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Procedure : 2001/0327(CNS)
Document stages in plenary
Document selected : A5-0205/2002

Texts tabled :

A5-0205/2002

Debates :

Votes :

Texts adopted :

P5_TA(2002)0357

Texts adopted
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Wednesday, 3 July 2002 - Strasbourg
EAEC framework programme (research 2002-2006) *
P5_TA(2002)0357A5-0205/2002

European Parliament legislative resolution on the amended proposal for a Council decision concerning the rules for the participation of undertakings, research centres and universities in the implementation of the framework programme 2002-2006 of the European Atomic Energy Community (Euratom) (COM(2001) 823 – C5&nbhy;0236/2002 – 2001/0327(CNS))

(Consultation procedure)

The European Parliament,

–   having regard to the Commission proposal and amended proposal to the Council (COM(2001) 725(1) and COM(2001) 823(2)),

–   having been consulted by the Council pursuant to Article 7 of the Euratom Treaty (C5&nbhy;0236/2002),

–   having regard to Rule 67 of its Rules of Procedure,

–   having regard to the report of the Committee on Industry, External Trade, Research and Energy (A5&nbhy;0205/2002),

1.  Approves the Commission proposal as amended;

2.  Calls on the Commission to alter its proposal accordingly, pursuant to Article 119, second paragraph, of the Euratom Treaty;

3.  Calls on the Council to notify Parliament should it intend to depart from the text approved by Parliament;

4.  Calls for initiation of the conciliation procedure under the Joint Declaration of 4 March 1975 if the Council intends to depart from the text approved by Parliament;

