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30.12.2006

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Official Journal of the European Union

L 391/1

I
(Acts whose publication is obligator y)

REGUL ATION (EC) No 1906/2006 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 18 December 2006 laying down the rules for the par ticipation of under takings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007-2013)
(Text with EEA relevance) THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, (3)

Having regard to the Treaty establishing the European Community, and in particular Article 167 and the second paragraph of Ar ticle 172 thereof, Having regard to the proposal from the Commission, Having regard to the Opinion of the European Economic and Social Committee (1), Having regard to the Opinion of the Cour t of Auditors (2), Acting in accordance with the procedure referred to in Ar ticle 251 of the Treaty (3), Whereas:
(1) (4)

The Seventh Framework Programme is also implemented in accordance with the State aid rules, in par ticular the rules on State aid for research and development, currently the Community Framework for State Aid for Research and Development (7).

Treatment of confidential data is governed by all the relevant Community legislation, including the Institutions' internal rules such as Commission Decision 2001/844/EC, ECSC, Euratom of 29 November 2001 amending its internal Rules of Procedure (8) regarding provisions of security.

(5)

The Seventh Framework Programme was adopted by Decision No 1982/2006/EC of the European Parliament and of the Council of 18 December 2006 concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) (4). It is the responsibility of the Commission to ensure the implementation of that framework programme and its specific programmes, including the related financial aspects. The Seventh Framework Programme is implemented in accordance with Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities (5), hereinafter `the Financial Regulation', and Commission Regulation (EC, Euratom) No 2342/2002 of 23 December 2002 laying down detailed rules for the implementation of the Financial Regulation (6), hereinafter `the Implementing Rules'.

The rules for the par ticipation of under takings, research centres and universities should provide a coherent, comprehensive and transparent framework to ensure the most efficient implementation possible, taking into account the need for easy access for all participants through simplified procedures, in accordance with the principle of proportionality.

(6)

(2)

The rules should also facilitate the exploitation of intellectual proper ty developed by a par ticipant, taking also into account the way in which the par ticipant may be organised internationally, whilst protecting the other par ticipants' and the Community's legitimate interests.

(7)

The Seventh Framework Programme should promote par ticipation from the outermost regions of the Community, as well as from a wide range of under takings, research centres and universities, including SMEs.

(1) Opinion delivered on 5 July 2006 (not yet published in the Official Journal). (2) OJ C 203, 25.8.2006, p. 1. (3) Opinion of the European Parliament of 30 November 2006 (not yet published in the Official Journal) and Council Decision of 18 December 2006. (4) OJ L 412, 30.12.2006, p. 1. (5) OJ L 248, 16.9.2002, p. 1. (6) OJ L 357, 31.12.2002, p. 1. Regulation as last amended by Regulation (EC, Euratom) No 1248/2006 (OJ L 227, 19.8.2006, p. 3).

(8)

The definition of micro, small and medium-sized enterprises (SMEs) provided in Commission Recommendation 2003/361/EC (9) should apply, for reasons of coherence and transparency.

(7) OJ C 45, 17.2.1996, p. 5. (8) OJ L 317, 3.12.2001, p. 1. Decision as last amended by Decision 2006/548/EC, Euratom (OJ L 215, 5.8.2006, p. 38). (9) OJ L 124, 20.5.2003, p. 36.


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It is necessary to establish the minimum conditions for participation, both as a general rule and with regard to the specificities of indirect actions under the Seventh Framework Programme. In particular, rules should be laid down regarding the number of par ticipants and their place of establishment. It is appropriate that any legal entity should participate once the minimum conditions satisfied. Participation over and above the should ensure the efficient implementation of action concerned. be free to have been minimum the indirect

the Financial Regulation and its Implementing Rules, to govern the assessment of the legal and financial viability of par ticipants in indirect actions under the Seventh Framework Programme. Such rules should strike the right balance between protecting the Community's financial interests and simplifying and facilitating the participation of legal entities in the Seventh Framework Programme.

(10)

(18)

(11)

International organisations dedicated to developing cooperation in the field of research in Europe and largely made up of Member States or Associated countries should be encouraged to par ticipate in the Seventh Framework Programme. It follows from Council Decision 2001/822/EC of 27 November 2001 on the association of the overseas countries and territories with the European Community (`Overseas Association Decision') (1), that legal entities of the overseas countries and territories are eligible to participate in the Seventh Framework Programme. In line with the objectives of international cooperation as described by Ar ticles 164 and 170 of the Treaty, the participation of legal entities established in third countries should also be envisaged, as should the participation of international organisations. However, it is appropriate to require that such par ticipation be justified in terms of the enhanced contribution thereby made to the objectives sought under the Seventh Framework Programme. In line with the objectives mentioned above, it is necessary to establish the terms and conditions for providing Community funding to par ticipants in indirect actions. For the benefit of par ticipants, there should be an effective and smooth transition from the cost calculation regime used in the Sixth Framework Programme. The monitoring process of the Seventh Framework Programme should, therefore, address the budgetary impact of this change in par ticular as regards its effect on the administrative burden for par ticipants.
(22)

In this context, the Financial Regulation and the Implementing Rules and Council Regulation (Euratom, EC) No 2988/95 of 18 December 1995 on the protection of the European Communities' financial interests (2), govern inter alia the protection of the Community's financial interests, the fight against fraud and irregularity, the procedures for the recovery of sums owed to the Commission, exclusion from contract and grant procedures and related penalties, and audits, checks, and inspections by the Commission and the Court of Auditors, pursuant to Ar ticle 248(2) of the Treaty.

(12)

(19)

It is necessary that the Community financial contribution reaches the par ticipants without undue delay.

(20) (13)

The agreements concluded for each action should provide for super vision and financial control by the Commission, or any representative authorised by the Commission, as well as audits by the Cour t of Auditors and on-the-spot checks carried out by the European Anti-Fraud Office (OLAF), in accordance with the procedures laid down in Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (3).

(14)

(21)

(15)

The Commission should monitor both the indirect actions carried out under the Seventh Framework Programme and the Seventh Framework Programme and its Specific Programmes. With a view to ensuring the efficient and coherent monitoring and evaluation of the implementation of indirect actions, the Commission should set up and maintain an appropriate information system.

(16)

It is necessary for the Commission to establish fur ther rules and procedures, in addition to those provided for in the Financial Regulation and its Implementing Rules and this Regulation, to govern the submission, evaluation and selection of proposals and award of grants, as well as redress procedures for participants. In par ticular the rules governing the use of independent exper ts should be established. It is appropriate for the Commission to establish fur ther rules and procedures, in addition to those provided for in

The Seventh Framework Programme should ref lect and promote the general principles laid down in the European Charter for Researchers and Code of Conduct for the Recruitment of Researchers (4), while respecting their voluntary character.

