Communication from the Commission to the Council and the European Parliament - Scientific and technological research - A strategic part of the European Union's development cooperation with developing countries
Date: 1997-04-25
Institutions: European Commission
Subjects: developing countries, research and development, research policy, scientific cooperation, technical cooperation

COMMISSION  OF THE  EUROPEAN  COMMUNITIES 

Brussels,  25.04.1997 
COM(97)  174  final 

COMMUNICATION  FROM  THE  COMMISSION 
TO  THE  COUNCIL  AND  THE EUROPEAN  PARLIAMENT 

Scientific  and  Technological Research -  a Strategic  Part 
of the European  Union's Development  Cooperation with Developing  Countries 

1. THE DEVELOPMENT  PICTURE: RISING TO THE CHALLENGE 

1.1 Immense challenges 

1.2 RTD in the developing countries 

2.  LESSONS  LEARNT 

2.1 Europe 

2.2 Developing countries 

2.3 Conclusions 

3. OBJECTIVES,  PRINCIPLES AND SUBSTANCE OF AN  OVERALL 
STRATEGY 

3.1 General principles 

3.2 Substance of the strategy 

3.3 Defining the partners' roles 

4. IMPLEMENTATION: INSTRUMENTS  AND AREAS  OF WORK 

4.1 Two complementary instruments that should pull together 

4.2 Areas of work 

5. GREATER  CONSISTENCY  AND COMPLEMENTARITY  THANKS TO 
EFFECTIVE  COORDINATION 

5.1 Consistency between Community policies 

5.2 Complementarity with the Member States 

5.3 Political dialogue on RTD with the South 

4 

4 

5 

7 

7 

9 

10 

11 

11 

12 

12 

14 

14 

1  <» 

17 

18 

18 

19 

z/3 

Introduction 

The  importance  of  research  in  helping  the  developing  countries  to  meet  both  the  global 
challenge  of  trade  liberalisation  and  their  own  specific  development  problems  were 
highlighted  at the meeting of  development  ministers on  1st June  1995.  The Council  and 
the  Member  States  asked  the  Commission  to  draw  up  proposals  on  ways  to  step  up 
Community  aid  for  developing  countries  in  the  research  and  technology  development 
(RTD) sector. 

In  November  1995,  research  ministers  approved  a  Commission  communication  on  the 
prospects  for  international  cooperation  on  RTD,  which  acknowledged  the  need  to 
improve  coordination  between  development  aid  and research  policy.1  A  communication 
dealing  with  the  specific  objectives  of  scientific  cooperation  with  the  developing 
countries was  promised. 

This communication  is the response to these two demands. 

Before  drawing  up  any  proposals,  the  Commission  embarked  on  an  evaluation  of  its 
official  development  assistance  (ODA)  activities  relating  to  RTD,  and  undertook  a 
strategic review of the whole area of science and technology for  development. 

To  better  assess  its  own  approach  and  compare  it with  that  of  the  Member  States,  the 
Commission  hosted  a meeting with Member  State experts on 3 and 4 December  1996 to 
discuss development and international  scientific  cooperation. 

It also took  into  consideration  the proposals  and  recommendations  of  the symposium  on 
international  RTD  cooperation  held  on  19  November  1996, which  it organized  with  the 
European  Parliament,  and  of  the  Conference  "Research  Partnerships  for  Sustainable 
Development"  it  organized  with  the  Dutch  presidency,  held  in  Leiden  (NL)  from  11  to 
13 March  1997. 

1 

Perspectives  for  international  cooperation  in research  and  technological  development,  COM(95)  489. 
N.B.  RDT cooperation  including  research  activities,  technological  development  and  demonstration. 

1. 

THE DEVELOPMENT PICTURE:  RISING TO THE  CHALLENGE 

Developing  countries  constitute  a  non-homogenous  group  with  varying  economic 
conditions.  Even  those  which  enjoy  rapid  economic  growth  in  certain  sectors, 
remain  confronted  by  problems  of  sustainable  development  and  chronic  poverty., 
These  countries,  especially  the  least developed  among  them,  are faced  with  serious 
difficulties,  some  of  which  stem  from  their  own  specific  constraints  and  some  of 
which are world-wide  phenomena. 

1.1 

Immense  challenges 
The developing countries are facing three main type of challenges. 

(i)  Problems  of  society,  which  mainly  concern  the  participation  of  civil 
society  in  decision-making  and  the  choices  affecting  it.  The  access  citizens 
have to  information  and  knowledge  conditions  progress  towards  democracy 
and  the  rule  of  law,  themselves  crucial  for  the  emergence  of  a  modern 
economy  and  society,  which  is  one  of  the  overall  objectives  of  the 
Community's  development policy. 

(ii)  Those  concerning  the  capacity  of  these  countries  to  improve  people's 
standards  of  living  in  terms  of  food,  health,  housing  and  education.  These 
are  legitimate  basic  needs  and  satisfying  them  is  a  world-wide  challenge 
because there cannot be progress in managing the global  environment  nor  in 
political  stability  while  more  than  half  the  world's  population  is  living 
precariously  and unable to manage sustainably the resources it uses. 

Major  international  conferences,  from  Rio to the World  Food  Summit,  have 
looked  at  the  global  challenges  posed  by  these  problems  and  outlined 
policies  to  tackle  them.  For  the  EU,  the  aims  of  poverty-alleviation  and 
supporting sustainable development are a contribution to this  effort. 

(iii)  Those  concerning  the  ability  of  developing  countries  to  seize  the  new 
opportunities  arising  from  the  globalization  of  trade  and  the  move  towards 
more  transparent  economic  competition,  not  only  in  the  agriculture  and 
agro-industry  sector, but also in other relevant sectors. 