5.  Asks to be consulted again if the Council intends to amend the Commission proposal substantially;

6.  Instructs its President to forward its position to the Council and Commission.

Text proposed by the Commission   Amendments by Parliament
Amendments 1 and 2
Title
COUNCIL DECISION concerning the rules for the participation of undertakings, research centres and universities in the implementation of the framework programme 2002-2006 of the European Atomic Energy Community (Euratom)
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL concerning the rules for the participation of undertakings, research centres and universities in the implementation of the sixth framework programme (2002-2006) of the European Atomic Energy Community (Euratom)
(This amendment applies throughout).
Compromise amendment 30
Recital 2
(2)  These provisions must be in line with a coherent and transparent framework which takes full account of the objectives and characteristics of the instruments defined in Annex III to the specific programme "Nuclear Energy", adopted by Council Decision No …/200./Euratom , in order to guarantee the most efficient implementation possible.
(2)  These provisions must be in line with a coherent and transparent framework which takes full account of the objectives and characteristics of the instruments defined in Annex III to the specific programme "Nuclear Energy", adopted by Council Decision No …/200./Euratom , in order to guarantee the most efficient implementation possible, taking into account the need for easy access of participants through simplified procedures. This will be especially the case for SMEs, due to the participation of enterprise groupings.
Compromise amendment 31
Recital 8
(8)  Activities under the framework programme must comply with the financial interests of the Community and must safeguard those interests.
(8)  Activities under the sixth framework programme must comply with the financial interests of the Community and must safeguard those interests. The Commission"s responsibility for the implementation of the framework programme and its specific programmes also includes the financial aspects arising therefrom.
Compromise amendment 32
Article 2, points (a) to (o)
(a) "indirect action" means an RTDT activity undertaken by one or more participants by means of an instrument of the 2002-2006 framework programme;
(a) "indirect action" means an RTD activity undertaken by one or more participants by means of an instrument of the sixth framework programme;
(b) "RTDT activity" means one of the research and technological development activities, including demonstration activities, and training activities, described in Annex to the 2002-2006 framework programme;
(b) "RTD activity" means one of the research and technological development activities, including demonstration activities, and training activities, described in Annex to the sixth framework programme;
(c) "budget" means a financial plan estimating all the resources and expenditure needed to carry out an indirect action;
(c) "budget" means a financial plan estimating all the resources and expenditure needed to carry out an indirect action;
(d) "consortium" means all the participants in the same indirect action;
(d) "consortium" means all the participants in the same indirect action;
(da) "coordinator" means the participant appointed by participants in the same indirect action and accepted by the Commission, having specific additional obligations arising out of this Regulation and the contract;
(e) "contract" means a grant agreement concerning the performance of an indirect action establishing rights and obligations between the Community and the participants in that indirect action;
(e) "contract" means a grant agreement between the Community and the participants concerning the performance of an indirect action establishing rights and obligations between the Community and the participants on the one hand, and between the participants in that indirect action, on the other;
(ea) "consortium agreement" means an agreement that participants in an indirect action conclude amongst themselves for its implementation. Such an agreement shall not affect participants" obligations to the Community and to one another arising out of the Regulation and the contract;
(f) "legal entity" means any natural person, or any legal person created under the national law of its place of establishment, under Community law, or international law, having legal personality and being entitled to have rights and obligations of any kinds in its own name;
(f) "legal entity" means any natural person, or any legal person created under the national law of its place of establishment, under Community law, or international law, having legal personality and being entitled to have rights and obligations of any kinds in its own name;
(g) "Associated State" means a State which is party to an international agreement with the Community, under the terms or on the basis of which it makes a financial contribution to all or part of the budget of the 2002-2006 framework programme;
(g) "Associated State" means a State which is party to an international agreement with the Community, under the terms or on the basis of which it makes a financial contribution to all or part of the budget of the sixth framework programme;
(h) "Associated candidate country" means an Associated State acknowledged by the Community as a candidate for accession to the European Union;
(h) "Associated candidate country" means an Associated State acknowledged by the Community as a candidate for accession to the European Union;
(i) "European Economic Interest Grouping" (EEIG) means any legal entity established in accordance with Council Regulation (EEC) No 2137/85;
(i) "European Economic Interest Grouping" (EEIG) means any legal entity established in accordance with Council Regulation (EEC) No 2137/85;
(j) "instruments" means the mechanisms for indirect Community intervention as laid down in Annex III to the specific programme "Nuclear Energy";
(j) "instruments" means the mechanisms for indirect Community intervention as laid down in Annex III to the specific programme "Nuclear Energy";
(k) "irregularity" means any infringement of a provision of Community law or any breach of a contractual obligation resulting from an act or omission by a legal entity which has, or would have, the effect of prejudicing the general budget of the Communities or budgets managed by them through unjustified expenditure;
(k) "irregularity" means any infringement of a provision of Community law or any breach of a contractual obligation resulting from an act or omission by a legal entity which has, or would have, the effect of prejudicing the general budget of the Communities or budgets managed by them through unjustified expenditure;
(l) "international organisation" means any legal entity resulting from an 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;
(l) "international organisation" means any legal entity resulting from an 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;
(m) "international European interest organisation" means an international organisation, the majority of whose members are European Community Member States or Associated States, and whose principal objective is to promote scientific and technological cooperation in Europe;
