Proposal for a Council Decision adopting a specific research and technological development programme in the field of stimulation of the training and mobility of researchers (1994-1998) (94/C 228/16) (Text with EEA relevance) COM(94) 68 final - 94/0094(CNS)

(Submitted by the Commission on 30 March 1994)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 130 i (4) thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Parliament,

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

Whereas, by Decision . . ./. . ./EC, the Council and the European Parliament adopted a Fourth Framework Programme for Community activities in the field of research, technological development and demonstration (RTD) for the period 1994-1998 specifying inter alia the activities to be carried out in the field of the training and mobility of researchers; whereas this Decision takes account of the grounds set out in the preamble to that Decision;

Whereas Article 130 i (3) of the Treaty specifies that the Framework Programme shall be implemented through specific programmes developed within each activity under the Framework Programme and that each Specific Programme shall define the detailed rules for implementing it, fix its duration and provide for the resources deemed necessary;

Whereas this programme will be carried out mainly through shared-cost actions, concerted actions and through preparatory, accompanying and support measures;

Whereas, in accordance with Article 130 i (3), an estimate shall be made of the financial amount necessary to carry out this Specific Programme; whereas the definitive amount shall be decided by the Budgetary Authority in conformity with the share fixed by the Framework Programme;

Whereas Decision . . ./. . ./EC (Fourth Framework Programme) provides that the maximum overall amount of the Fourth Framework Programme will be re-examined by 30 June 1996 at the latest with a view to being increased; whereas the amount deemed necessary for implementation of this programme may be increased as a result of that examination;

Whereas the development and better utilization of human resources in the Community through the training and mobility of researchers is one of the priorities of the Fourth Framework Programme;

Whereas intensification of Community collaboration by the networking (including twinning) of laboratories in different countries is an important means of strengthening the European research base; whereas it is also important to facilitate the access of Community researchers to large-scale facilities essential to high quality research;

Whereas training activities, networking and facilitating the access to large-scale facilities call for appropriate accompanying measures, such as conferences and courses, prizes for young scientists, dissemination and utilization of research results and the consultation of distinguished European scientists and representatives of industry;

Whereas the promotion of human resources must also contribute to the Community's scientific cohesion by offering scientific institutions and researchers in the less-favoured regions training and research opportunities enabling them to achieve excellence;

Whereas the content of the Fourth Framework Programme was established in accordance with the subsidiarity principle; whereas this specific programme specifies the content of the activities to be carried out in accordance with this principle in the field of training and mobility of researchers;

Whereas Decision . . ./. . ./EC (Fourth Framework Programme) provides that Community action is justified if inter alia the research contributes to strengthening the economic and social cohesion of the Community and to promoting its overall harmonious development while maintaining scientific and technical quality; whereas it is considered that this programme contributes to attaining these objectives;

Whereas this programme will help to strengthen synergy between the RTD activities carried out in the field of training and mobility of researchers in the Community by research centres, universities and enterprises, in particular SMEs, in the Member States and between the latter and the corresponding Community RTD activities;

Whereas the training activities for researchers in the specific programmes of the first, second, and third activities of the Fourth Framework Programme must be coordinated;

Whereas the rules for the participation of undertakings, research centres (including the JRC) and universities and the rules governing the dissemination of research results specified in the measures provided for in Article 130 j of the Treaty apply to this Specific Programme;

Whereas, in accordance with Article 130 m of the Treaty, it may be appropriate to engage in international cooperation activities with international organizations and third countries other than the countries covered by the EEA Agreement for the purpose of implementing this programme;

Whereas this programme also comprises activities for the dissemination and utilization of RTD results, in particular vis-à-vis SMEs and notably those in the Member States or regions that participate least in the programme;

Whereas an assessment should be made of the economic and social impact and any technological risks associated with the activities carried out under this programme;

Whereas progress with this programme should be continuously and systematically monitored with a view to adapting it, where appropriate, to scientific and technological developments of this area; whereas in due course there should be an independent evaluation of progress with the programme so as to provide all the background information needed in order to determine the objectives of the Fifth RTD Framework Programme; whereas at the end of this programme there should be a final evaluation of the results obtained compared with the objectives set out in this Decision;

Whereas the JRC may participate in the indirect actions covered by this programme;

Whereas the Scientific and Technical Research Committee (CREST) has been consulted,

HAS ADOPTED THIS DECISION:

Article 1

A specific research and technological development programme in the field of training and mobility of researchers, as set out in Annex I, is hererby adopted for the period from (date of adoption of this programme) to 31 December 1998.