Globalization  is  also  affecting  knowledge  and  technological  know-how.  If 
these  countries  are  to  gain  easy  and  speedy  access  to  various  sources  of 
scientific  and  technological  information,  they  will  have  to  greatly  increase 
investment  to  allow  them  to  make the necessary  technological  advances.  It 
is  widely  acknowledged  that  countries  without  access  to  know-how  and 
unable  to  master  these  constantly  evolving  technologies  will  lose out  in  the 
course of  globalization.2 

IS AD,  Midrands (SouUi Africa),  May  1996. 

1.2 

RTD  in the developing  countries 

For  all  countries  RTD  is  an  ever  more  crucial  tool  of  economic,  social  and 
cultural  development,  nourishing as it does a spirit of scientific  inquiry  and a 
culture  of  innovation  that  societies  need  to  understand  and  master  change. 
Economists  recognise  that  a  growing  comparative  advantage  accrues  to 
societies  which  are  knowledge-based,  and 
rapid 
marginalisation.. 

that  others 

risk 

Most  developing  countries,  especially  the poorest  among  them,  have  lagged 
so  far  behind  in  this  field  that  they  cannot  hope  to join  tomorrow's  world 
without  considerable  scientific  and  technological  investment.  There  do 
exist,  however,  niches  of  scientific  excellence  on  which  they  can  draw. 
Further  more,  local  economic  actors  have  an  increased  awareness  of  the 
demands  of  globalization  and  of  the  necessity  of  developing  technological 
partners in order to take part in the ongoing process. 

1.2.1  RTD investment not up to the challenge 
The low interest and  even suspicion,  harboured by many  developing  country 
governments  about  science  and  technology,  plus  the  burden  of  debt  and 
structural  adjustment  constraints, have combined to push RTD to the bottom 
of  their  list  of  priorities. 
In  many  countries  investment  has  remained 
structurally weak and has in some cases declined over the last decade. 

The  figures  speak  for  themselves.  The  share  of  GDP  allocated  to  RTD 
ranges  from  2.8% in Japan  and  the US to next to nothing  in some  countries 
in  the  South.  On  average,  developing  countries  (other  than  emerging 
economies) devote 0.5% of GDP to it.3-

The EU spends an average of 2% and, with a view to convergence,  is aiming 
to  bring  about  a  rapid  increase  in  the  countries  devoting  less  than  this 
average. 

The  figures  for  human  resources  are  even  more  striking.  The  EU  has  40 
researchers/R&D  personnel  per  10,000 of the active population,  whereas  the 
number  is  0.5  for  the  developing  world,  excluding  Asia.4  Furthermore, 
researchers  who  remain  at,  or  return,  home  often  find  themselves  without 
the means to do high quality  research. 

Box  1: human  RTD  potential  in  different  countries 

In  1991  the  figures  for  researchers/R&D  personnel  per  10,000,  activé j 
persons  were:  7$  in  Japan,  69 in  the  US,  40  m  the  EUa  between  2  and  6 
(estimated)  in  India  and  China  and  less  than  0.5  in  the  (non-Asian) 
developing world. 

3 
4 

Sources: MERIT, EUR 5897 EN Report  and UNESCO  1994 Year Book. 
India and  China are investing  in training and have ratios of 4 to 6/10 000. 

RTD  investment  in the  South  also comes  largely  (exclusively  in the  case  of 
the  least-developed  countries)  from  the  public  purse,  which,  because  public 
spending  in  most  of  these  countries  is  low  and  unpredictable,  reduces  its 
effectiveness  and long-term  impact. 

In many developing countries research  has not been sufficient  to make a real 
contribution to understanding  , solving  or  predicting  of  economic,  social  or 
political problems, or above all to help anticipate obstacles. 

there  are  capacities  which  can  provide  economic 

However, 
relay 
mechanisms,  and  also  developing  country  partners  with  comparative 
advantages to exploit them. 

/. 2.2  Insufficient capacity for  speedy improvement 
Research  capacity  in  the  South  is  insufficient  to  tackle  a  wide  range  of 
problems  and  has  remained  confined  to  a  few  sectors  (often  as  not 
agriculture)  and  a few  disciplines  (biological  and  physical  sciences).  Even 
in these cases, efforts  are often  too fragmented  and too isolated to make  any 
real  impact.  However,  certain  countries  (China,  India  and  South  Africa,  for 
example) or regional groupings in Asia and Latin America are exceptions. 

It  is  worth  highlighting  the  main  weaknesses  without  going  into  excessive 
detail. 

The  first  is  the  lacuna  in  the  field  of  economics  and  social  and  political 
sciences,  something  which  is  also  true  of  countries  with  an  otherwise 
considerable  RTD  potential.  This  lack  reduces  these  countries'  capacity  to 
diagnose  problems,  formulate  future  scenarios  and  establish  the  public 
debate which is indispensable for any participatory  and democratic process. 

A second major  deficiency  is in the engineering sciences  leading to  shortage 
of  engineers  and technicians  and,  more generally,  to  a limited  technological 
culture,  which  in  turn  causes  continuing  dependence  on  external  assistance. 
The  provision  of  opportunities  for  appropriate  forms  of  cooperation  can 
contribute to limiting this deficiency,  as certain recently  established  bilateral 
cooperation  activities have shown. 

These first  two weaknesses  are closely  linked  to the often  dramatic  situation 
of many universities in Southern countries. 

Furthermore,  ignoring  or  even  rejecting  traditional  forms  of  knowledge  in 
the  scientific  approach  taken  has  often  led  to  opposition  between  the  old 
ways  and  modern  technology,  the  new  replacing  the  old  instead  of 
complementing  it.  The  cause,  partially  at  least,  is  a  cooperation  that  has 
focused  on a "science transfer"  approach rather than "aid for science". 