(m) "international European interest organisation" means an international organisation, the majority of whose members are European Community Member States or Associated States, and whose principal objective is to promote scientific and technological cooperation in Europe;
(n) "participant" means a legal entity contributing to an indirect action and having rights and obligations with regard to the Community under the terms of this Decision or according to the contract;
(n) "participant" 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 or according to the contract;
(o) "third country" means a State that is neither a Member State nor an Associated State;
(o) "third country" means a State that is neither a Member State nor an Associated State;
(oa) "work programme" means a plan drawn up by the Commission for the implementation of a specific programme;
(ob) "joint programme of activities" covers the actions undertaken by participants which are required for implementing a network of excellence;
(oc) "implementation plan" covers all actions by participants in an integrated project;
(od) "Industrial States" are those third countries that are members of G7;
(oe) "public body" means a public sector body or a legal entity governed by private law with a public service mission providing adequate financial guarantees.
Compromise amendment 33
Article 5, paragraph 5
5.   Depending on the type of instrument deployed or the objectives of the RTDT activity, the work programme for the specific programme may, if necessary, restrict participation in an indirect action to legal entities according to their activities or types.
5.  Work programmes may specify and restrict participation in an indirect action according to their type, according to the instrument deployed and to take into account specific objectives of the framework programme.
Compromise amendment 34
Article 6, paragraphs 2 to 5
2.  For networks of excellence and integrated projects, the minimum number of participants shall not be less than three independent legal entities established in three different Member States or Associated States, of which at least two shall be Member States or Associated candidate countries.
2.  Subject to paragraph 3, the minimum number of participants established by the work programmes shall not be fewer than three independent legal entities established in three different Member States or Associated States, of which at least two shall be established in a Member State or associated candidate country.
3.  Specific support actions and actions in favour of human resources and mobility, except for research training networks, may be executed by a single legal entity.
3.  Specific support actions and actions in favour of human resources and mobility, except for research training networks, may be executed by a single legal entity.
When the work programme establishes a minimum number that is greater than or equal to two legal entities established in as many Member States or Associated States, this number shall be fixed according to the conditions provided for in paragraph 4.
4.  For instruments other than those covered in paragraphs 2 and 3, the minimum number of participants shall not be less than two independent legal entities established in two different Member States or Associated States, of which at least one shall be a Member State or an Associated candidate country.
5.  An EEIG or any legal entity established in a Member State or Associated State which is made up of independent legal entities meeting the criteria of this Decision may be the sole participant in an indirect action, provided that its composition is in accordance with the conditions fixed pursuant to the provisions of paragraph 1 to 4.
5.  An EEIG or any legal entity established in a Member State or Associated State according to its national law and which is made up of independent legal entities meeting the criteria of this Regulation may be the sole participant in an indirect action, provided that its composition is in accordance with the conditions fixed pursuant to the provisions of paragraphs 1 and 2.
Compromise amendment 35
Article 7
1.  Subject to other restrictions that may be specified in the work programme of the specific programme, any legal entity established in a third country may participate in RTDT activities, over and above the minimum number of participants fixed in accordance with the terms of Article 6, if such participation is provided for under an RTDT activity or if it is necessary for carrying out the indirect action.
1.  Subject to other restrictions that may be specified in the work programme of the specific programme, over and above the minimum number of participants fixed in accordance with the terms of Article 6, any legal entity established in a third country may participate in RTD activities foreseen under the heading "Focusing and Integrating Community Research" of the sixth framework programme. Detailed provisions for this participation may be set out in the relevant work programme. The involvement of participants from Industrial States may be subject to arrangements of a reciprocal nature, which could take the form of a scientific and technological agreement.
2.  Any legal entity established in a third country may receive a Community financial contribution, if provision is made for this under an RTDT activity or if it is essential for carrying out the indirect action.
2.  Any legal entity established in a third country may receive a Community financial contribution, if provision is made for this purpose under an RTD activity or if it is essential for carrying out the indirect action.
Amendment 36
Article 9, paragraph 2, subparagraph 1
2.  At the time when they present their proposal, participants shall have at least the potential resources needed to carry out the indirect action, and shall specify the relevant source.
2.  At the time when they present their proposal, participants shall have at least the potential resources needed to carry out the indirect action, and shall be able to specify the relevant source of those funds made available by third parties, including public authorities.
Compromise amendment 37
Article 10
1.  Proposals for indirect actions shall be submitted under the terms of calls for proposals published in the Official Journal of the European Communities and, as far as possible, widely advertised by other means.
1.  Proposals for indirect actions shall be submitted under the terms of calls for proposals. These terms are set out in the work programmes.
Calls for proposals may involve a two-stage evaluation procedure. In this case, following a positive evaluation of an outline proposal in the first stage, the proposers concerned shall be requested to submit a complete proposal in the second stage.
2.  Paragraph 1 shall not apply to:
2.  Paragraph 1 shall not apply to:
(a)  Specific support actions for the activities of legal entities identified in the work programme;
(a)  Specific support actions for the activities of legal entities identified in the work programme;
(b)  Specific support actions consisting of a purchase or service governed by the terms applicable to public procurement procedures;
(b)  Specific support actions consisting of a purchase or service governed by the terms applicable to public procurement procedures;