(23)

(17)

The rules governing the dissemination of research results should ensure that, where appropriate, the participants protect the intellectual proper ty generated in actions, and use and disseminate those results.

(1) OJ L 314, 30.11.2001, p. 1.

(2) OJ L 312, 23.12.1995, p. 1. (3) OJ L 292, 15.11.1996, p. 2. (4) OJ L 75, 22.3.2005, p. 67.


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Official Journal of the European Union
HAVE ADOPTED THIS REGULATION:

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While respecting the rights of the owners of intellectual property, those rules should be designed to ensure that participants and, where appropriate, their affiliated entities established in a Member State or associated country have access to information they bring to the project and to 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.

CHAPTER I INTRODUCTORY PROVISIONS

(25)

The obligation established in the sixth Framework Programme for cer tain par ticipants to take financial responsibility for their par tners in the same consortium will be waived. In this context, a par ticipant guarantee fund, managed by the Commission, should be established to cover amounts due and not reimbursed by defaulting partners. Such an approach will promote simplification and facilitate the par ticipation of, notably, SMEs, whilst safeguarding the Community's financial interests in a manner appropriate for the Seventh Framework Programme.

Article 1 Subject matter This Regulation lays down the rules for the participation of under takings, research centres and universities and other legal entities in actions under taken by one or more par ticipants by means of funding schemes identified in par t (a) of Annex III to Decision No 1982/2006/EC, hereinafter `indirect actions'. It also lays down rules, in accordance with those laid down in the Financial Regulation and the Implementing Rules concerning the Community financial contribution to par ticipants in indirect actions under the Seventh Framework Programme. As regards the results of research carried out under the Seventh Framework Programme, this Regulation lays down rules for the disclosure of foreground by any appropriate means other than that resulting from the formalities for protecting it, and including the publication of foreground in any medium, hereinafter `dissemination'. In addition, it lays down rules for the direct or indirect utilisation of foreground in fur ther research activities other than those covered by the indirect action concerned, or for developing, creating and marketing a product or process, or for creating and providing a ser vice, hereinafter `use'. In respect of both foreground and background, this Regulation lays down rules concerning licences and user rights thereto, hereinafter `access rights'.

(26)

Community contributions to a joint under taking or any other structure set up pursuant to Ar ticle 171 of the Treaty, or pursuant to Ar ticle 169 of the Treaty do not fall within the scope of this Regulation.

(27)

This Regulation respects the fundamental rights and observes the principles recognised in particular by the Charter of Fundamental Rights of the European Union.

(28)

The Community may award a grant to the European Investment Bank (EIB) to foster private sector investment in eligible large European RTD actions by increasing the capacity of the EIB to manage risk, thus allowing for (i) a larger volume of EIB lending for a certain level of risk, and (ii) the financing of riskier European RTD actions than would be possible without such Community support.

(29)

The Community may provide financial support, as established in the Financial Regulation, inter alia by means of: Article 2 (a) public procurements, in the form of a price for goods or ser vices established by contract and selected on the basis of calls for tender; (b) grants; (c) subscriptions to an organisation in the form of a membership fee; (d) honoraria for independent exper ts identified in Ar ticle 17 of this Regulation, Def initions For the purposes of this Regulation, the following definitions shall apply in addition to those set out in the Financial Regulation and the Implementing Rules: 1) `legal entity' means any natural person, or any legal person created under the national law of its place of establishment, or under Community law or international law, which has legal personality and which may, acting in its own name, exercise rights and be subject to obligations. In the case of natural persons, references to establishment are deemed to refer to habitual residence;


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`affiliated entity' means any legal entity that is under the direct or indirect control of a participant, or under the same direct or indirect control as the par ticipant, control taking any of the forms set out in Ar ticle 6(2); `fair and reasonable conditions' means appropriate conditions including possible financial terms, taking into account the specific circumstances of the request for 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 use envisaged; `foreground' means the results, including whether or not they can be protected, which by the indirect action concerned. Such results related to copyright, design rights, patent variety rights or similar forms of protection; information, are generated include rights rights, plant

13) `public body' means any legal entity established as such by national law, and international organisations; 14) `SMEs' mean micro, small and medium-sized enterprises within the meaning of Recommendation 2003/361/EC in the version of 6 May 2003; 15) `work programme' means a plan adopted by the Commission for the implementation of a specific programme as identified in Article 3 of Decision No 1982/2006/EC; 16) `funding schemes' mean the mechanisms for the Community funding of indirect actions as established in part (a) of Annex III to Decision No 1982/2006/EC; 17) `specific groups' means the beneficiaries of `research for specific groups' identified in the specific programme and/or work programme; 18) `RTD performer ' means a legal entity carrying out research or technological development activities in funding schemes for the benefit of specific groups as identified in Annex III to Decision No 1982/2006/EC.

3)

4)

5)

`background' means information which is held by par ticipants prior to their accession to the grant agreement, as well as copyrights or other intellectual proper ty rights per taining to such information, the application for which has been filed before their accession to the grant agreement, and which is needed for carrying out the indirect action or for using the results of the indirect action; `par ticipant' means a legal entity contributing to an indirect action and having rights and obligations with regard to the Community under the terms of this Regulation; `research organisation' means a legal entity established as a non-profit organisation which carries out research or technological development as one of its main objectives; `third country' means a State that is not a Member State;

Article 3 Conf identiality

6)

7)

Subject to the conditions established in the grant agreement, appointment letter or contract, the Commission and the par ticipants shall keep confidential any data, knowledge and documents communicated to them as confidential.

CHAPTER II

8) 9)

PARTICIPATION

`associated country' means a third country which is par ty to an international agreement with the Community, under the terms or on the basis of which it makes a financial contribution to all or par t of the Seventh Framework Programme;

SECTION 1

Minimum conditions Article 4

10) `international organisation' means an intergovernmental organisation, other than the Community, which has legal personality under international public law, as well as any specialised agency set up by such an international organisation; 11) `international European interest organisation' means an international organisation, the majority of whose members are Member States or Associated countries, and whose principal objective is to promote scientific and technological cooperation in Europe; 12) `international cooperation par tner country' means a third country which the Commission classifies as a low-income, lower-middle-income or upper-middle-income country and which is identified as such in the work programmes;

General principles 1. Any under taking, university or research centre or other legal entity, whether established in a Member State or associated country, or in a third country, may par ticipate in an indirect action provided that the minimum conditions laid down in this Chapter have been met, including any conditions specified pursuant to Ar ticle 12. However, in the case of an indirect action as referred to in Ar ticles 5(1), 7, 8 or 9, under which it is possible for the minimum conditions to be met without the par ticipation of a legal entity established in a Member State, the attainment of the objectives laid down in Ar ticles 163 and 164 of the Treaty must thereby be enhanced.


