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Project: 101162282 — METAMORPHOSIS — HORIZON-MSCA-2023-CITIZENS-01 \&mM®SWksT2 d • • i 1 * a + b+c + d+ e+ f+ g * ht+ i+j+ k
X - [short name associated partner]
Total consortium
The consortium hereby confirms that:
The information provided is complete, reliable and true.
Trie lump sum contributions declared are Eligible (in particular, the work packages have been completed and the work has been properly implemented and/or the results were achieved; see Article 6).
The proper implementation of the action/achievement of the results can be substantiated by adequate records and supporting documentation that will be produced upon request or in the context of checks, reviews, audits and investigations (see Articles 19,21 and 25).
H] Associated with document Ret. Ares(2024)4223833 - 12/06/2024
ANNEX 5
SPECIFIC RULES
CONFIDENTIALITY AND SECURITY (— ARTICLE 13)
Sensitive information with security recommendation
Sensitive information with a security recommendation must comply with the additional
requirements imposed by the granting authority.
Before starting the action tasks concerned, the beneficiaries must have obtained all approvals
or other mandatory documents needed for implementing the task. The documents must be
kept on file and be submitted upon request by the coordinator to the granting authority. If they
are not in English, they must be submitted together with an English summary.
For requirements restricting disclosure or dissemination, the information must be handled in
accordance with the recommendation and may be disclosed or disseminated only after written
approval from the granting authority.
EU classified information
If E U classified information is used or generated by the action, it must be treated in
accordance with the security classification guide (SCG) and security aspect letter (SAL) set
out in Annex 1 and Decision 2015/4441 and its implementing rules — until it is declassified.
Deliverables which contain E U classified information must be submitted according to special
procedures agreed with the granting authority.
Action tasks involving E U classified information may be subcontracted only with prior
explicit written approval from the granting authority and only to entities established in an E U
Member State or in a non-EU country with a security of information agreement with the E U
(or an administrative arrangement with the Commission).
E U classified information may not be disclosed to any third party (including participants
involved in the action implementation) without prior explicit written approval from the
granting authority.
ETHICS (— ARTICLE 14)
Ethics and research integrity
The beneficiaries must carry out the action in compliance with:
ethical principles (including the highest standards of research integrity)
Commission Decision 2015/444/EC, Euratom of 13 March 2015 on the security rules for protecting E U
classified information (OJ L 72, 17.3.2015, p. 53).
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and
applicable E U , international and national law, including the E U Charter of
Fundamental Rights and the European Convention for the Protection of Human Rights
and Fundamental Freedoms and its Supplementary Protocols.
No funding can be granted, within or outside the E U , for activities that are prohibited in all
Member States. No funding can be granted in a Member State for an activity which is
forbidden in that Member State.
The beneficiaries must pay particular attention to the principle of proportionality, the right to
privacy, the right to the protection of personal data, the right to the physical and mental
integrity of persons, the right to non-discrimination, the need to ensure protection of the
environment and high levels of human health protection.
The beneficiaries must ensure that the activities under the action have an exclusive focus on
civil applications.
The beneficiaries must ensure that the activities under the action do not:
aim at human cloning for reproductive purposes
intend to modify the genetic heritage of human beings which could make such
modifications heritable (with the exception of research relating to cancer treatment of
the gonads, which may be financed)
intend to create human embryos solely for the purpose of research or for the purpose
of stem cell procurement, including by means of somatic cell nuclear transfer, or
lead to the destruction of human embryos (for example, for obtaining stem cells).
Activities involving research on human embryos or human embryonic stem cells may be
carried out only if:
they are set out in Annex 1 or
the coordinator has obtained explicit approval (in writing) from the granting authority.
In addition, the beneficiaries must respect the fundamental principle of research integrity —
as set out in the European Code of Conduct for Research Integrity2.
This implies compliance with the following principles:
reliability in ensuring the quality of research reflected in the design, the methodology,
the analysis and the use of resources
honesty in developing, undertaking, reviewing, reporting and communicating research
in a transparent, fair and unbiased way
European Code of Conduct for Research Integrity of A L L E A (All European Academies).
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respect for colleagues, research participants, society, ecosystems, cultural heritage and
the environment
accountability for the research from idea to publication, for its management and
organisation, for training, supervision and mentoring, and for its wider impacts
and means that beneficiaries must ensure that persons carrying out research tasks follow the
good research practices including ensuring, where possible, openness, reproducibility and
traceability and refrain from the research integrity violations described in the Code.
