Proposal for a Council Decision adopting a specific programme for research, technological development and demonstration on "Confirming the international role of Community research" (1998 to 2002)
Date: 1998-06-10
Institutions: European Commission
Subjects: EU programme, EU research policy, innovation, research and development, research expenditure (EU), the EU's international role

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Proposal  for  a  Council  Decision  adopting  a  specific  programme  for  research,  technological
development  and  demonstration  on  ‘Confirming  the  international  role  of  Community  research’
(1998  to  2002)

(98/C  260/05)

(Text  with  EEA  relevance)

COM(98)  305  final  —  98/0181(CNS)

(Submitted  by  the  Commission  on  10  June  1998)

THE  COUNCIL  OF  THE  EUROPEAN  UNION,

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

Having  regard  to  the  proposal  from  the  Commission,

Having  regard 
Parliament,

to 

the  opinion  of 

the  European

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

Whereas  by  Decision  No  . . ./98/EC (1),  the  European
Parliament  and  the  Council  adopted  the  fifth  framework
programme  of  the  European  Community  (hereinafter
referred  to  as  ‘the  fifth  framework  programme’)  for
research,  technological  development  and  demonstration
(hereinafter referred to as ‘RTD’) activities for the period
1998  to  2002  specifying  inter  alia  the  activities  to  be
carried  out  in  the  field  of  ‘the  international  role  of
Community  research’;

Whereas  Article  130i(3)  of  the  Treaty  stipulates  that  the
framework  programme  shall  be  implemented  through
specific programmes developed within each activity under
the  framework  programme,  and  that  each  specific
programme 
for
implementing  it,  fix  its  duration  and  provide  for  the
means  deemed  necessary;

the  detailed 

shall  define 

rules 

Whereas, in accordance with Article 4(2) of Decision No
1110/94/EC  of  the  European  Parliament  and  of  the
fourth
Council  of  26  April  1994  concerning 
framework  programme  of  the  European  Community
activities 
technological
development  and  demonstration  (1994  to  1998) (2)  and

field  of 

research, 

the 

the 

in 

the 

implementing 

Article  4(2)  of  the  Council  Decisions  on  the  specific
programmes 
framework
programme,  the  Commission  has  had  an  external
assessment  conducted  which  it  has  transmitted  to  the
European  Parliament,  the  Council,  the  Economic  and
Social  Committee  and  the  Committee  of  the  Regions
together  with  its  conclusions  and  comments;

fourth 

Whereas the Scientific and Technical Research Committee
has  been  consulted  on  the  scientific  and  technological
content  of  the  specific  programmes,  as  set  out  in  the
working  paper  adopted  by  the  Commission  on  5
November  1997 (3);

Whereas,  in  accordance  with  Article  130j  of  the  Treaty,
Council  Decision  98/. . ./EC  of  . . .  concerning  the  rules
for  the  participation  of  undertakings,  research  centres
and  universities  and  for  the  dissemination  of  research
results (4)  (hereinafter  referred  to  as 
‘the  rules  for
participation  and  dissemination’)  applies  to  this  specific
programme  and  allows  the  participation  of  the  Joint
Research  Centre  in  the  indirect  actions  covered  by  this
specific programme;

for 

implementing 

the  purpose  of 

Whereas, 
this
programme,  in  addition  to  cooperation  covered  by  the
Agreement  on  the  European  Economic  Area  or  by  an
association agreement, it may be appropriate to engage in
international  cooperation  activities,  in  particular  on  the
basis  of  Article  130m  of  the  Treaty,  with  third  countries
or  international  organisations;

Whereas  implementation  of  this  programme  will  also
comprise activities and mechanisms aimed at stimulating,
disseminating  and  exploiting  RTD  results,  in  particular
vis-à-vis 
small  and  medium-sized  enterprises,  and
activities  to  stimulate  the  mobility  and  training  of
researchers;

(1)  Common  position  31/98,  adopted  by  the  Council  on  23

March  1998  (OJ  C  178,  10.6.1998,  p.  1).