(c)  Specific support actions with particular characteristics and value to the objectives and the scientific and technological content of the specific programme, for which grant applications may be submitted to the Commission if so provided for in the work programme of the specific programme and where such a request does not fall within the scope of an open call for proposals.
(c)  Specific support actions with particular characteristics and value to the objectives and the scientific and technological content of the specific programme, for which grant applications may be submitted to the Commission if so provided for in the work programme of the specific programme and where such a request does not fall within the scope of an open call for proposals.
(d)  Specific support actions covered by Article 12.
(d)  Specific support actions covered by Article 12.
3.  Calls for expressions of interest may be issued prior to calls for proposals in order to enable the Commission to identify and evaluate precise objectives and requirements, without prejudice to any decisions it may subsequently take.
3.  The Commission may issue calls for expressions of interest in order to assist it in identifying precise objectives and requirements that may be included in the work programmes and in the calls for proposals. This shall be without prejudice to any subsequent decision adopted by the Commission regarding the evaluation and selection of proposals for indirect actions.
3a. Calls for expressions of interest and calls for proposals shall be published in the Official Journal of the European Communities and shall also be given the widest possible publicity, in particular using the Internet pages of the sixth framework programme and through specific information channels such as the national contact points set up by the Member States and the Associated States.
Compromise amendment 38
Article 11
1.  The proposals for indirect actions covered in Article 10(1) and Article 10(2)(c) shall be evaluated according to the following criteria:
1.  The proposals for indirect actions covered in Article 10(1) and Article 10(2)(c) shall be evaluated according to the following criteria, where applicable:
(a)  Relevance to the objectives of the specific programme;
(a) scientific and technological excellence and the degree of innovation;
(b)  Scientific and technological excellence;
(b) ability to carry out the indirect action successfully and to ensure its efficient management, assessed in terms of resources and competencies and including the organisational modalities foreseen by the participants;
(c)  Added value to the Community, including the critical mass of resources mobilised, the expected impact or contribution to Community policies;
(c) relevance to the objectives of the specific programme;
(d)  Quality of the plan for the use or dissemination of the knowledge, potential for promoting innovation, and ability to manage intellectual property;
(d)  European added value, critical mass of resources mobilised and contribution to Community policies;
(e)  The ability to successfully carry out the indirect action, assessed in terms of resources, competencies and organisation.
(e) quality of the plan for using and disseminating the knowledge, potential for promoting innovation, and clear plans for the management of intellectual property.
2.  In applying paragraph 1(c), the following criteria will also be taken into account:
2.  In applying paragraph 1(d), the following criteria will also be taken into account:
(a)  For networks of excellence, the scope and degree of the effort to achieve integration and the network's capacity to promote excellence beyond its membership, as well as the prospects of the long-term integration of their research capabilities and resources after the end of the period covered by the Community financial contribution;
(a)  For networks of excellence, the scope and degree of the effort to achieve integration and the network's capacity to promote excellence beyond its membership, as well as the prospects of the durable integration of their research capabilities and resources after the end of the period covered by the Community financial contribution;
(b)  For integrated projects, the scale of ambition of the objectives and the capacity of the resources to make a significant contribution to reinforcing competitiveness or solving societal problems;
(b)  For integrated projects, the scale of ambition of the objectives and the capacity of the resources to make a significant contribution to reinforcing competitiveness or solving societal problems;
(c)  For integrated initiatives relating to infrastructure, the prospects of the initiative's continuing long term after the end of the period covered by the Community financial contribution.
(c)  For integrated initiatives relating to infrastructure, the prospects of the initiative's continuing long term after the end of the period covered by the Community financial contribution.
2a. In applying paragraphs 1 and 2, the following additional criteria can be taken into account:
(a) synergies with education at all levels;
(b) readiness and capacity to engage with actors beyond the research community and the public as a whole, to help spread awareness and knowledge and to explore the wider societal implications of the proposed work;
(c) activities to increase the role of women in research.
3.  The work programme of the specific programme shall determine, in accordance with the type of instruments deployed or the objectives of the RTDT activity, which of the criteria set out in paragraph 1 shall be applied by the Commission. These criteria, and those of paragraph 2, will be clarified or complemented, particularly to take account of the contribution of the proposals for indirect actions to improve information for and dialogue with society as well as to increase the role of women in research.
3.  Calls for proposals shall determine, in accordance with the type of instruments deployed or the objectives of the RTD activity, how the criteria set out in paragraph 1 shall be applied by the Commission. These criteria, and those of paragraphs 2 and 2a, may be specified or complemented in the work programme, in particular to take account of the contribution of the proposals for indirect actions to improve information for and dialogue with society and to promote competitiveness of SMEs.
4.  Any proposal for an indirect action which contravenes fundamental ethical principles, particularly those set out in the Charter of Fundamental Rights of the European Union, or which does not fulfil the conditions set out in the work programme or in the call for proposals may be excluded from the evaluation and selection procedure at any time.
Any participant having committed an irregularity in the implementation of an indirect action may be excluded from the evaluation and selection procedure at any time.
4.  A proposal for an indirect action which contravenes fundamental ethical principles or which does not fulfil the conditions set out in the work programme or in the call for proposals shall not be selected.Such a proposal may be excluded from the evaluation and selection procedures at any time.
Any participant having committed an irregularity in the implementation of an indirect action may be excluded from the evaluation and selection procedure at any time.
5.  The Commission shall evaluate and select the proposals for indirect actions in accordance with transparent, fair and impartial procedures laid down in an evaluation manual, which it will make public.