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2. The Joint Research Centre of the Commission, hereinafter `the JRC', may participate in indirect actions on the same footing and with the same rights and obligations as a legal entity established in a Member State.

Indirect actions for specif ic cooperation activities dedicated to international cooperation par tner countries For collaborative projects for specific cooperation actions dedicated to international cooperation par tner countries identified in the work programme, the minimum conditions shall be the following: (a) at least four legal entities must par ticipate;

Article 5 Minimum conditions 1. The minimum conditions for indirect actions shall be the following: (a) at least three legal entities must participate, each of which must be established in a Member State or associated country, and no two of which may be established in the same Member State or associated country; (b) all three legal entities must be independent of each other within the meaning of Ar ticle 6. 2. For the purposes of point (a) of paragraph 1, where one of the participants is the JRC, or an international European interest organisation or an entity created under Community law, it shall be deemed to be established in a Member State or associated country other than any Member State or associated country in which another participant in the same indirect action is established.

(b) at least two of the legal entities referred to in point (a) must be established in Member States or associated countries, but not established in the same Member State or associated country; (c) at least two of the legal entities referred to in point (a) must be established in international cooperation partner countries, but not established in the same international cooperation par tner country, unless other wise specified in the work programme; (d) all four legal entities referred to in point (a) must be independent of each other within the meaning of Article 6.

Article 8 Coordination and suppor t actions, and training and career development of researchers

Article 6 Independence 1. Two legal entities shall be regarded as independent of each other where neither is under the direct or indirect control of the other or under the same direct or indirect control as the other. 2. For the purposes of paragraph 1, control may, in par ticular, take either of the following forms: (a) the direct or indirect holding of more than 50 % of the 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; (b) the direct or indirect holding, in fact or in law, of decisionmaking powers in the legal entity concerned. 3. However, the following relationships between legal entities shall not in themselves be deemed to constitute controlling relationships: (a) the same public investment corporation, institutional investor or venture-capital company has a direct or indirect holding of more than 50 % of the nominal value of the issued share capital or a majority of voting rights of the shareholders or associates; (b) the legal entities concerned are owned or supervised by the same public body. For coordination and support actions, and actions in favour of training and career development of researchers, the minimum condition shall be the par ticipation of one legal entity. The first paragraph shall not apply in the case of actions whose purpose is to coordinate research activities.

Article 9 `Frontier ' research projects For indirect actions to support `frontier ' research projects funded in the framework of the European Research Council, the minimum condition shall be the par ticipation of one legal entity established in a Member State or in an associated country.

Article 10 Sole par ticipants Where the minimum conditions for an indirect action are satisfied by a number of legal entities, which together form one legal entity, the latter may be the sole par ticipant in an indirect action, provided that it is established in a Member State or associated country.


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Official Journal of the European Union Article 11 Article 14 Exceptions

30.12.2006

International organisations and legal entities established in third countries Participation in indirect actions shall be open to international organisations and legal entities established in third countries provided that the minimum conditions laid down in this Chapter are met, as well as any conditions laid down in the specific programmes or relevant work programmes.

The Commission shall not issue calls for proposals for the following: (a) coordination and suppor t actions to be carried entities identified in the specific programmes or programmes when the specific programme work programmes to identify beneficiaries, in with the Implementing Rules; out by legal in the work permits the accordance

Article 12 Additional conditions In addition to the minimum conditions laid down in this Chapter, specific programmes or work programmes may lay down conditions regarding the minimum number of par ticipants. They may also lay down, according to the nature and objectives of the indirect action, additional conditions to be met as regards type of par ticipant and, where appropriate, place of establishment.

(b) coordination and suppor t actions consisting of a purchase of goods or services subject to the rules on public procurement set out in the Financial Regulation; (c) coordination and suppor t actions relating to the appointment of independent exper ts; (d) other actions, where so provided by the Financial Regulation or the Implementing Rules.

Subsection 2 Evaluation and selection of proposals and awar d of g rants Article 15

SECTION 2

Evaluation, selection and award Procedures Subsection 1 Calls fo r proposals Article 13 Calls for proposals 1. The Commission shall issue calls for proposals for indirect actions in accordance with the requirements laid down in the relevant specific programmes and work programmes, which may include calls targeted at special groups such as SMEs. In addition to the publicity specified in the Implementing Rules, the Commission shall publish calls for proposals on the Internet pages of the Seventh Framework Programme, through specific information channels, and at the national contact points set up by the Member States and the associated countries. 2. Where appropriate, the Commission shall specify in the call for proposals that the par ticipants need not establish a consor tium agreement. 3. Calls for proposals shall have clear objectives so as to ensure that applicants do not respond needlessly. 1. The Commission shall evaluate all the proposals submitted in response to a call for proposals on the basis of the principles for evaluation, and the selection and award criteria set out in the specific programme and the work programme. (a) The following criteria shall apply for the `Cooperation' and `Capacities' Programmes: -- scientific and/or technological excellence, -- relevance to the objectives of these specific programmes, -- the potential impact through the development, dissemination and use of project results, -- the quality and efficiency of the implementation and management. (b) The following criteria shall apply for Programme: -- scientific and/or technological excellence, -- relevance to the objectives of this specific programme, -- quality and implementation capacity of the applicants (researchers/organisations) and their potential for fur ther progress, -- quality of the proposed activity in scientific training and/ or transfer of knowledge. the `People'


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(c) For support for `frontier ' research actions under the `Ideas' Programme the sole criterion of excellence shall apply. For coordination and suppor t actions, project-related criteria may apply. Within this framework the work programmes shall specify the evaluation and selection criteria and may add additional requirements, weightings and thresholds, or set out fur ther details on the application of the criteria.

The Commission shall refrain from renewing such verification unless the situation of the participant concerned has changed.