(2)  OJ  L  126,  18.5.1994,  p.  1.  Decision  as  last  amended  by
Decision  No  2535/97/EC  (OJ  L  347,  18.12.1997,  p.  1).

(3)  COM(97)553  final.
(4)  COM(97)587  final  (OJ  C  40,  7.2.1998,  p.  14).

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Whereas,  in  accordance  with  the  objectives  of  the  first
action  plan  for  innovation,  research  activities  under  the
fifth  framework  programme  should  be  geared  more
towards  innovation;

are  set  out  in  Annex  II.  They  are  consistent  with  the
fundamental  principles  and  the  three  categories  of
selection  criteria  indicated  in  Annex  I  of  the  fifth
framework  programme.

Whereas  the  implementation  of  this  programme  should
be  monitored  with  a  view  to  adapting 
it,  where
appropriate, to scientific and technological developments;
whereas in due course there should also be an assessment
of  progress  with 
independent
experts,

the  programme  by 

2.
In  accordance  with  these  principles  and  criteria  the
selection  criteria  indicated  in  Article  10  of  the  rules  for
participation  and  dissemination  shall  be  applied  for  the
selection  of  the  RTD  activities  to  be  carried  out.

HAS  ADOPTED  THIS  DECISION

these  criteria  shall  be  complied  with 

All 
the
implementation  of  the  programme,  including  the  work
programme referred to in Article 5(1), although they may
be  weighted  differently.

in 

Article  1

3. The  rules  for  participation  and  dissemination  shall
apply  to  the  specific  programme.

In  accordance  with  Article  3(1)  of  the  fifth  framework
programme,  the  specific  programme  on  ‘Confirming  the
international  role  of  Community  research’  (hereinafter
referred to as ‘the specific programme’) is hereby adopted
for  the  period  from  [the  date  of  adoption  of  this
programme]  to  31  December  2002.

Article  2

4. Detailed  rules  for  financial  participation  by  the
Community  in  the  specific  programme  are  defined  in
Article  4  of  the  fifth  framework  programme.

indirect  RTD  actions  under 

5. The 
specific
programme  are  defined  in  Annexes  II  and  IV  to  the  fifth
framework  programme.

the 

1.
In  accordance  with  Annex  III  to  the  fifth  framework
programme,  the  amount  deemed  necessary  for  carrying
out the specific programme (hereinafter referred to as ‘the
amount’)  is  ECU  491  million,  including  a  maximum  of
9,50 % 
ex-
penditure.

the  Commission’s  administrative 

for 

Specific  rules  for  implementing  the  programme  are  set
out  in  Annex  III.

Article  4

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

In  the  light  of  the  criteria  set  out  in  Article  3,  and  the
scientific  and  technological  objectives  and  priorities  set
out  in  Annex  II,  the  Commission  shall:

3. Of  this  amount

—  ECU  70  million  is  for  the  period  1998  to  1999,  and

—  ECU  421  million  is  for  the  period  2000  to  2002.

(a)  monitor 

the 

specific
implementation  of 
programme and, where appropriate, submit proposals
for adapting it, in accordance with Article 5(1) of the
fifth  framework  programme,

the 

Where  appropriate,  the  latter  figure  will  be  adapted  in
accordance  with  Article  3(3)  of  the  fifth  framework
programme.

(b) have  the  external  assessment  provided  for  in  Article
5(2)  of  the  fifth  framework  programme  conducted
concerning  the  activities  carried  out  in  the  fields
covered  by  the  specific  programme.

4. The budgetary authority shall, in compliance with the
scientific  and  technological  objectives  and  priorities  laid
down  in  this  Decision,  set  the  appropriations  for  each
financial  year  taking  into  account  the  availability  of
resources  within  the  multiannual  financial  perspective.

Article  5

1. The  Commission  shall  draw  up  a  work  programme
specifying:

Article  3

(a)  the  content  of  Annex  II;

1. The  general  outlines,  the  scientific  and  technological
objectives  and  the  priorities  for  the  specific  programme

(b) the indicative timetable for the implementation of the

specific programme;

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(c)  the  coordination  arrangements  indicated  in  Annex

Article  7

III;

(d) and,  where  necessary,  the  selection  criteria  and  the
arrangements  for  applying  them  for  each  type  of
indirect  RTD  action.

