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THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Atomic Energy Community, and in
particular Article 7 thereof,
Having regard to the proposal from the Commission (1),
Having regard to the opinion of the European Parliament (2),
Having regard to the opinion of the Economic and Social Committee (3),
(1) Whereas the fifth framework programme of the European Atomic Energy Community
(Euratom) for research and training activities (1998-2002) (hereinafter referred to as
the fifth framework programme) was adopted by Council Decision 1999/64/Euratom
(4); whereas the detailed rules
for financial participation by the Community, as set out in Annex III to that Decision,
must be supplemented by other provisions relating to the participation of undertakings,
research centres and universities in research and technological activities, including
demonstration activities, and training activities, hereinafter referred to as
indirect RTDT actions;
_____________________________
(1) OJ C 40, 7.2.1998, p. 14.
(2) OJ C 195, 22.6.1998, p. 27.
(3) OJ C 214, 10.7.1998, p. 51.
(4) See page 34 of this Official Journal.
(2) Whereas the new provisions should be part of a complete, coherent and transparent
framework;
(3) Whereas the rules for the participation of undertakings, research centres and
universities must be adapted to the nature of the indirect RTDT actions; whereas moreover,
they may vary depending on whether the participant is based in a Member State, an
Associated State or a third State and on its legal structure;
(4) Whereas the participation of legal entities of third States should be envisaged,
including on the basis of international agreements; whereas, however, the agreements
concluded with the Community, in particular on the basis of Article 101 of the Treaty,
must be implemented in accordance with the principle of reciprocity and the protection of
intellectual and industrial property rights; whereas the Communitys legal entities
must accordingly enjoy genuine access to the research programmes of the third State
concerned;
(5) Whereas the Joint Research Centre (JRC) takes part in indirect RTDT actions on the
same basis as legal entities established in a Member State or in an Associated State;
(6) Whereas the rules should be applied in a simple and efficient manner so as to
minimise the administrative and financial burden on participants and the Commission,
particularly with respect to the time taken to prepare proposals, conclude contract
negotiations and make reimbursements;
(7) Whereas the Community financial participation should be paid to the participants
against justification of the eligible costs of the indirect RTDT action, although other
more appropriate methods may be used;
(8) Whereas research and technological activities, including demonstration activities,
and training activities should be carried out in accordance with the principles of sound
financial management;
(9) Whereas, to the extent necessary for achieving its objectives, the research and
training programme may set out in greater detail or supplement the rules for the
participation of undertakings, research centres and universities;
_____________________________
( 1 ) OJ C 40, 7.2.1998, p. 14.
( 2 ) OJ C 195, 22.6.1998, p. 27.
( 3 ) OJ C 214, 10.7.1998, p. 51.
( 4 ) See page 34 of this Official Journal.
(10) Whereas the provisions relating to dissemination of knowledge are laid down in
Articles 12 to 29 of the Treaty;
(11) Whereas, in order to ensure coherence between the activities carried out under the
fifth framework programme and those undertaken pursuant to Decision No 182/1999/EC of the
European Parliament and the Council of 22 December 1998 concerning the fifth framework
programme of the European Community for research, technological development and
demonstration activities (1998-2002)
( 1 ), this Decision and Council Decision 1999/65/EC of 22 December 1998 concerning
the rules for the participation of undertakings, research centres and universities and for
the dissemination of research results for the implementation of the fifth framework
programme ( 2 ), should be
adopted simultaneously and for the same period,
__________________________________
( 1 ) See page 1 of this Official Journal.
( 2 ) See page 46 of this Official Journal.
HAS DECIDED AS FOLLOWS:
For the purposes of this Decision:
(a) RTDT activities means the research activities, including demonstration
activities, and training activities described in Annex II to the fifth framework
programme;
(b) indirect RTDT actions means one of the two ways of implementing RTDT
activities, as described in Annex III to the fifth framework programme. Such actions are
carried out by third parties under contracts concluded with the Community; the JRC may
take part in such actions under the conditions laid down in Article 6;
(c) Associated State means a State which is party to an international
agreement concluded with the Community, in particular on the basis of Article 101 of the
Treaty, under which the State concerned makes a financial contribution to the fifth
framework programme. The said agreement relates to cooperation in research and training;
(d) third State means a State which is neither a Member State nor an
Associated State;
(e) legal entity means:
any natural person, or
any legal person, provided that it has been established under Community law or the
applicable national law and has been given legal personality or has the capacity, in its
own name, to hold rights and obligations of all kinds, to conclude contracts and to be a
party to legal proceedings;
(f) international organisation means any association of States, other than
the Community, established on the basis of a Treaty or similar act, having common
institutions and an international legal personality distinct from that of its Member
States;
(g) potential user of RTD results means any legal entity, any international
organisation or the JRC which, by virtue of its needs and capabilities whether
scientific, technological, economic or social has a specific contribution to make
to the use or the ensuring of the use of the results of indirect RTDT actions.