Article 17 Appointment of independent experts 1. The Commission shall appoint independent exper ts to assist with evaluations of proposals. For coordination and support actions, referred to in Article 14, independent exper ts shall be appointed only if the Commission deems it appropriate. 2. Independent exper ts shall be chosen on the basis of skills and knowledge appropriate to the tasks assigned to them. In cases where independent exper ts will have to deal with classified information, the appropriate security clearance shall be required before appointment. Independent exper ts shall be identified and selected on the basis of calls for applications from individuals and calls addressed to relevant organisations such as national research agencies, research institutions or enterprises with a view to establishing lists of suitable candidates. The Commission may, if deemed appropriate, select any individual with the appropriate skills from outside the lists. Appropriate measures shall be taken to ensure reasonable gender balance when appointing groups of independent exper ts. For `frontier ' research projects, exper ts shall be appointed by the Commission on the basis of a proposal from the Scientific Council of the European Research Council. 3. When appointing an independent exper t, the Commission shall take all necessary steps to ensure that the exper t is not faced with a conf lict of interests in relation to the matter on which the exper t is required to provide an opinion. 4. The Commission shall adopt a model appointment letter, hereinafter `the appointment letter ', which shall include a declaration that the independent exper t has no conf lict of interest at the time of appointment and that he under takes to inform the Commission if any conf lict of interest should arise in the course of providing his opinion or carrying out his duties. The Commission shall conclude an appointment letter between the Community and each independent exper t. 5. The Commission shall publish once a year in any appropriate medium the list of the independent exper ts that have assisted it for the Seventh Framework Programme and each specific programme.

2. A proposal which contravenes fundamental ethical principles or which does not fulfil the conditions set out in the specific programme, the work programme or in the call for proposals shall not be selected. Such a proposal may be excluded from the evaluation, selection and award procedures at any time.

3. Proposals shall be ranked according to the evaluation results. Funding decisions shall be made on the basis of this ranking.

Article 16

Submission, evaluation, selection and award procedures

1. Where a call for proposals specifies a two-step evaluation procedure, only those proposals that pass the first step, based on the evaluation against a limited set of criteria, shall go forward for fur ther evaluation.

2. Where a call for proposals specifies a two-stage submission procedure, only those applicants whose proposals pass the evaluation for the first stage shall be requested to submit a complete proposal in the second stage.

All applicants shall be swiftly informed of the results of the first-stage evaluation.

3. The Commission shall adopt and publish rules governing the procedure for the submission of proposals, as well as the related evaluation, selection and award procedures and publish guides for applicants including guidelines for evaluators. In particular, it shall lay down detailed rules for the two-stage submission procedure (including as regards the scope and nature of the first-stage proposal as well as those of the complete secondstage proposal), and rules for the two-step evaluation procedure.

The Commission shall provide information and set out redress procedures for applicants.

4. The Commission shall adopt and publish rules to ensure consistent verification of the existence and legal status of par ticipants in indirect actions as well as their financial capacity.


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Official Journal of the European Union Subsection 3

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Implement ation and g rant ag reements Article 18 General 1. The participants shall implement the indirect action and shall take all necessary and reasonable measures to that end. Participants in the same indirect action shall implement the work jointly and severally towards the Community. 2. The Commission shall draw up, on the basis of the model provided for in Ar ticle 19(8) and taking into account the characteristics of the funding scheme concerned, a grant agreement between the Community and the participants. 3. Participants shall make no commitments incompatible with the grant agreement. 4. Where a par ticipant fails to comply with its obligations regarding the technical implementation of the indirect action, the other par ticipants shall comply with the grant agreement without any complementary Community contribution unless the Commission expressly relieves them of that obligation. 5. If the implementation of an action becomes impossible or if the par ticipants fail to implement it, the Commission shall ensure the termination of the action. 6. Participants shall ensure that the Commission is informed of any event which might affect the implementation of the indirect action or the interests of the Community. 7. Where provided for in the grant agreement, the par ticipants may subcontract certain elements of the work to be carried out to third par ties. 8. The Commission shall set out redress procedures for par ticipants.

2. Where appropriate, the grant agreement shall specify which par t of the Community financial contribution will be based on the reimbursement of eligible costs, and which par t will be based on f lat rates (including scale of unit costs) or lump-sums.

3. The grant agreement shall specify which changes in the composition of the consortium are to require the prior publication of a competitive call.

4. The grant agreement shall require the submission to the Commission of periodic progress repor ts concerning the implementation of the indirect action concerned.

5. Where appropriate, the grant agreement may provide that the Commission is to be notified in advance of any intended transfer of ownership of foreground to a third party.

6. Where the grant agreement requires par ticipants to carry out activities that benefit third par ties, the par ticipants shall advertise this widely and identify, evaluate and select third parties transparently, fairly and impartially. If provided for in the work programme, the grant agreement shall establish criteria for the selection of such third par ties. The Commission reserves the right to object to the selection of the third parties.

7. The grant agreement may lay down time-limits for par ticipants to give the various notifications referred to in this Regulation.

8. The Commission shall, in close cooperation with Member States, establish a model grant agreement in accordance with this Regulation. If a significant modification of the model grant agreement proves necessary, the Commission shall, in close cooperation with Member States, revise it as appropriate.

Article 19 General provisions for inclusion in grant agreements 1. The grant agreement shall establish the rights and obligations of the participants with regard to the Community, in accordance with Decision No 1982/2006/EC, this Regulation, the Financial Regulation, and the Implementing Rules, and in accordance with the general principles of Community law. It shall also establish, in accordance with the same conditions, the rights and obligations of legal entities who become par ticipants when the indirect action is ongoing.

9. The model grant agreement shall ref lect the general principles laid down in the European Charter for Researchers and the Code of Conduct for the Recruitment of Researchers. It shall address, as appropriate, synergies with education at all levels; 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 par ticipation and role of women in research; and activities addressing socioeconomic aspects of the research.

10. The model grant agreement shall provide for super vision and financial control by the Commission or any representative authorised by it, and the Court of Auditors.


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Official Journal of the European Union Article 20 Article 23 Signature and accession

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Provisions concerning access rights, use and dissemination 1. The grant agreement shall establish the respective rights and obligations of the par ticipants with regard to access rights, use and dissemination, in so far as those rights and obligations have not been laid down in this Regulation. For those purposes, it shall require the submission to the Commission of a plan for the use and dissemination of foreground. 2. The grant agreement may specify the conditions under which the par ticipants may object to a technological audit of the use and dissemination of the foreground being carried out by cer tain authorised representatives of the Commission.

The grant agreement shall enter into force upon signature by the coordinator and the Commission. It shall apply to each par ticipant that has formally acceded thereto.