The  work  programme 
appropriate.

shall  be  updated  where

2. For  the  purpose  of  implementing  the  indirect  RTD
actions,  the  Commission  shall,  on  the  basis  of  the  work
programme,  initiate  the  procedures  set  out  in  the  rules
for  participation  and  dissemination,  primarily  through
calls  for  proposals.

Article  6

1. The  Commission  shall  be  responsible 
implementation  of  this  specific  programme.

for 

the

It  shall  be  assisted  by  a  Programme  Committee
2.
composed  of  representatives  of  the  Member  States  and
chaired  by  the  representative  of  the  Commission.

3. The representative of the Commission shall submit to
the  Programme  Committee  a  draft  of  the  measures  to  be
taken  concerning:

—  the drawing-up and updating of the work programme

referred  to  in  Article  5(1),

—  the  drawing-up  of  the  terms  of  reference  for  the
external assessment provided for in Article 5(2) of the
fifth  framework  programme,

1. The  Programme  Committee  shall  deliver  its  opinion
on the draft measures referred to in Article 6(3) within a
time  limit  which  the  Chairman  may  lay  down  according
to  the  urgency  of  the  matter.  The  opinion  shall  be
delivered  by  the  majority  laid  down  in  Article  148(2)  of
the  Treaty  in  the  case  of  decisions  which  the  Council  is
required  to  adopt  on  a  proposal  from  the  Commission.
The  votes  of  the  representatives  of  the  Member  States
within the Committee shall be weighted in the manner set
out  in  that  Article.  The  Chairman  shall  not  vote.

The  Commission  shall  adopt  the  measures  envisaged  if
they  are 
the
Committee.

in  accordance  with 

the  opinion  of 

If  the  measures  envisaged  are  not  in  accordance  with  the
opinion  of  the  Committee,  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  a  qualified  majority.

If, on expiry of a period of six weeks from the referral of
the matter to the Council, the Council has not acted, the
the
proposed  measures 
Commission.

adopted 

shall 

by 

be 

regularly 

shall 
of 

the
2. The  Commission 
the
Programme  Committee 
implementation  of  the  specific  programme,  and  shall  in
particular provide it with information about the results of
the  evaluation  and  selection  of  the 
indirect  RTD
actions.

inform 
progress  with 

Article  8

This  Decision  is  addressed  to  the  Member  States.

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ANNEX  I

THE  GENERAL  OUTLINES,  THE  SCIENTIFIC  AND  TECHNOLOGICAL  OBJECTIVES  AND  THE
PRIORITIES

INTRODUCTION

The  main  objectives  of  this  horizontal  theme  are  to  promote  S/T  cooperation  internationally;  to  reinforce
Community  capacities  in  the  fields  of  science  and  technology;  to  generally  support  the  achievement  of
scientific  excellence  within  the  wider  international  framework;  and  to  contribute  to  the  implementation  of
the  Community’s  external  policy  also  with  the  accession  of  new  members  in  mind.

Strategic  objectives  and  approach  of  the  programme

—  to promote scientific and technological cooperation between undertakings, organisations and researchers
from  third  countries  and  from  the  Community,  likely  to  produce  significant,  mutual  and  balanced
benefits, taking into account the different needs and circumstances of individual groups of countries and
regions  whilst  respecting  the  protection  of  intellectual  property;

—  to facilitate access for research centres and undertakings established in the Community to scientific and
technological  knowledge  available  outside  the  Community  and  useful  to  the  Community’s  interests;

—  to enhance the position and role of Community research in the international scientific and technological

arena  and  to  promote  a  European  scientific  and  technological  culture;

—  to prepare for the accession of new Member States, (e. g. by encouraging their full association with the
framework programme); to contribute to the stabilisation of the RTD potential of the CEECs in general
and  of  the  Newly  Independent  States  of  the  former  Soviet  Union  (NIS),  to  support  and  develop  the
Euro-Mediterranean  partnership  and  to  contribute  to  the  sustainable  economic,  social  and  scientific
development  of  developing  countries;

—  to help European research players acquire information and gain experience of research capacity, activity
and  priorities  of  industrialised  third  countries  and  ‘emerging  economy’  countries,  so  as  to  make
Community  industry  more  competitive  and  enhance  its  presence  on  new  markets.