Activities raising ethical issues must comply with the additional requirements formulated by
the ethics panels (including after checks, reviews or audits; see Article 25).
Before starting an action task raising ethical issues, the beneficiaries must have obtained all
approvals or other mandatory documents needed for implementing the task, notably from any
(national or local) ethics committee or other bodies such as data protection authorities.
The documents must be kept on file and be submitted upon request by the coordinator to the
granting authority. If they are not in English, they must be submitted together with an English
summary, which shows that the documents cover the action tasks in question and includes the
conclusions of the committee or authority concerned (if any).
VALUES (— ARTICLE 14)
Gender mainstreaming
The beneficiaries must take all measures to promote equal opportunities between men and
women in the implementation of the action and, where applicable, in line with the gender
equality plan. They must aim, to the extent possible, for a gender balance at all levels of
personnel assigned to the action, including at supervisory and managerial level.
INTELLECTUAL PROPERTY RIGHTS (IPR) — BACKGROUND AND RESULTS —
ACCESS RIGHTS AND RIGHTS OF USE (— ARTICLE 16)
Definitions
Access rights — Rights to use results or background.
Dissemination — The public disclosure of the results by appropriate means, other than
resulting from protecting or exploiting the results, including by scientific
publications in any medium.
Exploit(ation) — The use of results in further research and innovation activities other than
those covered by the action concerned, including among other things,
commercial exploitation such as developing, creating, manufacturing and
marketing a product or process, creating and providing a service, or in
standardisation activities.
Fair and reasonable conditions — Appropriate conditions, including possible financial terms
or royalty-free conditions, taking into account the specific circumstances of
the request for access, for example the actual or potential value of the results
or background to which access is requested and/or the scope, duration or
other characteristics of the exploitation envisaged.
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FAIR principles — 'findability', 'accessibility', 'interoperability' and 'reusability'.
Open access — Online access to research outputs provided free of charge to the end-user.
Open science — A n approach to the scientific process based on open cooperative work, tools
and diffusing knowledge.
Research data management — The process within the research lifecycle that includes the
organisation, storage, preservation, security, quality assurance, allocation of
persistent identifiers (PIDs) and rules and procedures for sharing of data
including licensing.
Research outputs — Results to which access can be given in the form of scientific
publications, data or other engineered results and processes such as
software, algorithms, protocols, models, workflows and electronic
notebooks.
Scope of the obligations
For this section, references to 'beneficiary' or 'beneficiaries' do not include affiliated entities
(if any).
Agreement on background
The beneficiaries must identify in a written agreement the background as needed for
implementing the action or for exploiting its results.
Where the call conditions restrict control due to strategic interests reasons, background that is
subject to control or other restrictions by a country (or entity from a country) which is not one
of the eligible countries or target countries set out in the call conditions and that impact the
exploitation of the results (i.e. would make the exploitation of the results subject to control or
restrictions) must not be used and must be explicitly excluded from it in the agreement on
background — unless otherwise agreed with the granting authority.
Ownership of results
Results are owned by the beneficiaries that generate them.
However, two or more beneficiaries own results jointly if:
- they have j ointly generated them and
- it is not possible to:
establish the respective contribution of each beneficiary, or
separate them for the purpose of applying for, obtaining or maintaining their
protection.
The joint owners must agree — in writing — on the allocation and terms of exercise of their
joint ownership ('joint ownership agreement'), to ensure compliance with their obligations
under this Agreement.
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Unless otherwise agreed in the joint ownership agreement or consortium agreement, each
joint owner may grant non-exclusive licences to third parties to exploit the jointly-owned
results (without any right to sub-license), i f the other joint owners are given:
at least 45 days advance notice and
fair and reasonable compensation.
The joint owners may agree — in writing — to apply another regime than joint ownership.
If third parties (including employees and other personnel) may claim rights to the results, the
beneficiary concerned must ensure that those rights can be exercised in a manner compatible
with its obligations under the Agreement.
The beneficiaries must indicate the owner(s) of the results (results ownership list) in the final
periodic report.
Protection of results
Beneficiaries which have received funding under the grant must adequately protect their
results — for an appropriate period and with appropriate territorial coverage — i f protection
is possible and justified, taking into account all relevant considerations, including the
prospects for commercial exploitation, the legitimate interests of the other beneficiaries and
any other legitimate interests.