Article 2

1. The amount deemed necessary for carrying out the programme is ECU 744 million, including 5,6 % for staff and administrative expenditure.

2. An indicative breakdown of this amount is given in Annex II.

3. The amount deemed necessary for carrying out the programme, as indicated above, could increase as a result of, and in accordance with, the Decision referred to in Article 1 (3) of Decision . . ./. . ./EC (Fourth Framework Programme).

4. The Budgetary Authority shall determine the appropriations available for each financial year in accordance with the share fixed by the Framework Programme.

Article 3

Detailed rules for implementing this programme, in addition to those referred to in Article 5, are set out in Annex III.

Article 4

1. The Commission shall continuously and systematically monitor, with appropriate assistance from independent, external experts, the progress within this programme in relation to the objectives set out in Annex I. It shall in particular assess whether the objectives, priorities and financial resources are still appropriate. It shall submit proposals to adapt or supplement this programme depending on the results of this monitoring process.

2. In order to contribute to the overall assessment of Community activities provided for in Article 4 (2) of the Decision adopting the Fourth Framework Programme, the Commission shall, in due course, have an assessment made by independent experts of the activities carried out under this programme, and of their management during the five years preceding the assessment.

3. At the end of this programme, the Commission shall instruct independent experts to conduct a final evaluation of the results achieved compared with the objectives set out in Annex III to the Fourth Framework Programme and Annex I to this Decision. The final evaluation report shall be forwarded to the Council, the European Parliament and the Economic and Social Committee.

Article 5

1. A work programme shall be drawn up by the Commission in accordance with the objectives set out in Annex I and shall be updated where appropriate. It shall set out in detail the scientific and technological objectives and specify the stages in the implementation of the programme and the proposed financial arrangements.

2. The Commission shall issue calls for proposals for projects on the basis of the work programme.

Article 6

1. The Commission shall be responsible for the implementation of the programme.

2. In the cases provided for in Article 7 (1) below, the Commission shall be assisted by a committee consisting of representatives of the Member States and chaired by the representative of the Commission.

The Commission representative shall submit to the Committee a draft of the measures to be taken. The Committee shall give its opinion on this draft within a period which the chairman may determine on the basis of the urgency of the issue.

The opinion shall be given by the majority provided for in Article 148 (2) of the Treaty for the adoption of Decisions by the Council on a proposal from the Commission. For the purposes of voting within the Committee, the votes of the representatives of the Member States shall be weighted in accordance with the abovementioned article. The chairman shall not vote.

The Commission shall adopt the measures envisaged where they are in accordance with the opinion of the Committee.

If the measures envisaged 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 relating to the measures to be taken. The Council shall act by qualified majority.

If on expiry of a period of one month from referral of the matter to the Council, the latter has not acted, the proposed measures shall be adopted by the Commission.

Article 7

1. The procedure laid down in Article 6 (2) above shall apply to:

- the preparation and updating of the work programme referred to in Article 5 (1),

- the evaluation of the RTD projects proposed for Community financing as well as of the amount estimated for this financing, where for a particular project that amount exceeds ECU 0,2 million;

- the measures to be taken to evaluate the programme;

- any departure from the indicative breakdown of the amount set out in Annex II, which has not been the subject of a budgetary decision.

2. The Commission shall inform the Committee, at each of its meetings, of the evaluation of the programme's implementation in its entirety.

Article 8

The Commission is authorized to negotiate, in accordance with Article 228 (1) of the Treaty, international agreements with European third countries with a view to involving them in all or part of the programme.

Article 9

This Decision is addressed to the Member States.

ANNEX I

SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES AND CONTENT

This Specific Programme fully reflects the broad lines of the Fourth Framework Programme, and applies the selection criteria and spells out the scientific and technical objectives set out in that programme.

