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COUNCIL DECISION
of 11 April 1988
concerning the European strategic programme for research and development in information technologies (Esprit)
(88/279/EEC)
THE COUNCIL OF THE EUROPEAN COMMUNITIES,
Having regard to the Treaty establishing the European Economic Community, and in particular Article 130 Q (2) thereof,
Having regard to the proposal from the Commission (1),
In cooperation with the European Parliament (2),
Having regard to the opinion of the Economic and Social Committee (3),
Whereas by Decision 84/130/EEC (4) the first phase of the European programme for research and development in information technologies (Esprit) was adopted by the Council on 28 February 1984;
Whereas the framework programme for Community activities in the field of research and technological development (1987 to 1991) was adopted by Decision 87/516/Euratom, EEC (5);
Whereas the Esprit work programme periodically established in close consultation with the Esprit Management Committee, the Information Technology (IT) Industry, industrial users and scientists have proved to be an efficient means of programme management;
Whereas the Council, in its resolution of 8 April 1986 (6), took note of the conclusions of the independent high-level body known as the Esprit Review Board that the programme had been successfully established and was well on the way to meeting its original objectives, that it was progressing faster than initially expected, had initiated trans-European cooperation at all levels especially where small and medium-sized undertakings were concerned, had enabled more ambitious research projects and had accelerated the execution of these projects;
Whereas, in addition, the Council took note of the Review Board's recommendation that, for the future development of Esprit, emphasis should continue to be placed on pre-competitive research and development and that the research areas should be consolidated and restructured and particular attention paid to technology integration projects;
Whereas, in a broad consultation process with a large number of representatives from industry and science, the future technical scope of the programme has been defined;
Whereas it is necessary to ensure consistency between the Esprit programme, national programmes, Eureka projects and other international activities in the information technology sector while encouraging their coordination;
Whereas this programme meets the absolute need for the constitution or consolidation of a specifically European industrial potential in the technologies concerned; whereas its participants must therefore be the undertakings, universities and research centres in the Community which are best suited to attain these objectives;
Whereas Decision 87/516/Euratom, EEC provides that a particular aim of Community research shall be to strengthen the scientific and technological basis of European industry especially in strategic areas of high technology and to encourage it to become more competitive at international level; whereas the same Decision further provides that Community action is justified where research contributes inter alia to the strengthening of the economic and social cohesion of the
Community and the promotion of its overall harmonious development, while being consistent with the pursuit of scientific and technical quality; whereas it is intended that the Esprit programme should contribute to the achievement of these objectives;
Whereas it is necessary for small and medium-sized undertakings to achieve a high level of participation in the programme;
Whereas adequate dissemination of, and access to, results of projects of Community interest is essential to the pursuit of the aims of the Community and in particular to the needs of small and medium-sized undertakings;
Whereas there exists a need for periodic assessment of the programme;
Whereas it is necessary for the execution of the programme that the Commission be assisted by a Committee;
Whereas provision should be made for appropriate information for the social partners in the implementation of the programme;
Whereas it is in the Community's interest to consolidate the scientific and financial basis of European research by means of the involvement to a greater extent of participants from the EFTA countries in certain Community programmes and, particularly, in programmes involving cooperation in research and development of information technology;
Whereas the implementation of actions in basic research providing long-term prospects is essential to complement industrially oriented research and development (R&D) projects;
Whereas concerted actions in the COST framework also serve to complement industrially oriented R&D projects;
Whereas the Council, in its resolution of 8 April 1986, has reemphasized its commitment to the Esprit programme and requested the Commission to ensure, in its implementation of the programme, that, in scope and flexibility, the programme continues to provide an effective response to the ever-increasing challenge in the IT field;
Whereas, in the same resolution, the Council confirmed that a main objective of the Esprit programme should be to carry out the work preparatory to standardization in the field of information technology;
Whereas the Scientific and Technical Research Committee (Crest) has expressed its opinion,
HAS ADOPTED THIS DECISION:
Article 1
1. A second phase of the Esprit programme of research and development for the European Economic Community, hereinafter referred to as 'the programme', is hereby adopted for a period of five years as from 1 December 1987.