International  RTD  cooperation  will  be  pursued  in  two  forms  in  the  fifth  framework  programme:  firstly,
through  this  ‘international  cooperation’  programme  and  secondly,  through  the  other  specific  programmes.

—  The  specific  actions  provided  for  in  this  programme  are  as  follows:

—  To  pursue  strategically  defined  activities  aimed  at  the  accession  candidate  countries,  other  than
Central  and  Eastern  European  countries  (CEECs),  the  New  Independent  States  of  the  former  Soviet
Union (NIS), the Mediterranean partner countries and developing countries. In order to exploit fully
the  opportunities  for  cooperation  and  optimise  the  added  value  at  European  level,  this  programme
will  also  facilitate  cooperation  with  certain  industrialised  and  emerging  economy  countries.

—  To  increase  the  opportunities  for  training  of  researches.

—  To  ensure  coordination  with  other  programmes  of  the  framework  programme,  with  other
Community  initiatives  and  policies,  in  particular  external  policies,  as  well  as  with  policies  and
programmes  of  Member  States,  international  organisations  and  cooperation  schemes  such  as  COST
and  Eureka.

—  The  second  form  of  international  cooperation  to  be  pursued  will  be  the  participation  of  partners  from
outside  the  Union  (without  funding  from  the  international  cooperation  programme)  in  projects  of  the
other  programmes  in  accordance  with  the  participation  and  dissemination  rules.

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1  SPECIFIC  ACTIVITIES  IN  THE  PROGRAMME

This  programme  will  finance  only  specific  RTD  activities  which  are  relevant  to  certain  third  countries  or
regions  and  which  are  not  addressed  by  the  other  parts  of  the  framework  programme.  Research  priorities
will  be  identified  through  a  strengthened  dialogue  with  the  regions  concerned,  taking  into  account  the
diversity  of  their  economic  and  socio-cultural  situations.  Support  will  focus  on  research  and  technological
development  cooperation  rather  than  on  technical  assistance  or  technology  transfer  which  can  be  better
achieved through Community external relations programmes. In the implementation of this programme, the
concerns  of  industry  and  in  particular  of  small  and  medium-sized  enterprises  will  be  taken  into  account.

A.  COOPERATION  WITH  CERTAIN  CATEGORIES  OF  THIRD  COUNTRIES

A.1  States  in  the  pre-accession  phase (1)

Rationale  and  objectives

The  period  covered  by  the  fifth  framework  programme  will  coincide  with  the  preparation  for  membership
of  the  European  Union  by  the  accession  candidate  countries.  In  the  context  of  Agenda  2000,  the  objective
of  this  programme  is  thus  to  help  accelerate  the  reform  in  their  science  structures,  while  safeguarding  the
highly  qualified  human  resources  and  building  up  the  fundamental  scientific  infrastructure.  This  will  be
pursued by encouraging these countries to become associated to the specific programmes and to participate
in  projects  under  similar  conditions  to  Member  States.  In  view  of  the  reinforced  pre-accession  strategy
proposed  under  Agenda  2000,  this  association  to  the  framework  programme  could  be  facilitated  by  a
reduced, but progressively increasing, financial contribution required from these countries and by PHARE in
the  framework  of  the  Accession  Partnerships.

Activities

—  Specific activities will be undertaken to promote existing centres of excellence in CEECs in order to put
their  research  capabilities  at  the  service  of  the  economic  and  social  needs  of  their  region  and  of  the
Union  as  a  whole.  The  centres  to  be  supported  should  bring  together  theoretical  and  applied  research,
including research in the natural, social and economic sciences, where possible using a multi-disciplinary
approach.  They  should  link  local  expertise  and  international  excellence  and  should  also  serve  young
researches  as  training  centres.  Support  will  be  provided  for  schemes  consisting  of  measures  such  as
networking,  conference  and  workshop  organisation  and  visiting  scientists.  This  will  enable  cooperation
with  western  scientists  in  situ,  and  the  establishment  of  programmes  and  events  to  highlight  the
‘supra-regional’  relevance  of  the  centres,  thus  strengthening  their  attraction  for  neighbouring  countries.