Exploitation of results
Beneficiaries which have received funding under the grant must — up to four years after the
end of the action (see Data Sheet, Point 1) — use their best efforts to exploit their results
directly or to have them exploited indirectly by another entity, in particular through transfer or
licensing.
If, despite a beneficiary's best efforts, the results are not exploited within one year after the
end of the action, the beneficiaries must (unless otherwise agreed in writing with the granting
authority) use the Horizon Results Platform to find interested parties to exploit the results.
If results are incorporated in a standard, the beneficiaries must (unless otherwise agreed with
the granting authority or unless it is impossible) ask the standardisation body to include the
funding statement (see Article 17) in (information related to) the standard.
Additional exploitation obligations
Where the call conditions impose additional exploitation obligations (including obligations
linked to the restriction of participation or control due to strategic assets, interests, autonomy
or security reasons), the beneficiaries must comply with them — up to four years after the end
of the action (see Data Sheet, Point 1).
Where the call conditions impose additional exploitation obligations in case of a public
emergency, the beneficiaries must (if requested by the granting authority) grant for a limited
period of time specified in the request, non-exclusive licences — under fair and reasonable
conditions — to their results to legal entities that need the results to address the public
emergency and commit to rapidly and broadly exploit the resulting products and services at
fair and reasonable conditions. This provision applies up to four years after the end of the
action (see Data Sheet, Point 1).
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Additional information obligation relating to standards
Where the call conditions impose additional information obligations relating to possible
standardisation, the beneficiaries must — up to four years after the end of the action (see Data
Sheet, Point 1) — inform the granting authority, i f the results could reasonably be expected to
contribute to European or international standards.
Transfer and licensing of results
Transfer of ownership
The beneficiaries may transfer ownership of their results, provided this does not affect
compliance with their obligations under the Agreement.
The beneficiaries must ensure that their obligations under the Agreement regarding their
results are passed on to the new owner and that this new owner has the obligation to pass
them on in any sub sequent transfer.
Moreover, they must inform the other beneficiaries with access rights of the transfer at least
45 days in advance (or less i f agreed in writing), unless agreed otherwise in writing for
specifically identified third parties including affiliated entities or unless impossible under the
applicable law. This notification must include sufficient information on the new owner to
enable the beneficiaries concerned to assess the effects on their access rights. The
beneficiaries may object within 30 days of receiving notification (or less i f agreed in writing),
if they can show that the transfer would adversely affect their access rights. In this case, the
transfer may not take place until agreement has been reached between the beneficiaries
concerned.
Granting licences
The beneficiaries may grant licences to their results (or otherwise give the right to exploit
them), including on an exclusive basis, provided this does not affect compliance with their
obligations.
Exclusive licences for results may be granted only i f all the other beneficiaries concerned
have waived their access rights.
Granting authority right to object to transfers or licensing — Horizon Europe actions
Where the call conditions in Horizon Europe actions provide for the right to object to transfers
or licensing, the granting authority may — up to four years after the end of the action (see
Data Sheet, Point 1) — object to a transfer of ownership or the exclusive licensing of results,
if:
the beneficiaries which generated the results have received funding under the grant
it is to a legal entity established in a non-EU country not associated with Horizon
Europe, and
- the granting authority considers that the transfer or licence is not in line with E U
interests.
Beneficiaries that intend to transfer ownership or grant an exclusive licence must formally
notify the granting authority before the intended transfer or licensing takes place and:
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describe in detail the new owner or licensee and the planned or potential
exploitation of the results, and
include a reasoned assessment of the likely impact of the transfer or licence on E U
interests, in particular regarding competitiveness as well as consistency with
ethical principles and security considerations.
The granting authority may request additional information.
If the granting authority decides to object to a transfer or exclusive licence, it must formally
notify the beneficiary concerned within 60 days of receiving notification (or any additional
information it has requested).
No transfer or licensing may take place in the following cases:
pending the granting authority decision, within the period set out above
if the granting authority objects
until the conditions are complied with, i f the granting authority objection comes
with conditions.
A beneficiary may formally notify a request to waive the right to object regarding intended
transfers or grants to a specifically identified third party, i f measures safeguarding E U
interests are in place. If the granting authority agrees, it will formally notify the beneficiary
concerned within 60 days of receiving notification (or any additional information requested).