6.  The Commission shall evaluate the proposals with the help of independent experts appointed in accordance with the provisions of Article 12. For some specific support actions, particularly those covered by Article 10(2), independent experts shall be appointed only if the Commission deems it appropriate.
6.  The Commission shall evaluate the proposals with the help of independent experts appointed in accordance with the provisions of Article 12. For some specific support actions, particularly those covered by Article 10(2), independent experts shall be appointed only if the Commission deems it appropriate. The Commission shall publish the list of the experts selected.
All proposals submitted for indirect actions shall be treated confidentially by the Commission, which shall ensure that the principle of confidentiality is upheld in all procedures and that the independent experts are bound by this.
Unless otherwise specified in the call for proposals, proposals shall not be evaluated anonymously.
6a. Proposals for indirect actions shall be selected on the basis of the evaluation results and having regard to the Community funds available. The Commission shall adopt and publish guidelines setting out detailed provisions for evaluation and selection procedures.
Compromise amendment 39
Article 12
1.  The Commission shall designate independent experts to assist with the evaluation required under the 2002-2006 framework programme and the specific programme, and also for the assistance referred to in Article 18(6) and the second subparagraph of Article 26(1).
1.  The Commission will designate independent experts to assist with the evaluation required under the sixth framework programme and the specific programmes, and also for the assistance referred to in Article 11(6) and the second subparagraph of Article 19(1).
It may in addition set up groups of independent experts to advise on the implementation of its research policy.
It may in addition set up groups of independent experts to advise on the implementation of Community research policy.
2.  The Commission shall appoint the independent experts in accordance with one of the following procedures:
2.  The Commission will appoint the independent experts in accordance with one of the following procedures:
(a)  The independent experts appointed by the Commission for the evaluations provided for in Articles 5 and 6 of the 2002-2006 framework programme and Article 7(2) of the specific programme shall be very high-ranking individuals from the fields of science, industry or politics with significant experience in research, research policy or research programme management at national or international level.
(a)  The independent experts appointed by the Commission for the evaluations provided for in Article 7 of the sixth framework programme and its specific programmes shall be very high-ranking individuals from the fields of science, industry or politics with significant experience in research, research policy or research programme management at national or international level.
(b)  The independent experts appointed by the Commission to assist in the evaluation of proposals for networks of excellence and integrated projects and in monitoring the projects selected and carried out shall be individuals from the fields of science or industry with the highest level of knowledge and who are internationally recognised authorities in the relevant specialist area.
(b)  The independent experts appointed by the Commission to assist in the evaluation of proposals for networks of excellence and integrated projects and in monitoring the projects selected and carried out shall be individuals from the fields of science or industry and/or with experience in the field of innovation and also with the highest level of knowledge and who are internationally recognised authorities in the relevant specialist area.
(c)  The independent experts appointed by the Commission to form the groups referred to in the second subparagraph of paragraph 1 shall be professionals renowned for their knowledge, skills and top-level experience in the field or regarding the issues to be dealt with by the group.
(c)  The independent experts appointed by the Commission to form the groups referred to in the second subparagraph of paragraph 1 shall be professionals renowned for their knowledge, skills and top-level experience in the field or regarding the issues to be dealt with by the group.
(d)  For cases other than those covered by subparagraphs (a), (b) and (c), and in order to take the various operators in the research sector into consideration in a balanced manner, the Commission shall appoint independent experts with skills and knowledge appropriate to the tasks assigned to them. To this end, it shall rely on calls for applications from individuals or calls addressed to research institutions with a view to establishing lists of suitable candidates, or may, if it deems appropriate, select any individual with the appropriate skills from outside the lists.
(d)  For cases other than those covered by subparagraphs (a), (b) and (c), and in order to take the various operators in the research sector into consideration in a balanced manner, the Commission shall appoint independent experts with skills and knowledge appropriate to the tasks assigned to them. To this end, it shall rely on calls for applications from individuals or calls addressed to research institutions with a view to establishing lists of suitable candidates, or may, if it deems appropriate, select any individual with the appropriate skills from outside the lists.
3.  When appointing an independent expert, the Commission shall ensure that the expert will not be faced with a conflict of interests in relation to the matter on which he is required to give an opinion. To this end, the Commission shall require experts to sign a declaration to the effect that there is no such conflict of interest at the time of their appointment and promising to inform the Commission if one should arise in the course of their duties.
3.  When appointing an independent expert, the Commission will ensure that the expert is not faced with a conflict of interests in relation to the matter on which he is required to give an opinion. To this end, the Commission shall require experts to sign a declaration to the effect that there is no such conflict of interest at the time of their appointment and undertaking to inform the Commission if one should arise in the course of their duties.
Compromise amendment 40
Article 13
Contracts
Contracts and Consortium Agreements
1.  Contracts for the indirect action proposals selected shall be drawn up on the basis of the appropriate model contract established by the Commission in accordance with the provisions of the 2002-2006 framework programme and this Decision, account being taken, as far as is required, of the characteristics of the various instruments concerned.
1.  The Commission shall conclude a contract for each proposal selected for an indirect action. This contract shall be drawn up in accordance with the provisions of the sixth framework programme, and in accordance with this Regulation, taking into account the characteristics of the various instruments concerned.
The Commission, after conferring with interested parties from the Member States and the Associated States, will elaborate a model contract to facilitate the drawing up of contracts.