Even  in the more advanced  developing  countries, there is a division  between 
research  and  industry,  which  diminishes  the  economic  impact  of  scientific 
findings. 

investment 

RTD 
the  purpose  of 
in  economic  and  social  sectors  for 
responding  to  and  anticipating  developments  through  detailed  planning  is  all 
too rare.  Urbanization  is an example  of this  failure  to  anticipate  events. 

2.  LESSONS OF THE PAST 

2.1 

Europe 

the 

international  cooperation  component  of 

The  Community's  contribution  to  RTD  has  been  made,  on  the  one  hand, 
research  and 
under 
on  the  other, 
technological  development  framework  programme  and, 
through  ODA.  The  conception  and  implementation  of  the  two,  however, 
have tended  to  remain  quite  separate. 

the 

the 

implementation  of  scientific  cooperation  with 

Significant  scientific  cooperation  confined  to a few  areas 

2.1.1 
the 
Since  1982, 
in  the  Framework  Programme  has  been  mainly 
developing  countries 
INCO-DC6) 
implemented  as  a  thematic  approach  (STD5  followed  by 
addressing  all  developing  countries  in  the  same  time.  They  did,  however, 
only  cover 
sustainable 
management  of  natural  resources,  agriculture  and  health. 

those  development 

issues  common 

to  all: 

BOX 3 

111111111111111111111 M i.; 111111, 

• ^ H HI 

M ijii n 1.1.1,1.41 i laH il WAWAW 

P I I » » !! 

| | | a & & éf 

l l . l . l l l l l l l l l l l l l l l l l l l l l l l l l l ll 

§llili»ttfeer 
{mm 

ECU 42 m 
u 

1940: 
411 

nd. 

STD 2 
(1987-91) 
ECU 85 m 
1.6 

STD 3 
(1991-94) 
ECU 125 m 
1.9 

INCO-DC (1994-98) 

ECU 247 m 
1.9 

Agri  Health  Agri  Health  Agri  Health  Nacres.  Agri  Health 
75 

'  30 

25 

65 

35 

30 

70 

Other 
10 

2527 
339 

2030 
297 

30 
30 
partial(*) 
1068 
132 

EU 

DC 

EU 

DC 

303 

327 

787 

585 

EU 

305 

DC 

303 

(*)  1st of three calls for proposals 

the  Framework  Programme,  by 

Until  1994  this  programme  was  supplemented,  for  non-ACP  countries  and 
outside 
International  Scientific 
Cooperation  initiative  (ISC),  which  offered  a  more  individualized  approach, 
and  covered  themes  other  than  those  concerning  development.  For  the 
period  1991-1994, 
initiative  represented  a 
Community  contribution  of  103 million  ECU. 

the  amount  spent  on 

this 

the 

Science and Technology for Development. 
International Cooperation with the Developing Countries. 

The evaluations  made of these various  actions have been  largely  favourable, 
emphasizing 
the  relevance  of  the  themes  chosen  and  the  extensive 
mobilization of research teams in the EU and partner countries in the South. 

From  the  developing  countries'  point  of  view,  they  highlight  the  fact  that 
these programmes have kept the best research teams in the developing world 
in contact  with  the  international  scientific  community.  The scientific  gains 
have  been  substantial  and  they  have  often  made  a  real  contribution  to 
understanding  and  solving  the  development  problems  of  the  countries  and 
regions  concerned. 

From  the  EU's  point  of  view,  the  programme  has  offered  European 
scientists  the  chance to work  on problems  linked  to  biological  and  physical 
environments  different  to those  in Europe,  so broadening  their  professional 
experience.  In  turn,  this  has  built-up  knowledge  of  development  problems 
that is needed to improve sectoral development policies. 

The  verdict  is  thus  satisfactory  and  continuation  of  this  work  meets  the 
needs  of  both  the  EU  and  the  developing  countries.  However,  some 
shortcomings have been  identified. 

The  main  one  is  the  lack  of  any  strategic  framework  for  this  work.  As  a 
result,  in the EU there is little synergy between scientific  cooperation actions 
and  development  aid  projects.  In  the  developing  countries  the  programme 
has  had  a  low  profile  and  limited  legitimacy  arising  from  difficulties  in 
really  involving  their  political  leaders  in  prior  consultations  on  objectives, 
priorities, selection criteria, monitoring and evaluation. 

Other weaknesses  concern the frequent  asymmetry  in the partnership,  to  the 
detriment  of  the  partners  in the  South;  the fact  that  cooperation  is  confined 
to  three  areas,  mainly  for  budget  reasons  (2%  of  the  Community  research 
the  difficulty  of  establishing  clear  geographical  priorities; 
budget); 
insufficient 
and 
involvement 
dissemination  of  the  findings  linked  in  part  to  inadequate  opportunities  and 
modalities in the Framework Programme. 

private-sector 

(especially 

industry) 

The  disappearance  of  the  flexible  formula  provided  by  ISC,  which  also 
offered  fellowships,  has  undoubtedly  heightened  the  dissatisfaction  felt  by 
the  emerging  countries  in  particular.  It  has  not  been  compensated  by  the 
opening  to  these  countries  of  certain  specific  programmes  (action  1 of  the 
4th  Framework  Programme)  because  even 
technologically 
advanced  among  them  were unable  in reality  to  take  part  in the absence  of 
proper preparation for such  participation. 

the  most 

2.1.2  Official  development  assistance,  without adequate  long  term  vision 

has given  insufficient attention to RTD 

The  amount  of  Community  ODA  invested  in  RTD  has  remained  very  low 
and operations  have been disparate  in nature with  no common  thread. 