The section of Annex III to the Fourth Framework Programme concerning the fourth activity is an integral part of this programme.

1. THE CONTEXT

1.1. Stakes

The optimal utilization of human resources is a basic parameter of all socio-economic activity. The Commission's White Paper on 'Growth, Competitiveness, Employment' signalled in particular the importance in regard to researchers of 'their qualifications, their ability to meet the needs of developing industries and the extent to which the capital they represent is utilized' in order to contribute 'to renewing growth, strengthening competitiveness and boosting employment in the Community'.

Although Europe possesses, in the field of research, a human capital that ranks high in the world, its utilization is often ponderous and slowed down by differences that still exist between Member States and between different disciplines. The development of human resources by means of training through research and their better utilization through transnational mobility and cooperation are essential means to meet the general objectives of the Framework Programme. In this context, it is essential to ensure equal opportunities for male and female researchers.

In order to encourage creativity and innovation, there is a need to stimulate transnational training and cooperation activities proposed spontaneously by researchers themselves (bottom-up approach) without the outside imposition of pre-established targets or objectives. It will not always be easy to make a distinction between the 'targeted' approach of the first activity of the Fourth Framework Programme and this so-called 'free' research. It will be necessary to avoid overlap (in the case of projects, proposed to the fourth activity, that satisfy the specific objectives of the first activity), while at the same time ensuring the complementarity links that are necessary if the training and mobility activities of Community programmes are to create a bridge between fundamental research and applied research. For this reason, the training actions of the specific programmes of the first activity and of the JRC will be co-ordinated with those of this programme.

While respecting the fundamental principle of scientific excellence that governs Community RTD programmes, this programme will make an important contribution to Community cohesion by reducing the isolation of researchers, by improving communication and by establishing a climate of collaboration in the world of European research.

The fourth activity, which is aimed at providing advanced training in laboratories throughout the whole Community, will be open in character and will also stress the cooperation between universities and industry.

In order to stimulate fully the mobility of researchers, a major effort will have to be made to adapt the conditions and implementation procedures of Community training grants to national systems and, in the longer term, to coordinate the social, tax and salary conditions of these grants in all Member States.

1.2. Continuity and evolution in the programme

This programme is a continuation, with necessary modifications, of the 'Human Capital and Mobility' programme (1992-1994) and the earlier programmes 'Stimulation' (1983-1988), 'Science' (1988-1992), 'Access to Large Installations' (1989-1992) and 'SPES' (1989-1992).

Continuity elements, essential to any long-term activity, concern objectives (to increase, through training, mobility and cooperation, the efficiency of research and of research infrastructure), cohesion factors (to take into consideration the needs for qualified scientific staff in the less-favoured regions) and subsidiarity factors (to exploit the catalytic effects originating from the pooling of abilities and resources dispersed throughout the Community).

2. RTD ACTIVITIES

2.1. General objectives

The aim of the programme is to promote, through the stimulation of training and mobility of researchers, a quantitative and qualitative increase of human resources within the Community and the associated States (1). Its general objectives are the following:

- to stimulate training through research and, by means of cooperation, to foster better utilization of high-level researchers in the Community;

- to improve the mobility of European researchers throughout the Community, encouraging mobility both between universities, research institutes and industry and between disciplines, thus better exploiting the research potential in the different disciplines;

- to promote, for instance through networks, transnational cooperation on research activities proposed essentially by the scientists themselves and not eligible for support under the first activity;

- to facilitate the access of all European researchers to existing large-scale facilities that are essential for high-quality research;

- to improve the scientific and technological cohesion of the Community and contribute to the attainment of a general level of scientific excellence by offering research opportunities to scientific institutions and researchers from all regions of the Community. As was the case under the 'Human Capital and Mobility' programme (1992-1994), the return to their region of origin of researchers originating in the less-favoured regions will be encouraged and financed.

This activity will cover the exact, natural, economic and management sciences, as well as those social and human sciences that contribute to the Community's objectives in research, technological development and demonstration.

2.2. Specific activities

The programme is divided into three interdependent areas (research networks, access to large-scale facilities, training through research), to which is attached an activity concerning accompanying measures aimed at improving communication between researchers themselves and with industry, at encouraging young researchers and at publicizing the results and achievements of the programme.