Granting authority right to object to transfers or licensing — Euratom actions
Where the call conditions in Euratom actions provide for the right to object to transfers or
licensing, the granting authority may — up to four years after the end of the action (see Data
Sheet, Point 1) — object to a transfer of ownership or the exclusive or non-exclusive licensing
of results, if:
the beneficiaries which generated the results have received funding under the grant
it is to a legal entity established in a non-EU country not associated to the Euratom
Research and Training Programme 2021-2025 and
- the granting authority considers that the transfer or licence is not in line with the E U
interests.
Beneficiaries that intend to transfer ownership or grant a licence must formally notify the
granting authority before the intended transfer or licensing takes place and:
identify the specific results concerned
describe in detail the results, the new owner or licensee and the planned or
potential exploitation of the results, and
include a reasoned assessment of the likely impact of the transfer or licence on E U
interests, in particular regarding competitiveness as well as consistency with
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ethical principles and security considerations (including the defence interests of the
E U Member States under Article 24 of the Euratom Treaty).
The granting authority may request additional information.
If the granting authority decides to object to a transfer or licence, it will formally notify the
beneficiary concerned within 60 days of receiving notification (or any additional information
requested).
No transfer or licensing may take place in the following cases:
pending the granting authority decision, within the period set out above
if the granting authority objects
until the conditions are complied with, if the granting authority objection comes
with conditions.
A beneficiary may formally notify a request to waive the right to object regarding intended
transfers or grants to a specifically identified third party, i f measures safeguarding E U
interests are in place. If the granting authority agrees, it will formally notify the beneficiary
concerned within 60 days of receiving notification (or any additional information requested).
Limitations to transfers and licensing due to strategic assets, interests, autonomy or security
reasons of the EU and its Member States
Where the call conditions restrict participation or control due to strategic assets, interests,
autonomy or security reasons, the beneficiaries may not transfer ownership of their results or
grant licences to third parties which are established in countries which are not eligible
countries or target countries set out in the call conditions (or, i f applicable, are controlled by
such countries or entities from such countries) — unless they have requested and received
prior approval by the granting authority.
The request must:
- identify the specific results concerned
- describe in detail the new owner and the planned or potential exploitation of the
results, and
- include a reasoned assessment of the likely impact of the transfer or license on the
strategic assets, interests, autonomy or security of the E U and its Member States.
The granting authority may request additional information.
Access rights to results and background
Exercise ofaccess rights — Waiving of access rights — No sub-licensing
Requests to exercise access rights and the waiver of access rights must be in writing.
Unless agreed otherwise in writing with the beneficiary granting access, access rights do not
include the right to sub-license.
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If a beneficiary is no longer involved in the action, this does not affect its obligations to grant
access.
If a beneficiary defaults on its obligations, the beneficiaries may agree that that beneficiary no
longer has access rights.
Access rights for implementing the action
The beneficiaries must grant each other access — on a royalty-free basis — to background
needed to implement their own tasks under the action, unless the beneficiary that holds the
background has — before acceding to the Agreement —:
- informed the other beneficiaries that access to its background is subject to restrictions,
or
- agreed with the other beneficiaries that access would not be on a royalty-free basis.
The beneficiaries must grant each other access — on a royalty-free basis — to results needed
for implementing their own tasks under the action.
Access rights for exploiting the results
The beneficiaries must grant each other access — under fair and reasonable conditions — to
results needed for exploiting their results.
The beneficiaries must grant each other access — under fair and reasonable conditions — to
background needed for exploiting their results, unless the beneficiary that holds the
background has — before acceding to the Agreement — informed the other beneficiaries that
access to its background is subject to restrictions.
Requests for access must be made — unless agreed otherwise in writing — up to one year
after the end of the action (see Data Sheet, Point 1).
Access rights for entities under the same control
Unless agreed otherwise in writing by the beneficiaries, access to results and, subject to the
restrictions referred to above (if any), background must also be granted — under fair and
reasonable conditions — to entities that:
are established in an E U Member State or Horizon Europe associated country
are under the direct or indirect control of another beneficiary, or under the same direct
or indirect control as that beneficiary, or directly or indirectly controlling that
beneficiary and
need the access to exploit the results of that beneficiary.
Unless agreed otherwise in writing, such requests for access must be made by the entity
directly to the beneficiary concerned.