2.  The contract shall establish the rights and obligations of participants in accordance with this Decision, and in particular the arrangements for the technical, technological and financial monitoring of the indirect action, for the updating of its objectives, for changes in consortium membership, for the payment of the Community financial contribution and, if applicable, conditions for the eligibility of any necessary expenditure.
2.  The contract shall establish the rights and obligations of all participants in accordance with this Regulation, and in particular the provisions for the scientific, technological and financial monitoring of the indirect action, for the updating of its objectives, changes in consortium membership, the payment of the Community financial contribution and, if applicable, conditions for the eligibility of any necessary expenditure.
The contract shall establish rules for dissemination and use of knowledge and results in accordance with Title II, Chapter 2 of the Treaty.
The contract shall establish rules for dissemination and use of knowledge and results in accordance with Title II, Chapter 2 of the Treaty.
The contract, which shall be concluded between the Commission and all participants in an indirect action, shall enter into force on signature by the Commission and the coordinator. The other participants identified in the contract shall accede to it in accordance with its modalities and shall enjoy the rights and assume the obligations of participants.
Any participant joining an ongoing indirect action shall accede to the contract and enjoy the rights and assume the obligations of participants towards the Community.
3.  In order to ensure the protection of the financial interests of the Community, appropriate penalties shall be included in the contracts.
3.  In order to ensure the protection of the financial interests of the Community, appropriate penalties shall be included in the contracts, as defined inter alia in Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities" financial interests(1).
3a. Participants in an indirect action shall conclude a consortium agreement, unless otherwise specified in the call for proposals.
The Commission shall publish non-binding guidelines on points that may be addressed by the consortium agreement, such as:
- the internal organisation of the consortium;
.
- settlement of internal disputes, pertaining to the consortium agreement.
To this end the Commission shall confer with interested parties from the Member States and the Associated States.
____________________________
(1). OJ L 312, 23.12.1995, p. 1.
Compromise amendment 41
Article 14
1.  In accordance with the terms of the contract, and with its own organisation arrangements, the consortium shall ensure the technical implementation of the indirect action, with the participants being jointly and severally liable.
1.   The consortium shall implement the indirect action and shall take all necessary and reasonable measures to that end.
2.  The Community financial contribution to an indirect action shall be paid, in accordance with the arrangements stipulated in the contract, to the participant designated by the consortium and approved by the Commission.
The Community financial contribution shall be paid to the coordinator. The coordinator shall administer the Community financial contribution regarding its allocation between participants and activities in accordance with the contract and with decisions taken by the consortium according to the internal procedures established in the consortium agreement.
That participant shall administer the Community financial contribution according to decisions taken by the consortium regarding its allocation to participants and activities.
Participants shall inform the Commission of any event, including the modification of the consortium agreement, which might affect the implementation of the indirect action and the rights of the Community.
3.  Subject to the arrangements provided for in the contract based on the type of the instrument and the extent of the contribution made by participants:
2.  Technical implementation of the indirect action shall be the collective responsibility of the participants. Each participant shall also be liable for the use of the Community financial contribution in proportion to his share of the project up to a maximum of the total payments he has received.
Should a participant breach the contract and should the consortium not make good this breach, the Commission may, as a last resort and if all other approaches have been explored, hold the participants liable under the following conditions:
(a) each participant shall bear unlimited joint and several liability for the use made of the Community financial contribution allocated in accordance with the second subparagraph of paragraph 2, except for the part allocated to the participants referred to in subparagraph (b);
(a)  Independently of the appropriate action it shall take against the defaulting participant, the Commission shall require the remaining participants to implement the indirect action.
(b) a participant who cannot for legal reasons be held jointly and severally liable shall be liable only for that part of the Community financial contribution allocated specifically to it in accordance with paragraph 2.
(b)  Should the implementation be impossible or should the remaining participants refuse to comply with subparagraph (a), the Commission may terminate the contract and recover the Community financial contribution. When investigating the financial disadvantage, the Commission shall take into account the work already undertaken and results obtained, thereby establishing the debt.
(c)  For the part of the debt established according to subparagraph (b) that is owed by the defaulting participant, the Commission shall distribute it among the remaining participants, on the basis of each participant's share of the expenses accepted and up to the amount of the Community financial contribution each participant is entitled to receive.
Where a participant is an international organisation, a public body or a legal entity whose participation in the indirect action is guaranteed by a Member State or an Associated State, this participant is solely responsible for its own debt and shall not bear the debt of any other participant.
4.  The Commission shall have recourse to the liability referred to in paragraph 3(a) only if the damage incurred by the Community has not been rectified by either the participant at fault or the consortium, on its own initiative, within a reasonable period of time.
3.  Paragraph 2 shall not apply to indirect actions implemented by means of instruments such as specific research projects for SMEs, actions to promote and develop human resources and mobility and, when duly justified, specific support actions.
3a. The coordinator shall keep accounts making it possible to determine at any time what portion of the Community funds has been allocated to each participant for the purposes of the project. It shall communicate that information to the Commission every year.
5.  When several legal entities are grouped in a common legal entity acting as a single participant in accordance with Article 6(5), that legal entity shall take on the duties outlined in paragraphs 1 and 2 of this Article and shall be liable to the Community, notwithstanding the arrangements signed between the legal entities forming the common legal entity.