2.2.1. Research networks

Networks will allow researchers from as many countries as possible to join their efforts in 'European Laboratories Without Walls' and to constitute, in this manner, groups capable of performing research of higher quality. Small associations of laboratories from different countries (including twinnings) will also be eligible for support when they are considered to form the core of a future larger network.

Grants will be awarded to help researchers to meet, to perform experiments in common, to exchange results, to reinforce research staffs through temporary contracts for visiting scientists (preferably from a country other than that of the team concerned) and, in exceptional cases, to cover additional costs linked to scientific equipment where it is necessary for the joint research of the network. The average grant to a research team participating in a network shall correspond typically to the cost of taking on a post-doctoral researcher.

It will be the task of each network to distribute the research responsibilities between laboratories and to coordinate the research operations so that cooperation and communication is as open and efficient as possible. Advantage should be taken of the capabilities and potential of modern telematics, whenever appropriate.

Each network shall ensure the regular diffusion of its principal research results by publication of brochures and overview articles. After the work of a network has started, arrangements shall be made, where relevant, for establishing regular dialogue with industrial laboratories, particularly from SMEs, that could exploit the research findings or finance an extension of the research towards new objectives. As far as possible, SMEs of the less-favoured regions will be associated in this dialogue and encouraged to integrate with the transnational research teams.

The lifetime of a network shall not be less than three years.

2.2.2. Access to large-scale facilities

This activity is devoted to large research installations whose uniqueness or rarity in the Community, high investment or upkeep costs, and importance for research justifies substantial effort at Community level. It will be of particular importance to researchers working in regions of the Community where such installations do not exist.

Community actions, complementing national and international efforts, will include:

- support for researchers in order to facilitate their access to large installations and large instruments that are necessary for research and rare in the Community;

- support for improvement, where necessary, to large-scale facilities in order to provide wider access to Community researchers, thus encouraging more efficient use of these facilities.

2.2.3. Training through research

- Implementation of an activity of training through research and stimulation of researcher mobility in all the fields covered by the programme. Training periods may have a duration of between three months and three years and will allow European researchers to undergo training or specialization outside their country of origin. With regard to cohesion, measures will be taken to encourage the return to their region of origin of researchers from the less-favoured regions, and to enable leading scientists from the industrialized regions to work for extended periods in research centres in the less-favoured regions.

Particular attention will be given to training activities devoted to the management of change, within enterprises, associated with new technology. Special attention will be attributed to the training of researchers belonging to SMEs.

- Coordination of the training activities defined in the specific programmes in the first, second and third activities of the Fourth Framework Programme. The purpose is to offer a coherent framework (correspondence of training grants and of categories of fellows, single entry points for receiving proposals and for expenditure commitments, harmonizaton of evaluation and selection procedures, . . .) for the various actions at the Community level of training through research without going so far as to impose a centralized system unsuited to the special requirements of each programme.

- Study of the host conditions of Community research fellows. Large differences exist between Member States as regards the legal and financial status (salaries, social benefits and taxes) of Community disbursements to research fellows. The analysis of these differences will be pursued and efforts made to offset them or to adapt the system of Community training grants to the specific national situations.

2.2.4. Accompanying measures

Accompanying measures will be taken to contribute to the objectives of the programme in relation to the stimulation of researcher mobility and training; at the same time, they will be an appropriate vehicle for the dissemination of information on the conditions and procedures for participating in the various activities of the programme and for the dissemination of its results.

They will include in particular:

- the development of a system of Euroconferences to enable young researchers to make contacts with leading scientists in their respective disciplines;

- the organization of practical courses in laboratories or in industry to acquaint researchers with methods and techniques that are novel or little used. These courses will be organized, whenever practicable, in the less-favoured regions of the Community;

- the award of prizes to young undergraduate students and a competition for talented young scientists in secondary education;

- the encouragement of the participation of the less-favoured regions in the programme through the organization of information seminars;

- the publication and dissemination by all appropriate means of the objectives, details of participation, implementation and results of the programme;

- the consultation of distinguished European scientists and representatives of industry on the progress of the programme and on the possible need to modify its implementation or objectives;

- the organization of seminars as a forum for debate with the programme's fellows on the impact of the programme on their scientific activities and their careers;

- the evaluation of the economic and social impact and of possible technological risks arising out of the activities conducted in the frame of this programme;

- regular evaluation, in direct consultation with Member States, of progress made under the programme with regard to cohesion;

- study of the possibility of organizing training through distance-learning for the less-favoured regions of the Community.