Subsection 4 Consor tia Article 24 Consor tium agreements

Article 21 Provisions concerning termination The grant agreement shall specify the tion, in whole or in part, in particular this Regulation, non-performance or consequences for par ticipants of any par t of another par ticipant. grounds for its terminafor non-compliance with breach, as well as the non-compliance on the

1. Save where other wise provided in the call for proposals, all par ticipants in an indirect action shall conclude an agreement, hereinafter `the consortium agreement', to govern inter alia the following: (a) the internal organisation of the consortium; (b) the distribution of the Community financial contribution; (c) rules on dissemination, use and access rights, additional to those in Chapter III and to the provisions in the grant agreement; (d) the settlement of internal disputes including cases of abuse of power; (e) liability, indemnification and confidentiality arrangements between the par ticipants. 2. The Commission shall establish and publish guidelines on the main issues that may be addressed by par ticipants in their consortium agreements, including provisions on promoting the participation of SMEs.

Article 22 Specif ic provisions 1. In the case of indirect actions to support existing research infrastructures and, where applicable, new research infrastructures, the grant agreement may lay down specific provisions relating to confidentiality, publicity and access rights and commitments that might affect users of the infrastructure. 2. In the case of indirect actions to support training career development of researchers, the grant agreement may down specific provisions on confidentiality, access rights commitments relating to the researchers benefiting from action. and lay and the

Article 25 Coordinator 1. The legal entities wishing action shall appoint one of their to carry out the following tasks lation, the Financial Regulation, the grant agreement: to par ticipate in an indirect number to act as coordinator in accordance with this Reguthe Implementing Rules, and

3. In the case of indirect actions in the field of security research, the grant agreement may lay down specific provisions in par ticular on changes to the consortium's composition, confidentiality, classification of information and information to Member States, dissemination, access rights, transfer of ownership of foreground and the use thereof. 4. Where appropriate, the grant agreement for indirect actions addressing security issues, other than those referred to in paragraph 3, may also include such specific provisions. 5. In the case of `frontier ' research actions, the grant agreement may lay down specific provisions relating to dissemination.

(a) to monitor the compliance by participants in the indirect action with their obligations; (b) to verify whether the legal entities identified in the grant agreement complete the necessary formalities for accession to the grant agreement; (c) to receive the Community financial contribution and to distribute it in accordance with the consortium and grant agreement;


L 391/10 (d) to keep the Community Commission 24(1), point

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records and financial accounts relevant for the financial contribution and to inform the of its distribution in accordance with Ar ticles (b) and 36;

In par ticular, the Commission shall monitor the implementation of the plan for the use and dissemination of foreground, submitted pursuant to the second subparagraph of Article 20 (1).

(e) to be intermediary for efficient and correct communication between the par ticipants and to report regularly to the participants and to the Commission on the progress of the project. 2. The coordinator shall be identified in the grant agreement.

For those purposes, the Commission may be assisted by independent exper ts appointed in accordance with Ar ticle 17.

3. The appointment of a new coordinator shall require the written approval of the Commission.

2. The Commission shall set up and maintain an information system allowing for this monitoring to take place in an efficient and coherent manner across the Seventh Framework Programme.

Article 26 Changes in the consortium 1. The par ticipants in an indirect action may agree to add a new participant or to remove an existing par ticipant in accordance with the respective provisions in the consor tium agreement. 2. Any legal entity which joins an ongoing action shall accede to the grant agreement. 3. In specific cases, where provided for in the grant agreement, the consortium shall publish a competitive call and advertise it widely using specific information suppor t, par ticularly Internet sites on the Seventh Framework Programme, the specialist press and brochures, and the national contact points set up by the Member States and associated countries for information and support. The consor tium shall evaluate offers in which governed the initial action and independent exper ts appointed by the ance with the principles laid down in Ar tively. the light of the criteria with the assistance of consor tium, in accordticles 15 and 17 respec-

Subject to Article 3, the Commission shall publish information on the funded projects in any appropriate medium.

3. The monitoring and evaluation referred to in Ar ticle 7 of Decision No 1982/2006/EC shall include aspects relating to the application of this Regulation, in particular aspects relevant for SMEs, and shall address the budgetary impact of the changes in the cost calculation regime as compared to the Sixth Framework Programme and its effects on the administrative burden for participants.

4. The Commission shall appoint, in accordance with Ar ticle 17, independent exper ts to assist with evaluations required under the Seventh Framework Programme and its specific programmes, and, as deemed necessary, for the evaluation of previous Framework Programmes.

5. In addition, the Commission may set up groups of independent exper ts appointed in accordance with Ar ticle 17, to advise on the design and implementation of Community research policy.

4. The consor tium shall notify any proposed change of its composition to the Commission, which may object within 45 days of the notification. Changes in the composition of the consortium associated with 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.

Article 28

Information to be made available

Subsection 5 Monitori ng and evaluation of prog rammes and indirect actions and communication of inform ation Article 27 Monitoring and evaluation 1. The Commission shall monitor the implementation of indirect actions on the basis of the periodic progress repor ts submitted pursuant to Ar ticle 19(4).

1. Having due regard to Ar ticle 3, the Commission shall, upon request, make available to any Member State or associated country any useful information in its possession on foreground arising from work carried out in the context of an indirect action, provided that the following conditions are met: (a) the information concerned is relevant to public policy; (b) the par ticipants have not provided sound and sufficient reasons for withholding the information concerned. 2. Under no circumstances shall the provision of information pursuant to paragraph 1 be deemed to transfer to the recipient any rights or obligations of the Commission or of the par ticipants.


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However, the recipient shall treat any such information as confidential unless it becomes public or is made available publicly by the par ticipants, or unless it was communicated to the Commission without restrictions concerning confidentiality.

2. The work programmes and calls for proposals shall specify the forms of grants to be used in the actions concerned. 3. Par ticipants from international cooperation partner countries may opt for the Community financial contribution in the form of lump-sum financing. The Commission shall establish applicable lump sums in accordance with the Financial Regulation.