4.  When several legal entities are grouped in a common legal entity acting as a single participant in accordance with Article 6(5), that legal entity shall take on the duties set out in paragraphs 1, 2(a) and 2(b). The liability of its members shall be defined according to the law under which this common legal entity was established.
Compromise amendment 42
Article 15
In accordance with Annex III to the framework programme, the Community financial contribution may take three distinct forms, as follows:
1.  In accordance with Annex III to the sixth framework programme, the Community financial contribution may take the following forms:
(a)  For networks of excellence, it shall take the form of a grant for integration, the amount of which is determined in relation to the value of the capacities and resources which all the participants propose to integrate. It shall complement the resources deployed by the participants in order to carry out the joint programme of activities.
(a)  For networks of excellence, it shall take the form of a fixed grant for integration, on the basis of the joint programme of activities. The amount of that grant shall be calculated taking into account the degree of integration, the number of researchers that all participants intend to integrate, the characteristics of the field of research concerned and the joint programme of activities. It shall be used to complement the resources deployed by the participants in order to carry out the joint programme of activities.
The contribution shall be paid with regard to the execution of the joint programme of activities and on the basis of those expenses relating to it which are in addition to those borne by the participants themselves and which are certified by an external auditor or, in the case of public legal entities, a competent public officer.
This grant shall be paid out on the basis of results, following the ongoing execution of the joint programme of activities, and on condition that its expenses, which are to be certified by an external auditor, or in the case of public entities, a competent public officer, are greater that the grant itself.
(b)  For some actions to promote human resources and mobility and some specific support actions, except for the indirect actions covered by Article 10(2)(b), it may take the form of a lump sum payment.
(b)  For some actions to promote human resources and mobility and some specific support actions, except for the indirect actions covered by Article 10(2)(b), it may take the form of a lump sum payment.
(c)  For integrated projects and the other instruments, except for those covered by (a) and (b) and indirect actions covered by Article 10(2)(b), it shall take the form of a grant to the budget, calculated as a percentage of the budget allocated by the participants to carry out the indirect action, adapted according to the type of activity.
(c)  For integrated projects and the other instruments, except for those covered by points (a) and (b) and indirect actions covered by Article 10(2)(b), it shall take the form of a grant to the budget, calculated as a percentage of the budget established by the participants to carry out the indirect action, adapted according to the type of activity and taking into account the cost model used by the participant concerned.
The contract shall specify the expenses needed to implement the indirect action, which have to be certified by an external auditor or, in the case of public legal entities, a competent public officer.
The expenses needed to implement the indirect action have to be certified by an external auditor or, in the case of public legal entities, a competent public officer.
1a. Eligible expenses shall be defined in accordance with the first subparagraph of Article 13(2) and will meet the following conditions:
- they must be actual, economic and necessary for the implementation of the indirect action;
- they must be determined in accordance with the usual accounting principles of the individual participant;
- they must be recorded in the accounts of the participants or, in the case of the resources of third parties referred to in the last subparagraph of Article 9(2), in the corresponding financial documents of those third parties;
- they shall be exclusive of indirect taxes, duties and interest and may not give rise to profit.
.The contract may lay down average rates by type of expenditure or pre-set lump sums as well as, with the agreement of the participants, a value by activity which shall be closely approximate to the expenses incurred.
By derogation from the actual cost principle and with the agreement of the participants, the contract may lay down average rates of Community financial participation by type of expenditure or pre-set lump sums, as well as a value by activity which shall be approximate to the expenses envisaged.
1b. Costs for management of the consortium shall be reimbursed up to 100% of the costs incurred and shall include the cost of audit certificates. In this case legal entities which participate in the indirect action on an additional cost basis may claim the full costs they have incurred for management, in so far as they can produce detailed evidence of them. The contracts shall lay down a maximum percentage of management costs in relation to the Community contribution. A share of no more than 7% shall be reserved for management costs by the consortium.
Compromise mendment 43
Article 16
1.  Within the limits of the Community financial contribution and regardless of the instrument, the membership of a consortium may, on its own initiative or in execution of the contract, be modified with the agreement of the Commission, and in particular be extended to include any legal entity contributing to the implementation of the indirect action.
1.  A consortium may modify its membership on its own initiative, and may in particular extend it to include any legal entity contributing to the implementation of the indirect action.
With the exception of the changes described in paragraph 2, the consortium shall identify new legal entities on such terms as it deems appropriate, or in accordance with the contract.
With the exception of the changes described in paragraph 2, the consortium shall identify new legal entities on such terms as it deems appropriate, or in accordance with the contract.
The consortium must notify any change of its membership to the Commission, which may object within 6 weeks of the notification. New participants shall accede to the contract according to the terms of Article 13(2).
2.  The joint programme of activities for a network of excellence or the implementation plan for an integrated project shall specify which changes in the membership of the consortium shall require the prior publication of a competitive call.
2.  The joint programme of activities for a network of excellence or the implementation plan for an integrated project shall specify which changes in the membership of the consortium shall require the prior publication of a competitive call.
The consortium shall publish the competitive call and advertise it widely using specific information support, particularly Internet sites on the 2002-2006 framework programme, the specialist press and brochures.