—  In addition, accompanying measures will be developed to strengthen the participation of these countries
in other programmes of the framework programme (e. g. dissemination of information on opportunities
offered  by  the  framework  programme),  making  use  also  of  cooperation  networks.

A.2  NIS  and  CEECs  not  in  the  pre-accession  phase

Rationale  and  objectives

Closer relationships between these countries and the Union in science and technology will help maintain and
stimulate  their  economic  development.  A  number  of  these  countries  have  made  substantial  efforts  to
consolidate  the  existing  scientific  potential  and  to  provide  new  administrative  structures  more  suitable  to
research needs. The Union’s objectives in scientific cooperation with these countries are to support efforts to

(1)  The  ten  countries  of  Central  and  Eastern  Europe  plus  Cyprus,  which  is  not  eligible  for  PHARE.

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develop a pluralistic scientific and technological system (including the fundamental scientific infrastructure)
and to preserve and develop their research excellence by building on existing expertise in order to help them
solve  some  of  their  major  economic  and  societal  problems.

Activities

This  programme  will  undertake  joint  research  projects  and  concerted  actions  in  areas  not  covered  by  the
other  specific  programmes:

—  Structural  problems  of  transition  at  regional  level  will  be  identified.  These  will  include  in  particular
problems  linked  to  environment  and  health  such  as:  desertification,  rehabilitation  of  land-locked  sea
areas  and  large  lakes,  consequences  of  past  approaches  to  energy  production  and  use,  Arctic
environment management, exposure of humans to environmental agents, air pollution and water quality,
prevention  and  control  of  re-emerging  diseases,  reform  of  the  health  service  system.

—  The research  potential  in  these  countries  should  be  consolidated  and  its  interactions  with  the  European
scientific  community  promoted,  in  fields  where  they  have  a  recognised  excellence  and  valuable
cooperation  potential:  (e. g.  physics,  mathematics,  biology,  chemistry,  geo-sciences,  agri-sciences,
biomedicine, material, laser and information society technologies, aero-space technologies, transport and
humanities).  This  will  be  achieved  by  building  on  the  experience  already  gained  through  previous
cooperation, such as COPERNICUS, COST, Eureka, PHARE and TACIS (notably the ISTC and STCU),
as  well  as  through  INTAS,  provided  that  a  new  agreement  is  reached  between  its  members  on  its
continuation.

A.3  Mediterranean  partner  countries

Rationale  and  objectives

In addition to their participation in the other specific programmes and in the specific action for Research for
Development of this programme, certain specific actions will be undertaken with the Mediterranean partner
countries  in  order  to  strengthen  the  research  and  technology  dimension  of  the  Euro-Mediterranean
partnership,  improving  where  appropriate  their  research  and  technological  development  capabilities  and
promoting  innovation.

Activities

Subject to dialogue with these countries, specific activities will be undertaken concerning regional aspects of
some  of  the  following  areas:  integrated  coastal  zone  management  in  the  Mediterranean  (including
interactions);  natural  resource
environmental  aspects);  water  management  (including  water/energy 
management  in  the  context  of  sustainable  development  of  tourism;  the  preservation  and  restoration  of
cultural  heritage;  development  in  the  context  of  socio-economic  modernisation  (including  innovation,  the
urban  dimension,  transport  and  support  for  the  establishment  of  a  Euro-Mediterranean  information
society).

A.4  Research  for  development

Rationale  and  objectives

The objective of this part of the programme is to tackle, jointly with developing country scientists, research
problems linked directly to development challenges in the long-term mutual interest. The selection of topics
to be covered will be based on policy dialogues with groups of countries and regions concerning their RTD
needs,  priorities  and  specific  socio-economic  requirements,  thus  targeting  the  most  relevant  themes.