Requests for access must be made — unless agreed otherwise in writing — up to one year
after the end of the action (see Data Sheet, Point 1).
Access rights for the granting authority, EU institutions, bodies, offices or agencies and
national authorities to results for policy purposes — Horizon Europe actions
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In Horizon Europe actions, the beneficiaries which have received funding under the grant
must grant access to their results — on a royalty-free basis — to the granting authority, E U
institutions, bodies, offices or agencies for developing, implementing and monitoring E U
policies or programmes. Such access rights do not extend to beneficiaries' background.
Such access rights are limited to non-commercial and non-competitive use.
For actions under the cluster 'Civil Security for Society', such access rights also extend to
national authorities of E U Member States for developing, implementing and monitoring their
policies or programmes in this area. In this case, access is subject to a bilateral agreement to
define specific conditions ensuring that:
the access rights will be used only for the intended purpose and
appropriate confidentiality obligations are in place.
Moreover, the requesting national authority or E U institution, body, office or agency
(including the granting authority) must inform all other national authorities of such a request.
Access rights for the granting authority, Euratom institutions, funding bodies or the Joint
Undertaking Fusion for Energy — Euratom actions
In Euratom actions, the beneficiaries which have received funding under the grant must grant
access to their results — on a royalty-free basis — to the granting authority, Euratom
institutions, funding bodies or the Joint Undertaking Fusion for Energy for developing,
implementing and monitoring Euratom policies and programmes or for compliance with
obligations assumed through international cooperation with non-EU countries and
international organisations.
Such access rights include the right to authorise third parties to use the results in public
procurement and the right to sub-license and are limited to non-commercial and non-
competitive use.
Additional access rights
Where the call conditions impose additional access rights, the beneficiaries must comply with
them.
COMMTTNTCATTON. DTSSEMTNATTON. OPEN SCTENCE AND VTSTBTTJTY (—
ARTICLE 17^
Dissemination
Dissemination ofresults
The beneficiaries must disseminate their results as soon as feasible, in a publicly available
format, subject to any restrictions due to the protection of intellectual property, security rules
or legitimate interests.
A beneficiary that intends to disseminate its results must give at least 15 days advance notice
to the other beneficiaries (unless agreed otherwise), together with sufficient information on
the results it will disseminate.
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Any other beneficiary may object within (unless agreed otherwise) 15 days of receiving
notification, i f it can show that its legitimate interests in relation to the results or background
would be significantly harmed. In such cases, the results may not be disseminated unless
appropriate steps are taken to safeguard those interests.
Additional dissemination obligations
Where the call conditions impose additional dissemination obligations, the beneficiaries must
also comply with those.
Open Science
Open science: open access to scientific publications
The beneficiaries must ensure open access to peer-reviewed scientific publications relating to
their results. In particular, they must ensure that:
at the latest at the time of publication, a machine-readable electronic copy of the
published version or the final peer-reviewed manuscript accepted for publication, is
deposited in a trusted repository for scientific publications
immediate open access is provided to the deposited publication via the repository,
under the latest available version of the Creative Commons Attribution International
Public Licence (CC B Y ) or a licence with equivalent rights; for monographs and other
long-text formats, the licence may exclude commercial uses and derivative works (e.g.
CC B Y - N C , CC B Y - N D ) and
information is given via the repository about any research output or any other tools
and instruments needed to validate the conclusions of the scientific publication.
Beneficiaries (or authors) must retain sufficient intellectual property rights to comply with the
open access requirements.
Metadata of deposited publications must be open under a Creative Common Public Domain
Dedication (CC 0) or equivalent, in line with the FAIR principles (in particular machine-
actionable) and provide information at least about the following: publication (author(s), title,
date of publication, publication venue); Horizon Europe or Euratom funding; grant project
name, acronym and number; licensing terms; persistent identifiers for the publication, the
authors involved in the action and, i f possible, for their organisations and the grant. Where
applicable, the metadata must include persistent identifiers for any research output or any
other tools and instruments needed to validate the conclusions of the publication.
Only publication fees in full open access venues for peer-reviewed scientific publications are
eligible for reimbursement.