SECTION 3

Community financial contribution Subsection 1 Eligibility fo r funding and fo r ms of g rants Article 29 Eligibility for funding 1. The following legal entities participating in an indirect action may receive a Community financial contribution: (a) any legal entity established in a Member State or an associated country, or created under Community law; (b) any international European interest organisation; (c) any legal entity established in an international cooperation par tner country. 2. In the case of a par ticipating international organisation, other than an international European interest organisation, or a legal entity established in a third country other than an associated country or international cooperation partner country, a Community financial contribution may be granted provided that at least one of the following conditions is satisfied: (a) provision is made to that effect in the specific programmes or in the relevant work programme; (b) the contribution is essential for carrying out the indirect action; (c) such funding is provided for in a bilateral scientific and technological agreement or any other arrangement between the Community and the country in which the legal entity is established. The Community financial contribution to reimburse eligible costs shall not give rise to a profit. 2. Receipts shall be taken into consideration for the payment of the grant at the end of the implementation of the action. 3. In order to be considered eligible, costs incurred in the implementation of an indirect action must meet the following conditions: (a) they must be actual; (b) they must have been incurred during the duration of the action, with the exception of final repor ts where provided for in the grant agreement; (c) they must have been determined in accordance with the usual accounting and management principles and practices of the par ticipant and used for the sole purpose of achieving the objectives of the indirect action and its expected results, in a manner consistent with the principles of economy, efficiency and effectiveness; (d) they must be recorded in the accounts of the participant and, in the case of any contribution from third par ties, they must be recorded in the accounts of the third parties; (e) they must be exclusive of non-eligible costs, in particular identifiable indirect taxes including value added tax, duties, interest owed, provisions for possible future losses or charges, exchange losses, costs related to return on capital, costs declared, incurred, or reimbursed in respect of another Community project, debt and debt service charges, excessive or reckless expenditure, and any other costs that do not meet the conditions laid down in points (a) to (d). For the purposes of point (a), average personnel costs may be used if they are consistent with the management principles and accounting practices of the par ticipant and do not differ significantly from actual costs. Article 31 Reimbursement of eligible costs 1. Indirect actions financed by grants shall be co-financed by the par ticipants.

Article 30 Forms of grants 1. The Community financial contribution for grants identified in par t a) of Annex III to the Decision No 1982/2006/EC shall be based on the reimbursement, in whole or in par t, of eligible costs. However, the Community financial contribution may take the form of f lat-rate financing, including scale of unit costs, or lump-sum financing, or it may combine the reimbursement of eligible costs with f lat rates and lump sums. The Community financial contribution may also take the form of scholarships or prizes.


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4. While the Community financial contribution shall be calculated by reference to the cost of the indirect action as a whole, its reimbursement shall be based on the repor ted costs of each par ticipant.

shall establish, for grants awarded under calls closing after 31 December 2009, an appropriate level of f lat rate which should be an approximation of the real indirect costs concerned but not lower than 40 %. This will be based on an evaluation of participation by non-profit public bodies, secondary and higher education establishments, research organisations and SMEs which are unable to identify with certainty their real indirect costs for the action concerned. 6. All f lat rates shall be set out in the model grant agreement.

Article 32 Direct eligible costs and indirect eligible costs 1. Eligible costs shall be composed of costs attributable directly to the action, hereinafter `direct eligible costs' and, where applicable, of costs which are not attributable directly to the action, but which have been incurred in direct relationship with the direct eligible costs attributed to the action, hereinafter `indirect eligible costs'. 2. The reimbursement of par ticipants' costs shall be based on their eligible direct and indirect costs. In compliance with Article 31(3), point (c), a par ticipant may use a simplified method of calculation of its indirect eligible costs at the level of its legal entity if this is in accordance with its usual accounting and management principles and practices. Principles to be followed in this respect shall be set out in the model grant agreement. 3. The grant agreement may provide that the reimbursement of indirect eligible costs is to be limited to a maximum percentage of the direct eligible costs, excluding the direct eligible costs for subcontracting, in par ticular in the case of coordination and suppor t actions, and, where appropriate, actions for training and career development of researchers. 4. By derogation from paragraph 2, for the coverage of indirect eligible costs a par ticipant may opt for a f lat rate of its total direct eligible costs, excluding its direct eligible costs for subcontracting or reimbursement of third par ties' costs. The Commission shall establish appropriate f lat rates based on a close approximation of the real indirect costs concerned, in accordance with the Financial Regulation and its Implementing Rules. 5. Non-profit public bodies, secondary and higher education establishments, research organisations and SMEs which are unable to identify with certainty their real indirect costs for the action concerned, when par ticipating in funding schemes which include research and technological development and demonstration activities, as referred to in Ar ticle 33, may opt for a f latrate equal to 60 % of the total direct eligible costs for grants awarded under calls for proposals closing before 1 January 2010. With a view to facilitating a transition to full application of the general principle established in paragraph 2, the Commission

Article 33 Upper funding limits 1. For research and technological development activities, the Community financial contribution may reach a maximum of 50 % of the total eligible costs. However, in the case of non-profit public bodies, secondary and higher education establishments, research organisations and SMEs, it may reach a maximum of 75 % of the total eligible costs. For security-related research and technological development activities, it may reach a maximum of 75 % in the case of the development of capabilities in domains with very limited market size and a risk of `market failure' and for accelerated equipment development in response to new threats. 2. For demonstration activities, the Community financial contribution may reach a maximum of 50 % of the total eligible costs. 3. For activities suppor ted by `frontier ' research actions, coordination and suppor t actions, and actions for the training and career development of researchers, the Community financial contribution may reach a maximum of 100 % of the total eligible costs. 4. For management activities, including certificates on the financial statements, and other activities not covered by paragraphs 1, 2 and 3, the Community financial contribution may reach a maximum of 100 % of the total eligible costs. The other activities referred to in the first subparagraph include, inter alia, training in actions that do not fall under the funding scheme for training and career development of researchers, coordination, networking, and dissemination. 5. For the purposes of paragraphs 1 to 4, eligible costs and receipts shall be taken into consideration in order to determine the Community financial contribution.


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6. Paragraphs 1 to 5 shall apply, as appropriate, in the case of indirect actions where f lat-rate financing or lump-sum financing is used for the whole indirect action.

4. The payment shall be effected by means of periodic releases. Those periodic releases shall be made according to the assessment of the progressive implementation of the Joint Programme of Activities through the measurement of integration of research resources and capacities based on performance indicators, negotiated with the consortium and specified in the grant agreement.

Article 34 Repor ting and audit of eligible costs 1. Periodic repor ts shall be submitted to the Commission regarding eligible costs, financial interest yielded by pre-financing, and receipts in relation to the indirect action concerned and, where appropriate, a cer tificate on the financial statements, in accordance with the Financial Regulation and the Implementing Rules. The existence of co-financing in relation to the concerned action shall be repor ted and, where appropriate, certified at the end of the action. 2. Notwithstanding the Financial Regulation and the Implementing Rules, a cer tificate on the financial 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 action. However, for indirect actions of a duration of 2 years or less, not more than one certificate on the financial statements shall be requested from the par ticipant, at the end of the project. Cer tificates on the financial statements shall not be required for indirect actions entirely reimbursed by means of lump sums or f lat rates. 3. In the case of public bodies, research organisations, and higher and secondary education establishments, a certificate on the financial statements as required under paragraph 1 may be established by a competent public officer.