Activities

Specific  activities  will  be  undertaken  in  the  following  areas:

—  Mechanisms  and  socio-economic  and  policy  conditions  for  sustainable  development:

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—  Analysis of the factors facilitating the adoption of existing innovations. In addition to the main areas
below, this will cover sectoral and intersectoral areas such as the global information society, energy,
transport,  population,  gender-related  issues  and  urbanisation.

—  Sustainable  management  and  use  of  natural  resources:

—  Promotion  of  a  sustainable  relationship  between  population  pressure,  food  security  and  the  use  and
management  of  ecosystems;  improvement  of  the  productivity  of  renewable  natural  resources  and
prevention  of  their  degradation;

—  Analysis  of  the  evolution  in  demand  for  agricultural  products  in  these  countries  and  research  on
ways  of  meeting  this  demand;  improvement  of  the  efficiency  of  agricultural  production  chains  with
particular  reference  to  quality  and  health.

—  Health improvement:

—  Research  on  equitable,  efficient  health  systems  and  their  impact;  the  influence  of  structural  and
policy aspects; coverage of vulnerable groups; quality of care and its acceptability and affordability;
understanding  of  the  major  health  problems  in  these  countries  and  the  development  of  instruments
for  prevention  and  control  of  the  predominant  diseases.

A.5  Emerging  economy  and  industrialised  countries

Rationale  and  objectives

These countries are both competitors and partners for the Union in the global market-place. This part of the
programme  will  promote:

—  bilateral  as  well  as  multilateral  (e. g.  G-7,  OECD)  policy  dialogue  in  research  in  order  to  facilitate  and

monitor  cooperation  as  well  as  to  identify  priorities  of  mutual  interest;

—  access to research know-how and opportunities available in these countries, thereby contributing to the
improvement  of  the  performance  of  European  research  and  the  competitiveness  of  the  Union  in  the
global economy;

—  the sharing of the costs and benefits of global endeavours (e. g. human genome, information society and

activities  covered  by  the  agreement  on  intelligent  manufacturing  systems  (IMS));

—  cooperation  aimed  at  the  solution  of  world  wide  problems  (e. g.  global  climate  change).

Activities

In  order  to  facilitate  and  enhance  access  to  the  research  potential  which  exists  outside  the  Union,  for  the
benefit of the programmes’ key actions and generic activities, this programme will implement scientific and
technological  cooperation  agreements  in  certain  areas  with  certain  non-Union  industrialised  countries.  This
instrument  could  also  be  extended  to  cooperation  in  certain  areas  with  some  of  the  major  emerging
economy  countries,  i. e.  certain  developing  countries  which  represent  important  markets,  and  which  have
developed  to  the  point  that  in  specific  scientific  and  technological  areas  they  are  at  par  with  industrialised
countries.

B.  TRAINING  OF  RESEARCHERS

A fellowship scheme will be established to allow young doctoral level researchers from developing countries,
including Mediterranean and emerging economy countries, to work in European laboratories on projects of
the  framework  programme.  This  will  further  contribute  to  the  reinforcement  of  the  scientific  potential  in
these  countries,  while  allowing  Community  research  to  benefit  from  their  expertise.

Another fellowship scheme will be provided enabling a limited number of young Community researchers to
work in industrially-oriented laboratories of the highest quality in non-Union countries in areas of particular
interest  to  the  Community.  The  Community’s  equal  opportunities  policy  will  be  taken  into  account  in  the
implementation  of  these  fellowship  schemes.

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C.  COORDINATION

Coordination  of  activities  within  the  framework  programme  and  with  other  Community  programmes

In  order  to  define  and  implement  international  research  cooperation  policy,  this  programme  will  take  into
account  the  policies,  instruments,  initiatives,  interests  and  capabilities  of  other  actors  in  this  fields.  A  key
objective is therefore to ensure coordination with the other specific programmes and with other Community
policies  and  instruments.

—  Coordination  with  the  other  specific  programmes  will  focus  on  ensuring  consistency  of  approach  to
partners from outside the Union across the specific programmes, on monitoring and analysing (in terms
of mutual benefit and utility) the participation of non-Union entities or international organisations in the
other  programmes,  and  on  studying  participation  trends  by  country  and  by  programme.