The rules laid down in this chapter shall apply, in conformity with Article 10 of the
Treaty, to the participation of legal entities and international organisations and of the
JRC in indirect RTDT actions. Section 1
1. Indirect RTDT actions shall be carried out by:
(a) at least two mutually independent legal entities established in two different
Member States or in a Member State and an Associated State; or
(b) at least one legal entity established in a Member State or in an Associated State and
the JRC; or
(c) one or several legal entities established in a third State or international
organisations, acting in cooperation with the minimum number of legal entities established
in a Member State or Associated State and the JRC, as required in (a) or (b).
2. Exceptionally, where the nature of the indirect RTDT action or activity to be
undertaken requires it to be carried out by a single participant, it must be carried out
by:
(a) a legal entity established in a Member State, in an Associated State or in a third
State; or
(b) an international organisation; or
(c) the JRC.
1. Any legal entity established in a Member State or in an Associated State may take
part in indirect RTD actions and receive funding from the fifth framework programme,
provided that:
it is carrying out or is about to carry out an RTDT activity, or
it contributes to the dissemination and use of results of RTDT activities, or
it is a potential user of RTDT results, or
in the case of thematic networks and concerted actions, it is in a position to
contribute substantial added value to the quality of work to be undertaken by virtue of
its knowledge of the relevant area of research.
2. The conditions set out in paragraph 1 do not apply in case of accompanying measures,
where the legal entity has the necessary technical know-how to carry out the indirect RTDT
action in question.
3. Where the purpose of the indirect RTDT action concerned so permits, any legal entity
referred to in paragraphs 1 and 2 must carry out the major part of the work within the
Member States or Associated States.
1. Without prejudice to the conditions set out in paragraph 2, any legal entity
established in a third State and any international organisation may take part in indirect
RTDT actions in conformity with the interests of the Community and without financing from
the fifth framework programme, provided that:
(a) the number of participations in the proposal for an indirect RTDT action is in
accordance with Article 3; and
(b) it meets the conditions laid down in Article 4(1) and (2) for legal entities from the
Member States and Associated States.
This shall not apply to training fellowships as defined in Annex III to the fifth
framework programme.
2. Where necessary to provide access to high-quality programmes in a third State and/or
to ensure suitable intellectual property rights (IPR) arrangements, participation of legal
entities established in that third State is subject to the conclusion of an international
agreement between the Community and the third State concerned. Where such an agreement
exists, participation is additionally subject to the principles, conditions and limits
laid down therein.
3. Any legal entity established in the central and eastern European States or the new
independent States which meets the conditions laid down in paragraph 1 may participate
with financing from the fifth framework programme in the area of nuclear fission, provided
that the financing is duly justified on the grounds that the participation makes an
essential contribution to the objectives of the programme which cannot be provided by
other means.
Community financing will be provided only for the activities specified in the research
and training programme and under the conditions laid down therein.
This shall not apply to training fellowships as defined in Annex III to the fifth
framework programme.
4. Any international organisation may, exceptionally, receive financing from the fifth
framework programme provided that:
(a) in the case of indirect RTDT actions other than accompanying measures,
the financing is duly justified as being essential for achieving the objectives
of the indirect RTD action in question, and
where any basic facility is to be used which is located in a third State, it is
essential for carrying out the proposed work;
(b) in the case of accompanying measures, it has the necessary technical skills and
know-how, which are not readily accessible or are unavailable in the Member States or the
Associated States.
Subject to the internal budgetary and administrative measures necessary to enable the
JRC to take part in indirect RTDT actions, the JRC shall be bound by the same conditions
and have the same rights and obligations as the legal entities established in a Member
State or an Associated State taking part in indirect RTDT actions.
1. Any legal entity, international organisation and the JRC must:
when filing its proposal for an indirect RTDT action, have at least the
potential resources needed for carrying it out,
when the contract is signed, demonstrate that it will have all the necessary
resources as and when needed for carrying it out.
2. The resources needed for carrying out the indirect RTDT action shall comprise human
resources, infrastructure, financial resources and, where appropriate, intangible
property.
1. Indirect RTDT actions other than accompanying measures shall be the subject of calls
for proposals. These may be preceded by a call for expressions of interest of an
informative nature. All such calls shall be published in the Official Journal of the
European Communities and should also be disseminated through other appropriate channels.
Indirect RTDT actions relating to controlled thermonuclear fusion and carried out under
the contracts of the Association, the Net Agreement, the quadripartite cooperation
agreement between the Community, Japan, the Russian Federation and the United States of
America concerning the engineering design activities of the International Thermonuclear
Experimental Reactor (ITER), The Joint European Torus (JET) Joint Undertaking and any
other agreement concluded by the Community shall comply with the procedures laid down in
those agreements.