(1) An 'associated State' is a country participating financially in this programme, notably countries having ratified the Agreement on the European Economic Area, which are associated with the implementation of the Framework Programme.

ANNEX II

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ANNEX III

DETAILED RULES FOR IMPLEMENTING THE PROGRAMME

The detailed rules for the Community's financial contribution are laid down in Annex IV to the Decision on the Fourth Framework Programme.

The detailed rules for the participation of undertakings, research centres and universities and for the dissemination of results will be laid down in the measures provided for by Article 130 j of the Treaty.

However, for the purpose of implementing this programme, the following exceptions shall apply:

1.1. Participation in this programme is open, with financial support from the Community:

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

- in the Community, or

- in a third country associated, wholly or in part, with the implementation of the programme through an agreement concluded between the Community and the said third country,

(b) to the Joint Research Centre.

1.2. Participation in this programme is open, without financial support from the Community, and on condition that their participation is in the interests of Community policies:

(a) to legal entities established in a country which has concluded a scientific and technical cooperation agreement with the Community relating to activities covered by the programme, provided the participation accords with the terms of the agreement,

(b) to legal entities established in a European country,

(c) to international research organizations.

1.3. The participation of European international organizations may be financed on the same basis as that for Community organizations in duly specified cases.

1. RESEARCH NETWORKS

Participants in this shared-cost action will be research teams, in universities, research institutes and industry, grouped in transnational networks for the purpose of jointly conducting a research project.

As a general rule, a network shall consist of at least five research teams from at least three countries. The lifetime of a network shall be at least three years. However, networks of less than five teams in different countries, including twinnings, may be supported when they are considered to form the core of a future larger network. Such networks will be supported, in a starting phase, for a maximum of only two years; the continuation of support will depend on the number of participants having increased to five or more from at least three countries.

Networks to be financed by the Community shall be selected on the basis of their scientific quality, taking into account the added value that working together as a network could represent for European science and the participation of industry where relevant to the project proposed. While respecting the overriding criterion of scientific quality in the selection process, proposals linking established laboratories of high quality, on the one hand, and promising laboratories situated in the less-favoured regions, on the other, will be encouraged.

The Community contribution will be granted to cover 100 % of the additional costs of creating and maintaining the network (mobility, additional personnel, research costs). As a general rule, it shall not be used to procure durable equipment or to contribute to infrastructural costs. A part of the Community contribution awarded to a network may however be used to cover the costs of 'infrastructure-equipment' when it is needed to help establish a new research team to be set up in a less-favoured region (1) of the Community by a researcher trained abroad on a post-doctoral fellowship in the frame of this or the previous Human Capital and Mobility Programme.

2. LARGE-SCALE FACILITIES

The term 'large-scale facilities' refers to an installation, which is rare in the Community, whose investment and operating costs are high, and whose importance for research justifies a substantial effort at the Community level in order to encourage the access of researchers and the more efficient use of the facility. A group of smaller complementary installations, located on the same site, could also be considered to be a large-scale facility, if this group as a whole has equivalent characteristics to those described above.

Facilities to be financed by the Community shall be selected on the basis of the following criteria:

- the qualities of the facility, in particular the originality and range of possible experiments, as well as the capacity of its scientific, technical and logistical infrastructure;

- the scale of interest shown by potential new users;

- the cost effectiveness of Community support;

- the benefit to the Community in terms of improving the scientific and technical potential of the less-favoured regions.

Shared-cost actions

Community support will be granted to cover 100 % of the additional costs relating to the use of existing facilities by researchers other than those belonging to the host organization. Priority will be given to new users and to researchers who come from countries other than that in which the facility is located. Grants are intended to cover the travel and subsistence costs of the researchers, fees for the researchers to use the facility, and the publication and dissemination of scientific results. Such grants will not provide support to procure durable equipment or to contribute to infrastructural costs.