In addition, where there are opportunities for international research cooperation of mutual interest, this
programme  will  help  the  other  programmes  in  establishing  effective  cooperation,  including  the
organisation  of  events  aimed  at  providing  information  on  the  rules  and  policies  applicable  to
Community  RTD  in  general,  and  to  participation  of  non-Union  country  entities  and  international
organisations  in  particular.

—  Coordination with the Community’s external technical assistance programmes such as PHARE, TACIS,
MEDA,  EDF  and  the  programmes  for  Asia  and  Latin  America  will  increase  the  synergy  between  their
actions and the work carried out under the research policy. This could provide effective support for the
scientific  and  technological  sector  in  the  countries  concerned.

Coordination  with  COST,  Eureka  and  international  organisations

—  COST:  COST,  which  extends  far  beyond  the  Union,  is  a  useful  instrument  to  foster  cooperation  and
stimulate  mutual  coordination  of  national  and  international  activities  on  a  very  broad  scale,  both
thematically  and  geographically,  as  well  as  to  stimulate  the  integration  of  researchers  from  CEECs  into
pan-European activities. Its flexibility will continue to be used to intensify exploration of new ideas and
fields of scientific and technological endeavour. Improved methods of ensuring complementarity between
COST  and  the  framework  programme  activities  will  be  developed,  in  order  to  exploit  better  the
complementarity of the two instruments, particularly as concerns the implementation of the key actions
and  generic  activities  of  the  framework  programme.  The  programme  will  provide  support  for  COST
administration.

—  EUREKA:  Framework  programme  and  Eureka  activities  are  closely  complementary.  The  aim  is  to
maximise,  around  a  limited  number  of  priority  themes  of  common  interest,  the  coordinated  use  of  the
two  instruments.  Simple  and  efficient  ways  of  linking  the  fifth  framework  programme  and  Eureka  will
be  developed  and  applied  primarily  to  large-scale  projects  within  the  key  actions  of  the  thematic
programmes.  Information  and  coordination  mechanisms  will  be  enhanced,  so  as  to  foster  a  positive
development  of  these  projects,  while  maintaining  the  distinct  roles  of  Eureka  and  the  framework
programme  as  well  as  their  specificities  and  financial  means.

—  INTERNATIONAL ORGANISATIONS: Closer cooperation between the Community and international
organisations  involved  in  research  activities  and  S&T  policy  development  and  their  participation  in  all
activities of the fifth framework programme will strengthen the overall coherence of research in Europe
and  optimise  the  use  and  exploitation  of  Europe’s  scientific  infrastructures.  The  Commission  will
intensify  its  involvement  in  these  organisations  and  encourage  coordination  between  their  Union
members.

Coordination  with  Member  States

The  international  research  cooperation  activities  of  the  Community  and  the  Member  States  often  address
similar  or  related  issues.  In  full  respect  of  the  principle  of  subsidiarity,  there  is  both  scope  and  need  for
increased  coordination  in  certain  areas  which  would  lift  the  individual  efforts  above  critical  mass  and
enhance overall effectiveness, flexibility and visibility of Community and Member States’ activities. Building

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on  the  experience  of  initiatives  such  as  the  ‘European  initiative  on  agricultural  research  for  development’,
public and industrial research areas suitable for new coordinated actions will be identified and coordination
activities  initiated  through  this  programme.

2.  INTERNATIONAL  COOPERATION  PURSUED  THROUGH  THE  OTHER  FRAMEWORK

PROGRAMME  ACTIVITIES

The second form of international RTD cooperation referred to in the introduction concerns participation of
third  country  entities  and  international  organisations  in  the  other  specific  programmes  of  the  framework
programme.  The  rules  for  such  participation  are  set  out  in  the  Decision  to  be  adopted  pursuant  to  Article
130j  of  the  Treaty.  This  programme  will  monitor  the  extent  of  this  participation  and  its  benefit  to  the
Community  as  well  as  its  conformity  with  the  Community’s  external  policy.  It  ill  also  assess  whether  such
participation should be subject to the conclusion of an international agreement in order to provide equitable
access for Community researches to high quality RTD programmes in the third countries concerned and/or
to  ensure  adequate  arrangements  for  intellectual  property  rights.