Open science: research data management
The beneficiaries must manage the digital research data generated in the action ('data')
responsibly, in line with the FAIR principles and by taking all of the following actions:
establish a data management plan ('DMP') (and regularly update it)
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as soon as possible and within the deadlines set out in the D M P , deposit the data in a
trusted repository; i f required in the call conditions, this repository must be federated
in the EOSC in compliance with EOSC requirements
as soon as possible and within the deadlines set out in the D M P , ensure open access —
via the repository — to the deposited data, under the latest available version of the
Creative Commons Attribution International Public License (CC B Y ) or Creative
Commons Public Domain Dedication (CC 0) or a licence with equivalent rights,
following the principle 'as open as possible as closed as necessary', unless providing
open access would in particular:
be against the beneficiary's legitimate interests, including regarding
commercial exploitation, or
be contrary to any other constraints, in particular the E U competitive interests
or the beneficiary's obligations under this Agreement; i f open access is not
provided (to some or all data), this must be justified in the D M P
provide information via the repository about any research output or any other tools and
instruments needed to re-use or validate the data.
Metadata of deposited data must be open under a Creative Common Public Domain
Dedication (CC 0) or equivalent (to the extent legitimate interests or constraints are
safeguarded), in line with the FAIR principles (in particular machine-actionable) and provide
information at least about the following: datasets (description, date of deposit, author(s),
venue and embargo); Horizon Europe or Euratom funding; grant project name, acronym and
number; licensing terms; persistent identifiers for the dataset, the authors involved in the
action, and, i f possible, for their organisations and the grant. Where applicable, the metadata
must include persistent identifiers for related publications and other research outputs.
Open science: additional practices
Where the call conditions impose additional obligations regarding open science practices, the
beneficiaries must also comply with those.
Where the call conditions impose additional obligations regarding the validation of scientific
publications, the beneficiaries must provide (digital or physical) access to data or other results
needed for validation of the conclusions of scientific publications, to the extent that their
legitimate interests or constraints are safeguarded (and unless they already provided the
(open) access at publication).
Where the call conditions impose additional open science obligations in case of a public
emergency, the beneficiaries must (if requested by the granting authority) immediately
deposit any research output in a repository and provide open access to it under a C C B Y
licence, a Public Domain Dedication (CC 0) or equivalent. As an exception, i f the access
would be against the beneficiaries' legitimate interests, the beneficiaries must grant non-
exclusive licenses — under fair and reasonable conditions — to legal entities that need the
research output to address the public emergency and commit to rapidly and broadly exploit
the resulting products and services at fair and reasonable conditions. This provision applies up
to four years after the end of the action (see Data Sheet, Point 1).
Plan for the exploitation and dissemination of results including communication activities
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Unless excluded by the call conditions, the beneficiaries must provide and regularly update a
plan for the exploitation and dissemination of results including communication activities.
SPECIFIC RULES FOR CARRYING OUT THE ACTION (— ARTICLE 18)
Implementation in case of restrictions due to strategic assets, interests, autonomy or
security of the E U and its Member States
Where the call conditions restrict participation or control due to strategic assets, interests,
autonomy or security, the beneficiaries must ensure that none of the entities that participate as
affiliated entities, associated partners, subcontractors or recipients of financial support to third
parties are established in countries which are not eligible countries or target countries set out
in the call conditions (or, i f applicable, are controlled by such countries or entities from such
countries) — unless otherwise agreed with the granting authority.
The beneficiaries must moreover ensure that any cooperation with entities established in
countries which are not eligible countries or target countries set out in the call conditions (or,
if applicable, are controlled by such countries or entities from such countries) does not affect
the strategic assets, interests, autonomy or security of the E U and its Member States.
Recruitment and working conditions for researchers
The beneficiaries must take all measures to implement the principles set out in the
Commission Recommendation on the European Charter for Researchers and the Code of
Conduct for the Recruitment of Researchers3, in particular regarding:
working conditions
transparent recruitment processes based on merit, and
career development.
The beneficiaries must ensure that researchers and all participants involved in the action are
aware of them.
Specific rules for access to research infrastructure activities
Definitions
Research Infrastructures — Facilities that provide resources and services for the research
communities to conduct research and foster innovation in their fields. This
definition includes the associated human resources, and it covers major
equipment or sets of instruments; knowledge-related facilities such as
collections, archives or scientific data infrastructures; computing systems,
communication networks, and any other infrastructure, of a unique nature
and open to external users, essential to achieve excellence in research and
innovation. Where relevant, they may be used beyond research, for example
Commission Recommendation 2005/251/EC of 11 March 2005 on the European Charter for Researchers
and on a Code of Conduct for the Recruitment of Researchers (OJ L 75, 22.3.2005, p. 67).
