European Union
18.2.2012
3. In
the
case
of
projects
and
actions
receiving
a
financial participation and its financial contribution to such an
contribution according to points (a) or (b) of paragraph 2, all
agreement through any appropriate legal entity.
the legal entities referred to in points (a) and (b) of Article 51
shall have the right to take part in the experiments carried out
CHAPTER V
on the equipment concerned.
FINAL PROVISIONS
Article 53
4. The
Community
financial
contribution
to
actions
carried
out under an international cooperation agreement as referred to
This Regulation shall enter into force on the 20th day following
in point (d) of Article 51 shall be determined in accordance
its publication in the Official Journal of the European Union.
with the terms of this agreement or by any legal entity estab
lished by the agreement. The Community may manage its
It shall apply from 1 January 2012.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 19 December 2011.
For the Council
The President
M. KOROLEC

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EN
18.2.2012 Official
Journal
of
the
European
Union L
47/17
ANNEX
PARTICIPANT GUARANTEE FUND
1. The Fund is managed by the Community represented by the Commission acting as executive agent on behalf of the
participants, under conditions established by the model grant agreement.
The Commission entrusts the financial management of the Fund either to the European Investment Bank or, in
accordance with Article 13(b), to an appropriate financial institution (hereinafter the ‘depository bank’). The depository
bank shall manage the Fund pursuant to a brief by the Commission.
2. The Commission may offset, from the initial pre-financing it will pay to the consortium, the participants’ contribution
to the Fund, and pay it on their behalf to the Fund.
3. Where amounts are due to the Community by a participant, the Commission may, without prejudice to penalties
which may be imposed on the defaulting participant in accordance with the Financial Regulation either:
(a) order the depositary bank to directly transfer the amount due from the Fund to the coordinator of the indirect
action if it is still ongoing and the remaining participants agree to implement it to the identical regarding its
objectives, in accordance with Article 17(4). Amounts transferred from the Fund will be regarded as Community
financial contribution; or
(b) recover effectively the said amount from the Fund should the indirect action be terminated or already completed.
The Commission will emit to the benefit of the Fund a recovery order against that participant. The Commission may
adopt to that end a recovery decision in accordance with the Financial Regulation.
4. The amounts recovered from the Fund during the Framework Programme (2012-2013) will constitute revenue
assigned to it within the meaning of Article 18(2) of the Financial Regulation.
Once the implementation of all grants under the Framework Programme (2012-2013) is complete, any sums
outstanding from the Fund will be recovered by the Commission and entered into the budget of the Union,
subject to decisions on the next Framework Programme.

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