Box  3:  some  findings  of  an 
Development  Fund 

inventory  of  RTD  activities  under 

the  European 

An inventory of the 6th and 7th EDFs identified  166 research projects, or development projects with an 
RTD component, that accoaut&l for  spetidw^ tâ ECU 13$ ifcMoicu  Ot these» 57 vme  tegfawl  (50% 
research) and 109 national (ïô% research projects and the rest projects with an RTD component). 

The sectoral breakdown is: 

Agriculture 
livestock 
Forestry 

* Eçgionai 
21 
10 
5  * 

, 

' 

' 

, 

National 
4&,  ." 
,  9  .  • 

- 

Wy  \- 

\ 

'  . .  -

uatnral resources 
FisJbejtïôS 
Other sectors (mining, industry, health and institution building) account for the retraining 19 projects, 
Thte sectoral approach developed for transport im  revealed « need for MB input, v,<M<& mli  &e done I» 
&ture+ 
Hie aiaia fadings are: 
-  «0% of projects are designed io offer  "immediate solutions'* (îniproved plant varieties, etc.) without 

8 

4 

- 

, 

. 

, 

my  cotnponent to Smild up focal research capacity; 
— most projects call GO. external scientific expertise; 
-+  fewer thai* 5% of agricultural researdi project coyer ecottoiafe aspects, 

There  has  also  been  a  marked  tendency  to  look  for  short-term,  "technical" 
answers  to  specific  problems  ("consultancy  firm  approach")  without  placing 
the  actions  undertaken 
in  an  institutional  research  context.  The  evaluation 
also  points  to  the  heavy  dependence  on  external  scientific  and  technical 
expertise,  which  does  not  allow  local  research  capacity  to  build  up. 

cooperation 

Although  significant  regional  programmes  for  agricultural  research  have 
been  mounted  under  the  EDF  and  interesting  programmes  such  as  ALFA 
(university 
and  MED-CAMPUS 
(Mediterranean)  have  been  created,  ODA  has  not  given  RTD  the  attention  it 
Technology 
merits  as  a  strategic  element  of  sustainable  development. 
transfers  have  been  preferred  over  aid  to  generate  technological  innovation 
locally. 

in  Latin  America) 

individual  projects  of  high  quality,  especially 

in 
To  sum  up,  despite 
agricultural  research,  the  evaluation  of  RTD  projects  has  highlighted  a  lack 
of  overall  strategy.  However, 
in  the  new 
Community  food  security  policy  is a welcome  recent  development. 

the  place  given  to  research 

2.2 

Developing  countries 

Over  the  last  thirty  years  the  newly  industrializing  countries  of  Asia  have 
steadily  both  increased  and  diversified  their  financing  of  RTD  so  that  it  now 
stands  at  some  1.8%  of  GDP.  The  developing  world  as  a  whole  could  only 
manage  a  rise  from  0.35%  to  0.50%  on  average,  and  some  sub-Saharan 
countries  even  fell  back. 

Box 4: contrasting trends in different  groups of countries 

Annual growth in RTD spending 
itt three key sectors over (he period 1983-90 

Hi 
dynamic Asian 

j&evetooing 
countries 

+23,6% 

+14*1% 

W8BSËL 

* * J% 

University research 

v 

+13**% 

• Mi 

Box  4  illustrates  the  coherent  effort  undertaken  by  the  Dynamic  Asian 
economies  for  creating  knowledge  continua  on  which  they  base  their 
technological  development.  The  differences  in  these  figures  highlight  the 
existence  of  two  development  strategies,  one  based  on  innovation  and  the 
other merely exploiting existing means. 

Specialized  research  centres  have  seen  their  operating  budgets  slashed  to 
levels  at  which  they  can  no  longer  function  properly.  Some  national 
agricultural  research  centres,  for  instance,  have  no  operating  budget  other 
than  external  project  aid,  which  means  that  their  "cycles"  of  work  are 
governed  successive project  cycles, with  periods  of practically  no activity  in 
between. 

Universities  are  undoubtedly  in  the  most  critical  state,  their  research  role 
dwindling  in  importance,  which  also  weakens  their  educational  role. 
Instead, training of researchers  is sought  in the universities  of the  developed 
world, which widens the gap still  further. 

The  civil  society  starting  to  emerge  in  the  developing  countries,  has  only 
rarely been  involved  in the choice  of  research  priorities,  with  the result  that 
the priorities  are perceived  as "academic" and without obvious practical  use. 
Furthermore,  the  way  in  which  results  are  disseminated,  has  made  only  a 
very limited  contribution  to the development  of any "national"  technological 
culture. 

Recently, there have been some positive experiences,  often  based  on  actions 
regional  cooperation  and  North-South 
involving  both  South-South 
cooperation 
in 
agricultural  research,  with  the  emergence  of  a global  research  system  or  the 
regional  experiences  acquired  from  cooperation  undertaken  by  the  EU  and 
by certain Members states. 

in  combination.  Notably,  at 

international 

level 

the 

2.3 

Conclusions 

The main lessons  learnt are: 

10 

•  Most activities suffered  from  a low political  profile  and a lack of  dialogue 
on  sectoral  policy  upstream  of  the  action.  From  this  situation  there 
results,  in  part,  an  absence  of  adequate  methodology  for  allowing  a  real 
association  of  researchers  and  entrepreneurs  with  RTD  in  developing 
countries. 

•  ODA operations: 

-  with  rare  exceptions  neither  the  donors  nor  the  countries  themselves 
had any clear vision of the key role that RTD could play in  supporting 
level  of 
sustainable  development  policy  and  consequently 
investment allocated to it was quite inadequate; 
the  failure  to  consider  institutional  aspects  reduced  the  impact  of 
dispersed  actions; 

the 

- 

•  Scientific  cooperation: 

-  despite  some  excellent  work,  the  lack  of  an  appropriate  political 
framework,  an  unequal  partnership  disadvantaging  the  South,  the 
absence  of  specific  mechanisms  for  valorising  results  and  the  limited 
number of research areas have muted its impact on development. 