2. The programme is designed to:
- provide the European IT industry with the basic technologies to meet the competitive requirements of the 1990s,
- promote European industrial cooperation in pre-competitive R&D in information technology,
- pave the way for internationally accepted standards.
The programme summary and objectives are set out in more detail in Annex II.
Article 2
The programme shall comprise pre-competitive research and development projects (hereinafter referred to as the 'projects'), actions in basic research aimed at complementing the pre-competitive R&D effort (hereinafter referred to as the 'actions') and accompanying measures.
Article 3
1. The projects shall be carried out by means of contracts, to be concluded by the Commission with companies, including small and medium-sized undertakings, universities and other bodies established in the Community.
The proposals for projects shall be submitted by the interested parties in reply to an open invitation published in the Official Journal of the European Communities. The projects must involve the participation of at least two independent industrial partners not established in the same Member State.
Up to a maximum of 30 % of the Community's total contribution to new projects launched under this programme may for each year be allocated to new projects which fall below the Community contribution thereshold of 5 million ECU.
Very large projects shall normally be implemented in successive phases.
2. The actions shall be carried out by means of contracts to be conluded by the Commission with universities, reserach institutions or companies established within the Community.
The proposals for actions shall be submitted by the interested parties in reply to an open invitation published in the Official Journal of the European Communities. The actions must involve the participation of at least two universities or research institutions not established in the same Member State.
3. Each contractor will be expected to make a significant contribution to projects and actions. The contractors shall be expected to bear a substantial proportion of the costs, 50 % of which shall normally be borne by the Comunity.
Alternatively, in respect of universities and research institutes carrying out projects or actions, the Community may bear up to 100 % of the additional expenditure involved.
4. In exceptional cases where:
- projects and actions are considered to be indispensable for achieving the objectives of the programme as defined in Annex II, and
- exceptions can be justified on the grounds of cost or efficiency,
it may be decided in accordance with the procedure laid down in Article 8 to depart from the general conditions set out in paragraphs 1, 2 and 3 of this Article in respect of the following:
- the public call for proposals,
- the participation in the projects of at least two industrial partners not established in the same Member State,
- the participation in the actions of at least two universities in research institutes not established in the same Member State,
- the rate of the Community's financial participation,
- the percentage figure concerning new projects which fall below the Community contribution threshold of 5 million ECU.
Article 4
Where framework agreements for scientific and technical cooperation between non-Community European countries and the European Communities have been concluded, organizations and enterprises (including universities) established in these countries may, provided the conditions laid down in Article 3 (1) and (2) are fulfilled and the procedures in Article 8 are followed, become partners to projects and actions undertaken within the programme.
Article 5
The Community shall contribute to the performance of the programme within the limits of the appropriations entered to this end in the budget of the European Communities.
The funds estimated as necessary for the Community contribution to the projects, actions and accompanying measures under the programme amount to 1 600 million ECU over five years, including expenditure, on a staff whose costs shall not exceed 4 % of the Community's contribution.
The internal and indicative allocation of these funds is set out in Annex I.
Article 6
1. The Commission shall ensure that the programme is properly executed and establish the appropriate implementation measures.
The Commission shall be assisted in the performance of its tasks by a committee.
2. The Commission is authorized to negotiate, in accordance with Article 130 N of the Treaty, agreements with Member States participating in European cooperation in the field of scientific and technological research (COST) with a view to ensuring concerted action between the Community activities relating to the collaboration in actions in basic research and accompanying measures referred to in Annex II and the relevant programmes of such States.
3. The Commission shall establish for each year, and update as required, a work programme defining the detailed objectives, the type of projects to be undertaken and the corresponding financial plans. The Commission shall establish calls for proposals for projects on the basis of the annual work programmes.