The consortium shall publish the competitive call and advertise it widely using specific information support, particularly Internet sites on the sixth framework programme, the specialist press and brochures, and the national contact points set up by the Member States and Associated States for information and support.
The consortium shall evaluate offers:
The consortium shall evaluate offers:
(a) in the light of the criteria which governed the evaluation and selection of the indirect action, defined according to the terms of Article 11(3) and (4);
(a) in the light of the criteria which governed the evaluation and selection of the indirect action, defined according to the terms of Article 11(3) and (4) ;
(b) with the assistance of independent experts appointed by the consortium on the basis of the criteria described in Article 12(2)(b).
(b) with the assistance of independent experts appointed by the consortium on the basis of the criteria described in Article 12(2)(b).
In accordance with paragraph 1, the Commission may object if and when the consortium proposes, following this evaluation, to extend its membership to new participants.
The subsequent modification of the consortium shall follow the procedure established in the third subparagraph of paragraph 1.
Compromise amendment 44
Article 17, paragraph 2
It shall do so by way of a call for proposals, restricted, if necessary, to indirect actions under way, after the termination of an evaluation conducted in accordance with Article 11.
It shall do so in the case of the indirect actions referred to in Article 10(1) and (2)(c) by way of a call for supplementary proposals, which the Commission shall publish and advertise in accordance with Article 10(3a) and which may be restricted, if necessary, to indirect actions already under way. The Commission shall evaluate and select such proposals in accordance with Article 11.
Compromise amendment 45
Article 18, paragraph 2
The consortium shall evaluate and select the applications received in accordance with the principles of transparency, fairness and impartiality and also with the terms stipulated in the contract.
The consortium shall evaluate and select any application received from third parties in accordance with the principles of transparency, fairness and impartiality and also with the terms stipulated in the contract.
Compromise amendment 46
Article 19
Technical, technological and financial monitoring and audits
Scientific, technological and financial monitoring and audits
1.  The indirect actions to which the Community contributes shall be periodically evaluated by the Commission on the basis of progress reports which shall also cover the implementation of the plan for the use or dissemination of knowledge submitted by the participants in accordance with the terms of the contract.
1.  The indirect actions to which the Community contributes shall be periodically evaluated by the Commission on the basis of progress reports which shall also cover the implementation of the plan for the use or dissemination of knowledge submitted by the participants in accordance with the terms of the contract.
In monitoring the networks of excellence, the integrated projects and, where necessary, other indirect actions, the Commission shall be assisted by independent experts appointed in accordance with Article 12(2).
In monitoring the networks of excellence, the integrated projects and, where necessary, other indirect actions, the Commission shall be assisted by independent experts appointed in accordance with Article 12(2).
The Commission shall ensure that all the information which it receives on pre-existing know-how and on knowledge expected or acquired during the course of an indirect action is treated confidentially.
2.  In accordance with the contract, the Commission shall take any useful steps to ensure that the objectives of the indirect action are achieved with proper regard for the financial interests of the Community. The Commission may, where necessary for the sake of these interests, adjust the Community financial contribution or suspend the indirect action if the terms of this Decision or of the contract have been infringed.
2.  In accordance with the contract, the Commission shall take any useful steps to ensure that the objectives of the indirect action are achieved with proper regard for the financial interests of the Community. The Commission may, where necessary for the sake of these interests, adjust the Community financial contribution or suspend the indirect action if the terms of this Regulation or of the contract have been infringed.
3.  The Commission, or any representative authorised by it, shall have the right to carry out technical, technological and financial audits on the participants, in order to ensure that the indirect action is being or has been performed under the conditions claimed and in accordance with the terms of the contract.
3.  The Commission, or any representative authorised by it, shall have the right to carry out scientific, technological and financial audits on the participants, in order to ensure that the indirect action is being or has been performed under the conditions claimed and in accordance with the terms of the contract.
The contract shall specify the conditions under which participants may object to a technological audit of the use and dissemination of the knowledge being carried out by certain authorised representatives of the Commission.
4.  Pursuant to Article 160C of the Treaty, the Court of Auditors may check on the use of the Community"s financial contribution, on the basis of its own rules.
4.  Pursuant to Article 160C of the Treaty, the Court of Auditors may verify the use of the Community"s financial contribution.
Compromise amendment 47
Article 19 a (new)
Article 19a
Information made available to Member States and Associated States
The Commission shall make available to any Member State or Associated State its useful information on knowledge arising from work carried out in an indirect action upon request, provided that such information is relevant to public policy, unless the participants provide a reasoned case against doing so.
Under no circumstances shall such availability confer any rights or obligations of the Commission and participants, as set out in Articles 20 to 27, on Member States or Associated States receiving such information.
Unless such general information becomes public or is made available by the participants or has been communicated without any confidentiality restrictions, Member States and Associated States shall comply with the Commission"s obligations on confidentiality as established by this Regulation.
Amendment 28
Article 23, paragraph 1, subparagraph 2
The base rate for the Community financial contribution shall not exceed 17.5% over the duration of the 2002-2006 Framework programme.
The base rate for the Community financial contribution shall not exceed 24% over the duration of the sixth framework programme.
Amendment 29
Article 23, paragraph 2, indent (a)
(a) the capital related expenditures of specifically defined projects to which priority status has been awarded by that committee, at a uniform rate equal to 37.5%;
(a) the capital related expenditures of specifically defined projects of direct relevance to ITER, at a rate higher than 23%;

(1) OJ C 75 E, 26.3.2002, p. 333.
(2) OJ C 103 E, 30.4.2002, p. 331.

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