2. Accompanying measures shall, as appropriate, be the subject of:
calls for proposals, in accordance with procedures identical to those described
in paragraph 1,
public procurement procedures, where the indirect RTDT action consists of a
purchase or a service, in accordance with the applicable provisions,
invitations to apply for appointment as an independent expert where the measure
concerned requires the Commission to take account in a balanced fashion of the various
research players, without prejudice to other procedures designed to achieve the same
result in the case of the independent highly qualified experts appointed for the five-year
evaluation referred to in Article 5(2) of the fifth framework programme.
3. Indirect RTDT actions carried out as pilot schemes shall be governed by procedures
appropriate to those actions as set out in the research and training programme decision.
4. Subject to legal constraints and the need to respect requirements of transparency
and equal treatment, the Commission shall keep the procedures for the submission,
selection and adoption of proposals as short as reasonably achievable and keep the
administrative costs of the applicants and of the Commission to the minimum level
necessary.
1. Proposals for indirect RTDT actions resulting from calls for proposals and pilot
schemes shall be selected in conformity with Annex I to the fifth framework programme on
the basis of the conditions for participation set out in Articles 3 to 7 and the following
criteria:
(a) scientific excellence;
(b) Community added value;
(c) the potential contribution to furthering the economic and social objectives of the
Community;
(d) the innovative nature of the proposal for an indirect RTDT action;
(e) the prospects for disseminating/exploiting the results, as described in the plan for
dissemination and use attached to the proposal for an indirect RTDTaction;
(f) effective transnational cooperation;
(g) effective and efficient management;
(h) any additional criteria set out in the research and training programme.
These criteria shall be applied in accordance with the category of indirect RTDT action
and with the nature of the RTDT activity.
Any project which contravenes the principles laid down in relevant international
conventions and regulations shall not be selected.
Proposals for accompanying measures which are subject to a public procurement procedure
shall be evaluated on the basis of selection and award criteria defined in accordance with
the relevant provisions.
2. Applicants responding to an invitation to apply shall be selected on the basis of
the criteria set out in the relevant Commission Decision and of the relevant conditions
for participation set out in Articles 3, 4 and 5.
1. In compliance with the provisions of Annex III to the fifth framework programme, the
Community financial participation shall consist of the reimbursement, in part or in whole,
of the eligible costs of the indirect RTDT action.
2. A cost relating to an indirect RTDT action shall be eligible where it is necessary
for the action in question and is provided for in the contract. It shall be reimbursable
by payment within a reasonable period provided that the amount has actually been spent and
has been recorded in the accounts or the tax documents. In the appropriate circumstances,
provisions should be made for advance payments.
3. In the case of the research projects, demonstration projects and combined
research/demonstration projects, recourse shall be had to additional eligible costs where,
inthe view of the Commission, the system of accounting used by the participant in an
indirect RTDT action does not enable the full costs of carrying out the indirect RTDT
action to be established with sufficient precision.
4. Total eligible costs will be reimbursed by payments against justification of the
actual costs of the indirect RTDT action concerned. The documents substantiating these
costs must be satisfactory. However, at the request of those taking part in the proposal
for an indirect RTDT action, general expenses may instead be calculated on a flat-rate
basis by agreement with the Commission. At the request of those taking part in the
proposal for an indirect RTDT action and by agreement with the Commission, the contract
can establish other conditions:
(a) in the case of small-scale projects, fixed amounts determined on the basis of an
assessment of the estimated costs of the work;
(b) in other cases, fixed amounts linked to the demonstration of best efforts to complete
contractually agreed objectives;
(c) other arrangements involving flat- and composite-rate payments appropriate to specific
projects.
5. Additional eligible costs, as referred to in Annex III to the fifth framework
programme, shall comprise the following:
the additional eligible costs generated simply by taking part in the indirect
RTDT action,
a flat-rate contribution to the general expenses.
1. Proposals for indirect RTDT actions selected following any of the procedures set out
in Article 8 shall be subject of a contract. L 26/61 EN Official Journal of the European
Communities 1.2.1999
2. Contracts will be based on the relevant model contract drawn up by the Commission in
consultation with Member States, taking account, where appropriate, of the different RTDT
activities involved.
1. The rules for the participation of undertakings, research centres and universities
may be set out in greater detail or supplemented in the Council Decision adopting the
research and training programme implementing the fifth framework programme.
2. Paragraph 1 shall not apply in the case of the definitions set out in Article 1 or
the training fellowships referred to in Article 5(1), second subparagraph, and Article
5(3), third subparagraph.
The Commission shall lay down the detailed rules for applying Articles 3, 7 and 10.
1. The annual report which the Commission sends to the European Parliament and the
Council in accordance with Article 5(4) of the fifth framework programme shall contain
information on the implementation of this Decision.
2. Before the end of the fifth framework programme the Commission shall present a
report to the Council on the application of this Decision.
This Decision shall apply to indirect RTDT actions implementing the fifth framework
programme.
Done at Brussels, 22 December 1998.
For the Council
The President
C.EINEM
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