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for education or public services, and they may be 'single-sited', 'virtual' or
'distributed'4:
When implementing access to research infrastructure activities, the beneficiaries must respect
the following conditions:
for transnational access:
access which must be provided:
The access must be free of charge, transnational access to research infrastructure
or installations for selected user-groups.
The access must include the logistical, technological and scientific support and the
specific training that is usually provided to external researchers using the
infrastructure. Transnational access can be either in person (hands-on), provided
to selected users that visit the installation to make use of it, or remote, through the
provision to selected user-groups of remote scientific services (e.g. provision of
reference materials or samples, remote access to a high-performance computing
facility).
categories of users that may have access:
Transnational access must be provided to selected user-groups, i.e. teams of one
or more researchers (users).
The majority of the users must work in a country other than the country(ies)
where the installation is located (unless access is provided by an international
organisation, the Joint Research Centre (JRC), an ERIC or similar legal entity).
Only user groups that are allowed to disseminate the results they have generated
under the action may benefit from the access (unless the users are working for
SMEs).
Access for user groups with a majority of users not working in a E U Member
State or Horizon Europe associated country is limited to 20% of the total amount
of units of access provided under the grant (unless a higher percentage is foreseen
in Annex 1).
procedure and criteria for selecting user groups:
The user groups must request access by submitting (in writing) a description of
the work that they wish to carry out and the names, nationalities and home
institutions of the users.
The user groups must be selected by (one or more) selection panels set up by the
consortium.
See Article 2(1) of the Horizon Europe Framework Programme Regulation 2021/695.
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Mm Associated with document Ref. Ares(2024)4223833 - 12/06/2024
The selection panels must be composed of international experts in the field, at
least half of them independent from the consortium (unless otherwise specified in
Annex 1).
The selection panels must assess all proposals received and recommend a short-
list of the user groups that should benefit from access.
The selection panels must base their selection on scientific merit, taking into
account that priority should be given to user groups composed of users who:
have not previously used the installation and
are working in countries where no equivalent research infrastructure exist.
It will apply the principles of transparency, fairness and impartiality.
Where the call conditions impose additional rules for the selection of user groups,
the beneficiaries must also comply with those.
other conditions:
The beneficiaries must request written approval from the granting authority for the
selection of user groups requiring visits to the installations exceeding 3 months
(unless such visits are foreseen in Annex 1).
In addition, the beneficiaries must:
advertise widely, including on a their websites, the access offered under
the Agreement
promote equal opportunities in advertising the access and take into
account the gender dimension when defining the support provided to
users
ensure that users comply with the terms and conditions of the Agreement
ensure that its obligations under Articles 12, 13, 17 and 33 also apply to
the users
keep records of the names, nationalities, and home institutions of users,
as well as the nature and quantity of access provided to them
for virtual access:
access which must be provided:
The access must be free of charge, virtual access to research infrastructure or
installations.
'Virtual access' means open and free access through communication networks to
digital resources and services needed for research, without selecting the users to
whom access is provided.
The access must include the support that is usually provided to external users.
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Associated with document Ref. Ares(2024)4223833 - 12/06/2024
Where allowed by the call conditions, beneficiaries may in justified cases define
objective eligibility criteria (e.g. affiliation to a research or academic institution)
for specific users.
other conditions:
The beneficiaries must have the virtual access services assessed periodically by a
board composed of international experts in the field, at least half of whom must be
independent from the consortium (unless otherwise specified in Annex 1). For this
purpose, information and statistics on the users and the nature and quantity of the
access provided, must be made available to the board.
The beneficiaries must advertise widely, including on a dedicated website, the
access offered under the grant and the eligibility criteria, i f any.
Where the call conditions impose additional traceability5 obligations, information
on the traceability of the users and the nature and quantity of access must be
provided by the beneficiaries.
These obligations apply regardless of the form of funding or budget categories used to declare
the costs (unit costs or actual costs or a combination of the two).
According to the definition given in ISO 9000, i.e.: "Traceability is the ability to trace the history, application, use and location of an
item or its characteristics through recorded identification data." The users can be traced, for example, by authentication and/or by
authorization or by other means that allows for analysis of the type of users and the nature and quantity of access provided.
16
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Date: 2024.06.12 10:42:26 C E S T
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