Subsection 2 Payme nt, dist r ibution, reco v er y and guarantees Article 36 Payment and distribution 1. The Community financial contribution shall be paid to the participants via the coordinator without undue delay. 2. The coordinator shall keep records making it possible to determine at any time the por tion of the Community funds that has been distributed to each par ticipant. The coordinator shall communicate that information to the Commission upon request.

Article 37 Recovery The Commission may adopt a recovery decision in accordance with the Financial Regulation.

Article 38 Risk avoidance mechanism

Article 35 Networks of Excellence 1. The work programme shall provide for the forms of grants to be used for Networks of Excellence. 2. Where the Community financial contribution to Networks of Excellence takes the form of a lump sum, it shall be calculated according to the number of researchers to be integrated in the Network of Excellence and the duration of the action. The unit value for lump sums paid shall be EUR 23 500 per year and per researcher. That amount shall be adjusted by the Commission in accordance with the Financial Regulation and the Implementing Rules. 3. The work programme shall establish the maximum number of participants and, where appropriate, the maximum number of researchers that may be used as the basis for the calculation of the maximum lump sum. However, par ticipants over and above the maxima for the establishment of the financial contribution may par ticipate as appropriate.

1. The financial responsibility of each participant shall be limited to its own debt, subject to paragraphs 2 to 5. 2. In order to manage the risk associated with non-recovery of sums due to the Community, the Commission shall establish and operate a participant guarantee fund (hereinafter `the Fund') in accordance with the Annex. Financial interest generated by the Fund shall be added to the Fund and shall ser ve exclusively for the purposes set out in point 3 of the Annex, without prejudice to point 4 thereto. 3. The contribution to the Fund by a par ticipant to an indirect action taking the form of a grant shall not exceed 5 % of the Community financial contribution due to the participant. At the end of the action the amount contributed to the Fund shall be returned to the participant, via the coordinator, subject to paragraph 4. 4. If the interest generated by the Fund is insufficient to cover sums due to the Community, the Commission may deduct from the amount to be returned to a par ticipant a maximum of 1 % of the Community financial contribution to it.


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Official Journal of the European Union Article 40 Joint ownership of foreground

30.12.2006

5. The deduction referred to in paragraph 4 shall not apply to public bodies, legal entities whose par ticipation in the indirect action is guaranteed by a Member State or an associated country, and higher and secondary education establishments; 6. The Commission shall verify ex-ante only the financial capacity of coordinators, and of par ticipants other than those referred to in paragraph 5 applying for a Community financial contribution in an indirect action in excess of EUR 500 000, unless there are exceptional circumstances, when, on the basis of information already available, there are justified grounds to doubt the financial capacity of these par ticipants. 7. The Fund shall be considered as a sufficient guarantee under the Financial Regulation. No additional guarantee or security may be requested from participants or imposed on them.

1. Where several par ticipants have jointly carried out work generating foreground and where their respective share of the work cannot be ascertained, they shall have joint ownership of such foreground. They shall establish an agreement regarding the allocation and terms of exercise of that joint ownership in accordance with the terms of the grant agreement. 2. Where no joint ownership agreement has yet been concluded, each of the joint owners shall be entitled to grant non-exclusive licenses to third parties, without any right to sublicence, subject to the following conditions: (a) prior notice must be given to the other joint owners;

CHAPTER III

(b) fair and reasonable compensation must be provided to the other joint owners. 3. Upon request, the Commission shall give guidance on possible matters to be included in the joint ownership agreement.

DISSEMINATION AND USE, AND ACCESS RIGHTS

SECTION 1

Foreground Article 41 Subsection 1 Ownership of foreground by specif ic groups Ownership Article 39 Ownership of foreground 1. Foreground arising from work carried out under indirect actions other than those referred to in paragraph 3 shall be the proper ty of the par ticipant carrying out the work generating that foreground. 2. If employees or other personnel working for a participant are entitled to claim rights to foreground, the par ticipant shall ensure that it is possible to exercise those rights in a manner compatible with its obligations under the grant agreement. 3. Foreground shall be the proper ty of the Community in the following cases: (a) coordination and suppor t actions consisting in a purchase of goods or services subject to the rules on public procurement set out in the Financial Regulation; (b) coordination and suppor t actions relating to independent experts. In the case of actions for the benefit of specific groups, Ar ticle 39(1) and Ar ticle 40(1) shall not apply. In such cases, foreground shall be jointly owned by the participants which are members of the specific group benefiting from the action, unless other wise agreed by those par ticipants. Where the owners of the foreground are not members of group, they shall ensure that the group is provided with all rights to that foreground required for the purposes of using disseminating it in accordance with the technical annex to grant agreement. that the and the

Article 42 Transfer of foreground 1. The owner of the foreground may transfer it to any legal entity, subject to paragraphs 2 to 5 and Ar ticle 43. 2. Where a participant transfers ownership of foreground, it shall pass on its obligations regarding that foreground to the assignee, including the obligation to pass them on to any subsequent assignee, in accordance with the grant agreement.


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3. Subject to its obligations concerning confidentiality, where the participant is required to pass on access rights, it shall give prior notice to the other par ticipants in the same action, together with sufficient information concerning the new owner of the foreground to permit them to exercise their access rights under the grant agreement. However, the other participants may, by written agreement, waive their right to individual prior notice in the case of transfers of ownership from one par ticipant to a specifically identified third par ty. 4. Following notification in accordance with the first subparagraph of paragraph 3, any other participant may object to any transfer of ownership on the ground that it would adversely affect their access rights. Where any of the other par ticipants demonstrate that their rights would be adversely affected, the intended transfer shall not take place until agreement has been reached between the par ticipants concerned. 5. Where appropriate, the grant agreement may provide that the Commission is to be notified in advance of any intended transfer of ownership or any intended grant of an exclusive licence to a third party which is established in a third country not associated to the Seventh Framework Programme.

Where a participant who is not the owner of the foreground invokes its legitimate interest, it must, in any given instance, show that it would suffer dispropor tionately great harm. 2. Where the foreground is capable of industrial or commercial application and its owner does not protect it, and does not transfer it to another participant, an affiliated entity established in a Member State or associated country or any other third party established in a Member State or associated country along with the associated obligations in accordance with Ar ticle 42, no dissemination activities may take place before the Commission has been informed. In such cases, the Commission may, with the consent of the participant concerned, assume ownership of that foreground and adopt measures for its adequate and effective protection. The par ticipant concerned may refuse consent only if it can demonstrate that its legitimate interests would suffer disproportionately great harm.

Article 45 Statement relating to Community f inancial suppor t 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 the foreground concerned was generated with the assistance of financial support from the Community. The terms of that statement shall be established in the grant agreement.