ANNEX  II

SPECIFIC  RULES  FOR  IMPLEMENTING  THE  PROGRAMME

The specific programme will be implemented through the indirect RTD actions defined in Annexes II and IV
to  the  fifth  framework  programme.  In  addition,  the  following  rules  specific  to  this  programme  will  apply:

1.  Accompanying measures

The  accompanying  measures  will  comprise  in  particular:

—  studies  in  support  of  the  specific  programme,  including  the  preparation  of  future  activities,

—  the  exchange  of  information,  conferences,  seminars,  workshops  and  scientific  and  technical  meetings,

—  recourse  to  external  expertise,  including  access  to  scientific  databases,  in  particular  for  the  purposes  of
the  monitoring  of  the  specific  programme  provided  for  in  Article  5(1)  of  the  fifth  framework
programme, the external assessment provided for in Article 5(2) of the fifth framework programme and
the  evaluation  of  indirect  RTD  actions  and  the  monitoring  of  their  implementation,

—  dissemination, information and communication activities, including scientific publications, and activities

for  the  exploitation  of  results,

—  training  schemes  related  to  RTD  activities  covered  by  the  specific  programme,

—  support  for  schemes  to  provide  information  and  assistance  for  research  players,  including  SMEs,

—  support  for  initiatives  to  promote  centres  of  excellence.

2.  Exceptions  from  the  financial  participation  rates

In  the  case  of  legal  entities  established  in  non-associated  CEECs,  NIS  and  developing  countries:

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—  funding  of  RTD  projects  under  the  fifth  framework  programme  may  exceed  50 %  of  the  eligible  total

costs  in  order  to  ensure  the  quality  of  their  materials  and  research  equipment,

—  the expenditure on staff and equipment set out in the detailed rules for participation and dissemination
may  be  extended  in  the  case  of  participation  in  the  RTD  projects  on  the  basis  of  eligible  additional
costs,

in  accordance  with  the  objectives  of  the  specific  programme.

3.  Coordination  arrangements

The  Commission  will  endeavour  to  ensure  complementarity  between  the  indirect  RTD  actions  within  the
programme,  in  particular  by  grouping  them  around  a  common  objective,  and  to  avoid  duplication,  while
respecting  the  legitimate  interests  of  proposers  of  indirect  RTD  actions.

Coordination  will  also  be  ensured  between  actions  under  the  specific  programme  and  those  carried  out
in:

—  other  specific  programmes  implementing  the  fifth  framework  programme,

—  the research and training programmes implementing Council Decision . . ./. . ./Euratom of . . . concerning
the fifth framework programme of the European Atomic Energy Community (Euratom) for research and
training  activities  (1998-2002),

—  other  European  research  frameworks  such  as  Eureka  and  COST  and  by  international  organisations,

—  other  Community  research-related  instruments  such  as  PHARE,  TACIS,  MEDA,  EDF,  the  programmes

for  Asia  and  Latin  America,  the  EIF,  the  Structural  Funds  and  the  EIB.

It  will  comprise:

(i) 

the  identification  of  common  themes  or  priorities,  resulting  in  particular  in:

—  the  exchange  of  information,

—  the  carrying  out  of  work  decided  upon  jointly,  entailing  in  particular  the  joint  initiation  of  one  of

the  procedures  referred  to  in  Article  9  of  the  rules  for  participation  and  dissemination,

(ii)  the  reassignment  of  proposals  for  indirect  RTD  actions  between  specific  programmes  or  between  a

specific  programme  and  a  research  and  training  programme.

(iii)  support  for  the  Eureka  Secretariat  and  for  the  COST  Secretariat (1)  and  activities.

(1)  Given  the  nature  of  COST,  expenditure  relating  to  the  Secretariat  (non-regular  staff,  missions,  meetings,  information,

etc.)  will  be  treated  as  operating  expenditure.