The  new  strategy  must  take  on  board  these  lessons  and  define  a  coherent 
overall  framework  to  articulate  its  various  elements  and  coordinate  the 
actions  undertaken. 

3. 

OBJECTIVES,  PRINCIPLES AND SUBSTANCE OF AN OVERALL  STRATEGY 

The  complexity,  scale  and  urgency  of  the  challenges  of  development  call  for  new 
solutions that can only be found  through a major  research  effort. 

The  overall  objective  is to use RTD  for  development  as  a strategic  tool  to  help  the 
developing  countries,  within  an  acceptable  timescale  and  at  a  reasonable  cost, 
narrow  the  growing  technological  gap  between  themselves  and  the  industrialised 
countries that  is marginalising  them  in world trade. 

To  do  this,  a proper  strategy  of  support  for  RTD  has  to  be  drawn  up  which  allows 
the  coordinated  mobilisation  of  efforts  of  the  European  Union  and  the  developing 
countries  themselves. 

3.1 

General  principles 

The strategy will be based on the following  principles: 

Partnership  will be the guiding  principle of the whole strategy  for  both  the 
joint  definition  of  priorities  and  the  implementation  of  EU  actions.  This 
principle  is  especially  important  in  RTD  because  of  the  need  to  enter  into 
long-term  reciprocal  undertakings. 
Differentiation  is  a  principle  that  complements  partnership,  the  aim  being 
to  take  account  of  the  diversity  of  needs  and  cooperation  arrangements  in 
individual  countries  and  regions  resulting  from  their  economic,  social  and 
It  is  already  enshrined  in  the  new  international 
cultural  circumstances. 

11 

scientific  cooperation  policy7  and  is  a  new  element  in  the  thinking  on 
"post-Lomé" cooperation set out in the Green Paper. 

This  principle should  help to increase the efficiency  of  RTD  cooperation,  to 
give it more legitimacy and political  profile.  It should also guarantee that,  as 
well  as  the  general  objective  assigned  to  RTD  cooperation,  a  specific 
objective should be carefully  defined  for each of the instruments  concerned. 

integrated  approach  to  solving  specific  problems,  based  on 
An 
clarification  of  the  respective  roles  of 
the  production  of  scientific 
knowledge, on the one hand,  and the generation  or transfer  of  technologies, 
on the other.  It will entail a great deal of interdisciplinary  collaboration  and 
close liaison with those involved  in civil society and various  socio-economic 
groups. 

3.2 

Substance of the  strategy 

Development  of  an  RTD  policy  will  call  for  coordinated  action  on  three 
different  fronts: 

(i) 

(ii) 

(iii) 

institutional:  the  formulation  of  RTD  policies  as  well  as  the 
taking  of  legislative  and  regulatory  decisions  necessary  for 
creating  a propitious  environment for  the development  and  impact 
of  RTD,  especially  those  aimed  at  facilitating  the  involvement  of 
the  private  sector.  Action  here  is  a  prerequisite  for  any  type  of 
support since it affects  effectiveness  and viability other activities; 

research  capacity:  this  refers,  in  particular,  to  the  infrastructure, 
human resources, etc. needed  to meet the needs of  society  and  the 
economy,  and  constitutes  a new  priority  since  it will  be  the  basis 
for  the  partnership  that  will  take  the  place  of  "scientific  and 
technical  assistance". 

scientific  and  technical  cooperation:  this  provides  contact  with 
the  outside  world  and  is  necessary  to  ensure  access  to  external 
knowledge  bases  and  for  strengthening  scientific  excellence. 
Current reflections  on technological  innovation  should  lead  to  the 
development  of  appropriate  methodologies  for  "market-oriented" 
cooperation. 

Because  of the  interaction  between  all parts  of  this  strategy,  coordination  is 
vital, to ensure coherence. 

3.3 

Defining  the roles  of the various  actors 

To  make  this  partnership  work,  the  role of  those  involved  at  various  levels 
and at different  stages needs to be spelled out clearly. 

[COM(95 489] Perspectives  for international  research and technological  development  cooperation. 

12 

3.3.1  Public authorities in the developing countries 
Their  main  role  is  to  formulate  and'  implement  a  domestic  policy  to 
encourage  investment  in technology  (i.e.  regulations  concerning  intellectual 
property  rights,  telecommunications,  etc.) and  to  plan  and  finance  efforts  in 
the  public  sector,  preferably  in  association  with  private  investments  when 
this  is  viable.  As  the  regulatory  framework  falls  into  place,  regional 
cooperation will be  facilitated. 

The  EU will  have to  adapt  its own  position  on  these  issues  and  specify  the 
conditions  attached to its interventions under the Lomé Convention,  and  the 
ALA and MEDA Regulations. 

States  are also  involved  in RTD themselves;  this  role  is more  significant  in 
the  least-developed  countries,  where  publicly  financed  research  has  a 
proportionately more important role than in more developed  countries. 

Public efforts  should focus  on strategic research, science-related  training and 
encouraging  interaction  between  public  and  private  research  and  relations 
with users under mobilizing national programmes.  The choices made should 
be consistent with a long-term financing  commitment. 

3.3.2  European  donors 
On  the  basis  of  these  common  principles,  the  EU  will  enter  into  dialogue 
with  its  partners  in  the  South  with  the  aim  of  achieving  agreement  on  the 
principles and priorities for  action. 