Article 43 Preser vation of European competitiveness and ethical principles The Commission may object to the transfer of ownership of foreground, or to the granting of an exclusive licence regarding foreground, to third par ties established in a third country not associated to the Seventh Framework Programme, if it considers that this is not in accordance with the interests of developing the competitiveness of the European economy or is inconsistent with ethical principles or security considerations. In such cases, the transfer of ownership or grant of exclusive licence shall not take place unless the Commission is satisfied that appropriate safeguards will be put in place.

Article 46 Use and dissemination 1. The par ticipants shall use the foreground which they own, or ensure that it is used. 2. it has to do grant Each par ticipant shall ensure that the ownership is disseminated as swiftly so the Commission may disseminate agreement may set out time-limits in foreground of which as possible. If it fails that foreground. The this respect.

Subsection 2 Protection, publication, dissemination and use Article 44 Protection of foreground 1. Where foreground is capable of industrial or commercial application, 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, of the other par ticipants in the indirect action concerned.

3. Dissemination activities shall be compatible with the protection of intellectual proper ty rights, confidentiality obligations, and the legitimate interests of the owner of the foreground. 4. Prior notice of any dissemination activity shall be given to the other participants concerned. Following notification, any of those participants may object if it considers that its legitimate interests in relation to its foreground or background could suffer dispropor tionately great harm. In such cases, the dissemination activity may not take place unless appropriate steps are taken to safeguard these legitimate interests.


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Official Journal of the European Union

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Access rights to background and foreground Article 47 Background covered Participants may define the background needed for the purposes of the indirect action in a written agreement and, where appropriate, may exclude specific background.

2. Access rights to background shall be granted to the other participants in the same indirect action, if it is needed to enable those participants to carry out their own work under that indirect action provided that the par ticipant concerned is entitled to grant them. Such access rights shall be granted on a royalty-free basis, unless otherwise agreed by all par ticipants before their accession to the grant agreement. However, RTD performers shall grant access rights to background on a royalty-free basis.

Article 48 Article 50 Principles Access rights for use 1. All requests for access rights shall be made in writing. 1. Par ticipants in the same indirect action shall enjoy access rights to foreground, if it is needed to use their own foreground. Subject to agreement, such access rights shall be granted either under fair and reasonable conditions or be royalty-free. 2. Par ticipants in the same indirect action shall enjoy access rights to background, if it is needed to use their own foreground provided that the participant concerned is entitled to grant them. Subject to agreement, such access rights shall be granted either under fair and reasonable conditions or be royalty-free. 3. An affiliated entity established in a Member State or associated country shall also have access rights, referred to in paragraphs 1 and 2, to foreground or background under the same conditions as the par ticipant to which it is affiliated, unless otherwise provided for in the grant agreement or consor tium agreement. 4. A request for access rights under paragraphs 1, 2 and 3 may be made up to one year after either of the following events: (a) the end of the indirect action; Article 49 Access rights for implementation of indirect actions 1. Access rights to foreground shall be granted to the other par ticipants in the same indirect action, if it is needed to enable those participants to carry out their own work under that indirect action. Such access rights shall be granted on a royalty-free basis. However, the par ticipants concerned may agree on a different time-limit. 5. Subject to the agreement of all the owners concerned, access rights to foreground shall be granted to a RTD performer, on fair and reasonable conditions to be agreed, for the purposes of pursuing fur ther research activities. (b) termination of par ticipation by the owner of the background or foreground concerned.

2. Unless other wise agreed by the owner of the foreground or background, access rights shall confer no entitlement to grant sub-licences. 3. Exclusive licences for foreground or background may be granted, subject to written confirmation by all the other par ticipants that they waive their access rights thereto. 4. Without prejudice to paragraph 3, any agreement providing access rights to foreground or background to par ticipants or third par ties shall be such as to ensure that potential access rights for other par ticipants are maintained. 5. Without prejudice to Ar ticles 49 and 50 and the grant agreement, participants in the same action shall inform each other as soon as possible of any limitation to the granting of access rights to background, or of any other restriction which might substantially affect the granting of access rights. 6. The termination of its par ticipation in an indirect action shall in no way affect the obligation of that participant to grant access rights to the remaining par ticipants in the same action under the terms and conditions established by the grant agreement.


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CHAPTER IV EUROPEAN INVESTMENT BANK

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6. RTD performers shall grant access on a royalty-free basis, or on fair and reasonable conditions to be agreed prior to the signing of the grant agreement, to background needed to use the foreground generated in the indirect action. Article 51 Additional provisions regarding access rights for use for `frontier ' research actions and for actions for the benef it of specif ic groups 1. Participants in the same `frontier ' research action shall enjoy royalty-free access rights to foreground and background for implementation or for the purposes of pursuing fur ther research activities. Access rights for use for purposes other than those of pursuing fur ther research activities shall be royalty free unless other wise provided in the grant agreement. 2. Where the specific group benefiting from the action is represented by a legal entity that par ticipates in the action in their place, that legal entity may grant a sub-licence, in respect of any access right granted to it, to those of its members which are established in a Member State or an associated country.

Article 52 1. The Community may award a contribution to the European Investment Bank (EIB) to cover the risk for loans granted or guarantees given by the EIB in suppor t of research objectives set out under the Seventh Framework Programme (the RiskSharing Finance Facility). 2. The EIB shall provide these loans or guarantees in accordance with the principles of fairness, transparency, impartiality and equal treatment. 3. The Commission has the right to object to the use of the Risk-Sharing Finance Facility for certain loans or guarantees, on terms to be defined in the grant agreement in accordance with the Work Programmes.
CHAPTER V ENTRY INTO FORCE

Article 53 This Regulation shall enter into force on the third day following its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States. Done at Brussels, 18 December 2006

For the European Parliament The President
J. BORRELL FONTELLES

For the Council The President
M. VANHANEN


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ANNEX PARTICIPANT GUARANTEE FUND

30.12.2006

1. The Fund will be managed by the Community represented by the Commission acting as executive agent on behalf of the participants, under conditions to be established by the model grant agreement. The Commission will entrust the financial management of the Fund either to the European Investment Bank or, in accordance with Ar ticle 14, point (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 that 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 par ticipant 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 on-going and the remaining par ticipants agree to implement it to the identical regarding its objectives, in accordance with Ar ticle 18(4). Amounts transfered 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 par ticipant. 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 Seventh Framework Programme 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 Seventh Framework Programme is complete, any sums outstanding from the Fund will be recovered by the Commission and entered into the budget of the Community, subject to decisions on the Eighth Framework Programme