In the case of the improvement of installations (for example, peripheral equipment, instrumentation, technological development, feasibility studies) in order to encourage wider access to researchers and to encourage more efficient use of the facilities, Community support will be granted to cover 100 % of the additional costs, or, where it is more appropriate, 50 % of the full costs of the project.

Concerted actions

Concerted actions (studies, seminars, workshops, etc.) will also be supported in order to encourage the exchange of information between large-scale facilities and European researchers on subjects of common interest, complementing national and international efforts.

3. TRAINING THROUGH RESEARCH

Participants in this activity are, on the one hand, researchers wishing to receive training or to specialize outside their country of origin and, on the other, the research institutions hosting them.

Researchers must be citizens of Community Member States or of an associated State.

The research institutions must be legal entities, established in the Community or an associated State and have the capacity to provide training through research.

The activity will be financed through Community grants for training and mobility designed to cover the subsistence and mobility expenses of the researchers and to make a contribution to the research and administrative costs of the host institution. The training period could vary from three months to three years.

The training programme covers basic and applied research in all the exact and natural sciences, economic and management sciences, as well as in the human and social sciences that contribute to the Community's RTD objectives.

Eligibility

Persons whose studies or career have reached the following levels are eligible for support:

- postgraduate: holder of a degree, obtained after at least four years' full-time studies, delivered by a university or equivalent institution of higher education, which qualifies the holder directly, without an intermediate examination, to embark on a doctorate;

- post-doctoral: researcher holding a doctorate or, alternatively, a researcher without a doctorate, but having at least four years' full-time research experience after successfully graduating from a course of study of at least four years' duration;

- experienced researcher: researcher with at least eight years' full-time research experience after successfully graduating from a course of study of at least four years' duration.

Return grants

Return grants are reserved for researchers from less-favoured regions who have been in receipt of a two-year grant for training through research. Their purpose is to enable the researcher to return to his region of origin during a period of one year. An applicant for a return grant must provide proof of links (birth or extended period of residence during the last few years) with his region of origin.

Selection criteria

Curriculum vitae of the candidate for a grant,

research experience,

scientific interest of the proposal,

value and realistic nature of the work,

and the qualities and abilities of the host laboratory.

The applications must be presented by researchers with the agreement of the host institution where they wish to undergo their training.

Call for proposals

The call for proposals will remain open throughout the whole duration of the programme.

4. ACCOMPANYING MEASURES

The accompanying measures set out in Annex I are intended to contribute to the effectiveness of the various training and mobility activities and to the proper dissemination and utilization of the results of the programme and of scientific research in the Community. The activities relating to dissemination and utilization of results carried out under this programme will complement those conducted under the third activity of the Framework Programme and will be implemented in close coordination with the latter. Partners in RTD projects are excellent vehicles for the dissemination and utilization of results. Back-up will be provided via publications, conferences, promotion of results, studies of technical and economic potential, etc. To ensure optimum utilization, factors liable to encourage the subsequent utilization of results should be taken into account from the outset and throughout the RTD projects. Additional measures may be planned in the course of the programme on proposal of the Commission Services, following consultation and agreement of the component bodies.

The selection procedure for the accompanying measures will involve a single call for proposals which will be published at the beginning of the programme, and which will remain open throughout its entire duration.

Selection criteria

- the scientific or technical quality of the proposal;

- its contribution to the general objectives and guidelines of the programme and of Community RTD policy.

Financing

The accompanying measures selected will be the subject of a contract between the Commission and the proposer(s). The contract may provide for financial participation by the Community of up to 100 % of the approved costs.

In the case of Euroconferences, at least 75 % of the Community's financial participation shall be allocated to financing the participation of young researchers; a maximum of 25 % may be provided for the preparation and organization proper of the conference, including in particular the reimbursement of expenses relating to the participation of experienced researchers.

(1) Objective 1 regions of Council Regulation 93/2081/EEC (OJ No L 193/19, p. 5, 31. 7. 1993).