The Commission should focus on (cf.  chap. 4 below): 

•  establishing  or  strengthening  the  basis  of  political  dialogue  on  RTD,  in 

liaison with Member States; 

•  support  for  institutional  reforms  at  both  national  and  regional  levels 
(facilitating  cooperation  and the establishment of priorities, for  example); 
innovation  at 

•  stepping  up  scientific  cooperation  and  technological 

national, regional and international  levels; 

•  better coordination of the EU's positions in the relevant international  fora 
(WHO,  UNCTAD, 
the  Consultative  Group  on 
International  Agricultural  Research  (CGIAR),  the  Global  Forum  on 
agricultural research, etc.). 

the  World  Bank, 

In  the  spirit  of  strengthening  complementarity,  the  Member  States  could 
focus,  as they often  already  do, on bilateral  cooperation  actions  concerning 
scientific  and technical  capacity building which tackle national  scientific  and 
technological  requirements. 

3.3.3  Civil society and the private sector 
All  actors  in  civil  society  and  the  private  sector,  whether  producers  or 
consumers  of  knowledge  and  technology,  should  play  an  active  part  in  the 
establishment  of  priorities  and  the  implementation  of  research  actions.  As 
from  now  they  should  also  provide,  directly  or  indirectly,  a  larger  share  of 

13 

RTD financing,  and organize themselves  for  the purpose of  identifying  their 
problems and needs. 

In  Europe,  the  mobilization  of  public  and  private  expertise  should  be 
encouraged  with  a  view  to  developing  innovatory  forms  of  scientific  and 
technological  partnerships  on  the  basis  of  jointly  agreed  EU-developing 
country  priorities.  A  prerequisite  for  this  is  that  the  potential  partners  get 
organized 
to  coordinate  cooperation  possibilities.  Examples  of  such 
coordination  are the SHARED initiatives in the field  of health research,  and 
ECART and NATURA covering higher education and agricultural  research.8 

4. 

IMPLEMENTATION:  INSTRUMENTS AND AREAS OF WORK 

The  proposed  strategy  constitutes  a  qualitative  leap  forward  in  comparison  to 
previous  practices  and  is  based  on  the  principle  of  scientific  and  technological 
"mainstreaming",  the  aim  of  which  is  to  take  account  of  scientific  and  technical 
aspects 
if  done 
systematically,  will  radically  change  attitudes  to  RTD  among  both  donors  and 
recipients. 

the  preparation  of  cooperation  programmes,  which, 

in 

4.1 

Two complementary  instruments that should pull  together 

instruments  exist  for  Community  cooperation  with  developing 

Two 
countries in the field  of RTD: 

•  economic  and  technical  assistance  operations  to  achieve  external  policy 
objectives  that  are  implemented  under  a  number  of  different  financial 
instruments  (the  Lomé  Convention,  the  ALA  and  MEDA  Regulations, 
etc.) that are specific  to particular regions; 
international  scientific  cooperation  actions  in  pursuit  of  Community 
research  objectives  which  are  managed  under  the  RTD  framework 
programme. 

• 

These  operations  should  correspond  to  the  specific  objectives  of  each 
instrument  and  also  be  consistent  in  terms  of  general  principles  with  the 
overall strategic  objective. 

4.1.1  Enhancing  the role of RTD in EU economic and social  cooperation 
RTD  should  now  assume  a much  more  important  place  in  EU  cooperation, 
to be achieved  in two ways: 

•  substantial  financial  support  for  institution  building  and  strengthening 

research capacities  (including rehabilitation  of universities); 

•  "mainstreaming",  meaning  that  an  RTD  component  is  included  in  focal 
sectors  of  programming  and  which  could  be  lead  to  a  proportion  of  the 

SHARED  = Scientists for Health and Research for  Development. 
ECART = European  Consortium  for  Agricultural  Research  for the Tropics. 
NATURA  =  Network  of  European  Agricultural  Universities  and  Scientific  Complexes  Related  with 
Agricultural  Development. 

14 

funds  (possibly  3%  to  5%)  being  devoted  to  science  and  technology 
actions. 

The  adoption of these objectives  will  send  a strong signal  to the  developing 
countries and encourage them to enter into dialogue on RTD. 

Actions  for  supporting RTD capacities will vary  in nature  depending  on  the 
country or region concerned.  The Community will be particularly  interested 
instruments  and 
in  regional  actions  since 
acknowledged  experience at that level. 

it  has  suitable  financial 

Differing  priorities  may  emerge  from  the  policy  dialogues  with  different 
regions  as  a  result  of  the  level  of  development  of  the  countries  concerned 
and  the  EU's  objectives.  Some  areas,  however,  would  seem  to  be  of 
common interest to all countries. 

4.1.2  Consolidation  and  diversification  of  science  and 

technology 

cooperation  with the developing countries 

the 
S&T  cooperation  with 
international  scientific  cooperation  policy  and  as  such  must  be  of  mutual 
interest. 
It  should  also  underpin  development  and  economic  cooperation 
with these countries and be an integral part of the new strategy. 

the  developing  countries  comes  under 

The Fifth  Framework Programme, currently being drawn up, should  contain 
a  specific  action  covering  themes  relating  to  development  issues,  enabling 
scientists  of  Europe  and  the  developing  world  to  work  together  on  true 
research  projects,  and  associating  young  scientists  by  an  appropriate 
fellowship  mechanism.  The programme should be drawn up taking  account 
of the lessons  learnt and  in  accordance with  the objectives  and  principles  of 
the new overall  strategy.  This will give it a legitimacy  and profile  that  have 
been limited up to now. 

The  strengthening  of  the  institutional  framework  and  research  capacities  in 
the South will help to bring about a more balanced and enduring partnership. 