4. The procedure laid down in Article 8 shall apply to:
- the adoption and updating of the annual work programme referred to in paragraph 3 of this Article,
- any departure from the general conditions laid down in Article 3 (1), (2) and (3),
- the participation in any project or action by European organizations and enterprises as provided for in Article 4,
- the assessment of proposed projects and the estimated amount of the Community's financial contribution to them where this contribution is in excess of 5 million ECU,
- the assessment of the successive phases of very large projects referred to in Article 3 (1) and the estimated amount of the Community's financial contribution to these phases,
- the measures to be undertaken to evaluate the programme.
5. The Commission may consult the committee referred to in Article 7, and shall consult it at the request of the representatives of at least four Member States on any matter falling within the scope of the Esprit programme.
6. The Commission shall keep the committee refered to in Article 7 informed of:
- the progress of the programme,
- the draft call for proposals, including priority areas envisaged,
- projects for which the Community contribution is below 5 million ECU, as well as the results of their assessment,
- the results of the assessment of proposed actions and their implementation,
- accompanying measures. Article 7
The committee shall consist of two representatives of each Member State and shall be set up by the Commission on the basis of nominations by the Member States.
Members of the committee may be assisted by experts or advisers depending on the nature of the issues under consideration.
The committee shall be chaired by a Commission representative.
The proceedings of the committee shall be confidential. The committee shall adopt its own rules of procedure. The secretarial services shall be provided by the Commission.
Article 8
1. Where the procedure laid down in this Article is to be followed, the representative of the Commission shall refer to the committee a draft of the measures to be adopted. The committee shall deliver an opinion within a time limit set by the chairman, which shall normally be one month and shall not exceed two months depending on the urgency of the matter. The opinion shall be delivered by the majority specified in Article 148 (2) of the Treaty for decisions which the Council is required to adopt on a proposal from the Commission, the votes of the representatives of the Member States being weighted as indicated in that Article. The chairman shall not vote.
2. The Commission shall adopt the proposed measures if they are in accordance with the committee's opinion. If the proposed measures are not in accordance with the committee's opinion, or if no opinion is delivered, the Commission shall without delay submit to the Council a proposal concerning the measures to be taken. The Council shall act by a qualified majority.
3. If the Council has not acted within a period of two months from the date on which the matter was referred to it, the proposed measures shall:
- be adopted by the Commission for matters falling under the third, fourth, fifth and sixth indents of Article 6 (4),
- be adopted by the Commission, save where the Council has decided against the said measures by simple majority for matters falling under the first and second indents of Article 6 (4).
Article 9
By way of derogation from the provisions of Article 6 (4) of this Decision, the first annual work programme shall be adopted after referral to the committee referred to in Article 4 of Decision 84/130/EEC in accordance with the procedures laid down in Article 8 (1) and (2), and (3) second indent, of this Decision.
Article 10
The Commission shall address a report to the European Parliament and the Council after 30 months on the basis of an evaluation of the results so far achieved. This report shall be accompanied by suggestions for changes which may be necessary in the light of these results.
After the completion of the programme, the Commission shall send to Member States and the European Parliament a report on the performance and results of the programme.
The abovemtioned reports will be carried out in relation to the precise objectives set out in Annex II to this Decision and referred to in Article 2 (2) of Decision 87/516/Euratom, EEC.
Article 11
The Member States and the Commission shall exchange all appropriate information to which they have access and which they are free to disclose concerning activities in the areas covered by this Decision, whether or not planned or carried out under their authority.
Information shall be exchanged according to a procedure to be defined by the Commission after consulting the committee and shall be treated as confidential at the suppliers' request.
Article 12
This Decision shall apply from 1 December 1987.
Article 13
This Decision is addressed to the Member States.
Done at Luxembourg, 11 April 1988.