Proposal for a Council Decision concerning the rules for the participation of undertakings, research centres and universities in the specific programmes of research, technological development and demonstration of the European Community (94/C 81/07) (Text with EEA relevance) COM(94) 12 final - 94/0012(SYN)

(Submitted by the Commission on 18 February 1994)

THE COUNCIL OF THE EUROPEAN UNION

Having regard to the Treaty establishing the European Community, and in particular Article 130o (2) thereof,

Having regard to the proposal from the Commission,

In cooperation with the European Parliament,

Having regard to the opinion of the Economic and Social Committee,

Whereas Title XV of the Treaty foresees a coherent framework of provisions for a common policy on research and technological development;

Whereas Article 130f of the Treaty states that the Community shall encourage undertakings, including small or medium size undertakings, research centres and universities in research and technological development activities and shall support their efforts to cooperate with one another;

Whereas Article 130i of the Treaty lays down that a multiannual framework programme shall set out all the activities of the Community in the field of research, technological development and demonstration; whereas this framework programme shall specify the conditions for financial participation by the Community in activities in research, technological development and demonstration (hereinafter referred to as 'RTD`) implemented by third parties and by the Joint Research Centre (hereinafter referred to as 'the JRC`) on the same basis as third parties;

Whereas Article 130j of the Treaty states that in the implementation of the multiannual framework programme, the Council shall determine the rules for the participation of only undertakings, research centres and universities;

Whereas Article 130i of the Treaty states that this framework programme shall be implemented by specific RTD programmes adopted in accordance with the provisions of paragraph 4 of this Article;

Whereas Article 130m of the Treaty states that in implementing this framework programme the Community may cooperate in RTD with third countries and international organisations; whereas the framework programme for 1994 to 1998 foresees such cooperation;

Whereas such cooperation shall take account of the third states being parties to the Agreement on the European Economic Area, the countries of central and eastern Europe, the States which have emerged from the former Soviet Union, and developing countries;

Whereas such cooperation may include the association of certain States with all or part of RTD programmes through appropriate agreements;

Whereas it is necessary to enable certain RTD programmes to detail or complement the arrangements, foreseen by the present Decision, for the participation of undertakings, research centres and universities to the extent strictly essential for implementing objectives or measures specific to those programmes;

Whereas RTD activities shall be implemented in accordance with the principles of sound financial management and in particular those of economy and cost effectiveness as provided for in the Financial Regulation applicable to the general budget of the European Communities,

HAS ADOPTED THIS DECISION

Article 1

For the implementation of specific RTD programmes adopted in accordance with Article 130i (4) of the Treaty, the rules set out in the following articles shall apply to the participation in Community 'indirect action` RTD activities specified in Annex IV to Decision . . ., by undertakings, research centres and universities, whether public or private, and having a legal personality irrespective of its form (including, for example, natural persons, research organisations, higher education establishments, European Economic Interest Groupings (EEIG), or international organisations) (hereinafter referred to as 'legal entities`) and also to the participation by the JRC.

Article 2

1. RTD activities for each specific RTD programme shall be open:

(a) to all legal entities established and regularly carrying out RTD:

- in the Community, or

- in a non-Community State if the State is associated, wholly or in part, with the implementation of the relevant programme through an agreement concluded between the Community and the relevant non-Community State;

(b) to the JRC.

2. Legal entities from other States, including international organisations, may participate in RTD activities of a specific RTD programme to the extent of any limitations or conditions set out in the Council Decision adopting the relevant programme or measures adopted by the Council for the promotion of cooperation in RTD provided the participation is in the interests of Community policies and:

(a) the legal entity is established in a European State; or

(b) an objective of the relevant programme is the promotion of international cooperation in RTD with third countries, including that in which the legal entity is established; or

(c) the legal entity is established in a State which has concluded a scientific and technical cooperation agreement with the Community relating to activities covered by the relevant programme, or a more general cooperation agreement which includes scientific and technological cooperation, provided the participation accords with the terms of the agreement.

The provisos specified in paragraphs (a), (b) and (c) do not apply to international organisations.

No legal entity within the scope of this paragraph, or from an associated State within the meaning of paragraph 1, may benefit from Community financing except in accordance with the conditions set out in the Council Decision adopting the relevant programme, or with measures adopted by the Council for the promotion of international cooperation in RTD.