Concertation  with  the  public  authorities  and  civil  society  will  ensure  better 
identification  of  regional  priorities  and  strengthen  the  impact  and  use  made 
of the results. 

To  complement  the  thematic  approach  embracing  all  developing  countries, 
more  flexibility  is  needed  in  cooperation  so  that  the  individual  needs  of 
countries  and  regions  are  taken  into  account.  Special  arrangements  will  be 
needed,  particularly  in  respect  of  the  emerging  economies,  to  prepare  and 
facilitate  their  participation  in  the  vertical  thematic  programmes  of  the  5th 
Framework  Programme.9 

[COM(96)  344]  Promoting  RTD  cooperation  with  the  world's  emerging  economies  (communication 
for  the Mediterranean  currently being  drafted). 

15 

The  financial  allocation  for  S&T cooperation  with  the  developing  countries 
must  be  sufficient  to  accommodate  this  double-pronged  approach  and  be 
coherent with other instruments used  to achieve the objectives  of this overall 
strategy. 

4.2 

Areas of work 

Application  of the principle of partnership  will  entail joint  decision-making 
concerning  the  areas  to  be  covered  by  the  EU  and  its  partners,  taking  into 
account  cultural  differences.  This  means that the EU  must clearly  establish 
its own priorities before entering into serious dialogue with its partners. 

These  priorities  should  be  established  by  the  EU,  in  accordance  with  the 
following  criteria: 

• 

• 

• 

the  key  political  and  cultural  objectives,  such  as  the  provisions  on 
development cooperation of the Treaty on European Union; 
the  likelihood  of  speedy  impact  on  development  and/or  on  integration 
into the world  economy; 
the existence of European  scientific  know-how that could be sustained  or 
developed through scientific  cooperation; 

•  commercial  potential  to be realised  (communications  technologies,  some 
spheres  of  industrial  complementarity,  etc.)  and  strengthening 
the 
presence of economic actors in expanding and competitive markets; 
the need to gain access to physical, biological or social  environments  that 
is essential for the progress of  knowledge and of use to Europe itself. 

• 

These  criteria  will  help  identify  the  right  priorities  to  meet  the  challenges 
faced. 

Without  being  exhaustive,  a  number  of  priorities  may  be  cited  that  satisfy 
these  criteria  in  the  main  sectors  concerned  by  development  cooperation, 
implementation  of which will involve one or both Community  instruments. 

•  Management  of  natural  resources  and  agriculture,  fisheries  and  agro-
industry.  These  are  areas where  there  are  existing  partnerships  that  can 
be  reinforced  and  where  two  major  challenges  have  to  be  met:  the 
to 
sustainability  of  development  and  food  security. 
local/regional  (urban)  demand  and  to  the  international  market  will  be  a 
key objective of the actions chosen and might concern  primarily: 
- 

at  the  institutional  level,  support  for  (sub)regional  cooperation 
mechanisms to be built up  in the framework  of the global  system 
of agricultural research for  development;10 
at 
programmes; 

the  operational 

for  supporting 

level,  priority 

Adaptation 

regional 

- 

10  National agricultural  research  systems  (NARS) have grouped themselves  together in regional  forums 
(FARA  for  sub-Saharan  Africa,  LAC  for  Latin  America  and  the  Caribbean,  APAARI  for  Asia  and 
the Pacific  and  AARINENA  for North  Africa  and the Middle East).  Two of these forums  are  related 
to regional  subregional associations:  CORAF, ASARECA and SACCAR  in Africa,  and  PROCCls  for 
Latin  America. 

16 

- 

- 

the  operational 

level,  priority  for  supporting 

at 
programmes; 
for  S&T cooperation, greater focus  on subjects  likely to have real 
impact and mobilize the private sector. 

regional 

•  Health  is  a  sector  where  aid  is  increasing.  Biomedical  research  remains 
urgent  (less  than  2%  of  research  done  concerns  tropical  diseases!)  and 
should be supplemented  by fresh  efforts  on the public health  front. 

•  Demography  and population  issues  linked  to  urbanization  and  land-use 
problems,  as  well  as  related  problems  such  as  transport  and  mobility, 
must have greater prominence than in the past. 

•  Energy  matters are crucial for  any prospect of sustainable development  in 
the  developing  countries  and must find  its rightful  place  in  development 
cooperation. 

•  Information  and communications  must underpin  any  development  policy 
nowadays11.  They  play a central role  in RTD  in  allowing  the  connection 
of  researchers  to  networks,  and  in  reducing  the  effects  of  dispersion  of 
teams.  Technology  cooperation  actions will  derive from  proposals  made 
pursuant  to  the  draft  communication  on  "the  information  society  and 
development". 

Cooperation  at  a  pre-competitive  level  in  other  technological  and  pre-
industrial  domains  (including  information  and  communication  technologies 
and  energy) will  take place where there  is mutual  interest.  Mechanisms  for 
Community  cooperation  should  take  into  account  the  interests  of  European 
industry,  whose  participation  should  be  encouraged,  in  particular  in  regard 
to countries or regions with strong growth.  These mechanisms  should  fmd  a 
satisfactory  balance  between  efficiency  and  visibility  and  its  modalities 
should be accordingly  defined. 

The  Community  should  provide  support  to  local  research  institutions  and 
on-the-spot  training  in  research  as  a  cross-cutting  priority.  Another  is  to 
revive  the  role  of  universities  as  producers  and  transmitters  of  knowledge, 
especially  in  the  least-developed  countries,  where  the  situation  is  dramatic. 
The  conclusion  of  long-term  contractual  relationships  between  universities 
of Europe and the developing world  and their economic partners, on the one 
hand,  and  contributing 
links  between 
universities, on the other, are of major  political  importance for  the EU.  They 
allow  the  development  of  cultural  links  with  the  South  while  at  the  same 
time  controlling  the  number  and  duration  of  stays  made  by  postgraduates 
and  trainee  researchers  in  Europe.  This  can  also  contribute  to  maintaining 
or  re-settling  doctoral  students  and  researchers  in their  home  countries  after 
training overseas. 

to  strengthening  South-South 

5.  GREATER  COHERENCE  AND  COMPLEMENTARITY  THROUGH  EFFECTIVE 

COORDINATION 

The  proposed  strategy  must  be  implemented  in  accordance  with  the  provisions  of 
the Treaty  in respect of coherence and  complementarity. 

11  cf.  COM "Information  society and development"  in preparation. 

17 

5.1 

Coherence  between  Community  policies 

By setting a common  overall  objective  and  complementary  actions based  on 
priorities  agreed  with  the  countries  concerned,  the  strategy  provides  a 
coherent  framework  for  both  the  external  policies  and  the  research  policy 
with the developing countries. 

Its  implementation  will  call for  ongoing  coordination  between  departments. 
The Commission  has already started to do this during  implementation  of  the 
fourth  Framework  Programme  and  preparations  for  the  fifth  by  organizing 
consultations  between  the  departments  involved  on  the  international  side. 
These efforts  have to be extended and put on a more permanent  footing. 

To  be  really  effective,  internal  coordination  will  have  to  stepped  up  and 
doubtless  take  on  a  more  institutionalized  form  with  clear  terms  of 
reference.  One possibility  is a scientific  "forward  planning unit". 

The  recruitment  of  more  RTD  skills  at  Commission  headquarters  would 
make for more efficient  coordination. 

5.2 

Complementarity  with the Member  States 

The strategy  is based  on a complementarity  of  operations  undertaken  by  the 
Commission  and  the  Member  States,  both  internationally  and  in  the 
developing countries.  This supposes that the Member  States have also taken 
action  to  increase  coherence  of  the  various  RTD  steps  they  are  conducting 
with developing  countries. 

The  effectiveness  and  visibility  of  the  EU  will  emerge  strengthened  from 
this. 

In  this  context,  the  European  Initiative  on  Agricultural  Research  for 
Development  (EIARD)12  is  a  coordination  mechanism  that,  among  other 
things,  has  made  the  EU's  contribution  to  CGIAR  more  visible  (the 
Commission  and  the  Member  States  combined  provide  40%  of  its  budget) 
and raised the European profile.  This coordination effort  must continue. 

Mechanism  of  a  similar 
type 
contribution  in other areas (e.g. health) should also be considered. 

to  coordinate 

the  EU's 

international 

The  complementarity  vis-à-vis  Southern  countries  starts  with  more 
transparent  and better structured  exchanges of information.  The  INCO-POL 
study  is a good  example.13  The Commission  proposes  to  set up  this type  of 
coordination  in some regions designated  strategic by the Council. 

12  There is a Communication [COM(97)126] reporting on this initiative 
13 

INCO-POL  is a study financed  by tlie Commission (and agreed by tlie Member  States) to make an 
inventory by region of the Member States' policies on aid for research. 

18 

5.3 

Political  dialogue on RTD with the South 

The choice of such an integrated overall approach calls for political  dialogue 
with  the  developing  countries,  in  coordination  with  the  Member  States,  to 
establish  a  framework  for  action  at  regional  and  national  levels  which  is 
coherent within the overall scope of European Union external relations. 

The  Commission  proposes  to  help  conduct  this  political  dialogue,  which 
should  establish  a  common  coherent  framework  for  Community  RTD 
activity  and  a  basis  for  bringing  about  greater  complementarity  with  the 
Member States. 

The experience of the Euro-Mediterranean scientific  partnership, both  in its 
achievements  and in its limits, provides a useful  starting point which  might 
be adopted for other regions in the South. 

19 

Conclusions 

In view of the complexity, scale and urgency of the challenges  facing  us, the 
Commission underlines  the strategic role that RTD  has to play  in  promoting 
sustainable  development  in  the  developing  countries  and  achieving  the 
Community's  development cooperation  objectives. 

The  lessons  learnt  show  that  only  a  comprehensive  approach  based  on  aid 
for  science  can  ensure  a  coherent  and  effective  implementation  of  both 
development and research policies. 

The  Commission  regards  the  drafting  of  the  fifth  Framework-Programme, 
and the debate opened  by the Green Paper on the future  of  cooperation  with 
the  ACP  States,  as  two  crucial  opportunities  for  putting  into  practice  what 
has been  learnt. 

It  proposes  that  RTD  now  be  systematically  taken  into  account  in  sectoral 
approaches. 

It  underlines  the  need  to  consolidate  specific  scientific  and  technological 
cooperation  activities  for  development  within  the  international  cooperation 
component  of  the  Fifth  Framework  Programme  to  make  them  an  integral 
In  addition,  it  also  underlines  the  interest  in 
part  of  this  strategy. 
implementing  measures  which  permit 
improved  access  of  "emerging 
economies"  countries  to  the  Framework  Programme,-  -and  to  develop 
scientific  and  technological  cooperation  actions  which  facilitate  access  of 
European enterprises to rapidly growing markets 

Finally,  the  Commission  proposes  that  political  dialogue  in  this  strategic 
sector be strengthened,  in coordination with the Member  States, with  a view 
to establishing  a true partnership with the countries and regions  concerned. 

20 

ISSN 0254-1475 

COM(97)  174 final 

DOCUMENTS 

EN 

11  15 

Catalogue  number  :  CB-CO-97-163-EN-C 

ISBN  92-78-18770-4 

Office  for  Official  Publications  of the European  Communities 

L-2985  Luxembourg 

21