3. By way of derogation from paragraph 1, legal entities:

- having an interest in applying the results of Community RTD activities ('technology users`); or

- requiring RTD to be carried out on their behalf under measures for 'cooperative research` intended to enable groups of undertakings not having adequate research facilities of their own, in particular, small and medium size enterprises, to resolve common technical problems,

may also participate in these activities to the extent of any limitations or conditions set out in the relevant programme.

Article 3

1. As a general rule, proposals for RTD activities shall be selected on the basis of calls for proposals published in the Official Journal of the European Communities.

By way of derogation from this paragraph, where the scientific or technical capability to carry out the specific RTD activity is limited to particular legal entities or the JRC, the selection may be made on the basis of restricted invitations to those entities and the JRC to submit proposals.

Any other derogation from these rules may only be made, where applicable, in accordance with the conditions set out in the relevant specific programme.

2. The selection of proposals shall primarily take account of the criteria specified in the multiannual framework programme and the objectives of the specific programme concerned.

3. Additional criteria for the selection of proposals shall also include, having regard to the Community policies and without prejudice to other criteria relating to specific objectives of the relevant programme:

- innovativeness of the proposal,

- effective transnational collaboration, including synergy between categories of participants,

- management competence of the participants,

- scientific and technical competence of the participants,

- cost effectiveness of the proposal,

- objective exploitation potential of the research results,

- perspectives for participants exploiting the results within their overall activities.

4. Legal entities shall possess the basic infrastructure, means and human resources to carry out effectively the research activities attributed to them by the contract referred to in Article 5.

Article 4

1. Without prejudice to specific criteria relating to the objectives of the relevant programme, Community RTD activities shall normally be carried out:

- by at least two legal entities, independent of each other and established in different Member States or States associated, within the meaning of Article 2 (1), with the implementation of the relevant specific programme, provided that, in the latter case, normally at least one of the contractors is established in a Member State,

- by a legal entity, as specified in Article 2 (1) (a), and the JRC.

2. By way of derogation from paragraph 1:

- an EEIG alone may carry out such activities provided its members include, at least, two legal entities independent of each other,

- a single small or medium size enterprise may carry out the exploratory phase of RTD work intended to assess its feasibility and potential for a future collaborative RTD project.

Article 5

Community RTD activities shall be the subject of contracts concluded between the Community and the legal entities and including, in particular, the administrative and financial arrangements for the action, as well as provisions concerning intellectual property rights.

With regard to the participation of the JRC in the actions foreseen by Article 1, the Commission will take all the legal, budgetary, financial and administrative measures necessary.

Article 6

1. The arrangements for the Community financial contribution to legal entities participating in RTD activities shall, in conformity with the relevant provisions of the multiannual framework programme and, where applicable, those of the relevant specific programme, be specified in the contract.

This participation shall consist of the reimbursement of a proportion of the costs of the activity. The reimbursement shall be determined by the Commission having regard in particular, as appropriate, to negotiated costs, scales or tariffs established in advance, amounts linked to measurable research results, or global fixed amounts for small-scale projects.

2. Where the notion of 'additional costs` is used in the relevant provisions of the multiannual framework programme for the determination of shared costs with legal entities, these shall be limited, for the relevant RTD activity, to the costs incurred directly as a result of and for, the activity and to which the legal entity is not otherwise committed. 'Additional costs` shall be used by legal entities for RTD projects where, in the view of the Commission, the analytical budget accountancy used by the legal entity do not enable the full costs of the RTD activity to be substantiated with sufficient precision.

3. The main principles envisaged for the determination and payment of the Community participation shall be indicated in the call for proposals or the supporting documentation issued with the call.

Article 7

The preceding rules shall apply to preparatory, accompanying and support measures for indirect actions subject to the following provisions:

- for activities consisting of procurement and services which are subject to the relevant provisions, in particular Title IV, of the Financial Regulation applicable to the general budget of the European Communities and for subventions to the costs of conferences, workshops and seminars, Articles 3 and 4 of this Decision shall not apply,

- for bursary awards, the last two indents of Article 3 (3) shall not apply;

- in all cases, the last paragraph of Article 2 (2) shall not apply.

Article 8

These rules may only be set out in more detail or complemented within the specific RTD programmes to the extent strictly essential for fulfilling objectives or measures specific to the relevant programme and in accordance with the conditions set out in the decision adopting the programme.

Article 9

This Decision is addressed to the Member States. It shall apply to RTD actions adopted by the Council after the multiannual framework programme 1994 to 1998 enters into force and shall apply until it is replaced by another Decision of the Council based on Article 130j of the Treaty.