Proposal for a Council Decision adopting a specific programme for research, technological development and demonstration on "Promotion of innovation and encouragement of participation of SMEs" (1998 to 2002)
Date: 1998-06-10
Institutions: European Commission
Subjects: EU programme, EU research policy, innovation, research and development, research expenditure (EU), small and medium-sized enterprises

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Proposal  for  a  Council  Decision  adopting  a  specific  programme  for  research,  technological
innovation  and  encouragement  of
development  and  demonstration  on 

‘Promotion  of 

participation  of  SMEs’  (1998  to  2002)

(98/C  260/06)

(Text  with  EEA  relevance)

COM(98)  305  final  —  98/0182(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  promotion  of  innovation  and
encouragement  of  participation  of  SME’s’;

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 

HAS  ADOPTED  THIS  DECISION

Article  1

In  accordance  with  Article  3(1)  of  the  fifth  framework
programme,  the  specific  programme  on  ‘Promotion  of
innovation and encouragement of participation of SME’s’
(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

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.

A selection criterion specific to this programme shall also
be  applied:  the  participation  of  industrial  entities  in  the
shared-cost  actions  should  be  appropriate  to  the  nature
of  the  activity.

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 

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

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

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  350  million,  including  a  maximum  of
7,70 % 
ex-
penditure.

the  Commission’s  administrative 

for 

indirect  RTD  actions  under 

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

the 

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

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

Article  4

3. Of  this  amount

—  ECU  73,8  million  is  for  the  period  1998  to  1999,

and

—  ECU  276,2  million  is  for  the  period  2000  to  2002.

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

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:

(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 

(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.

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

Innovation  is  a  key  factor  in  industrial  competitiveness,  sustainable  economic  and  social  development  and
job  creation.  It  is  a  complex  phenomenon  involving  many  players  (firms,  universities,  research  centres  and
financial  operators,  etc.)  and  is  an  important  component  of  behavioural  developments  and  overall  social
dynamics.  Business  competitiveness  depends  to  a  large  extent  on  the  ability  to  innovate:  as  a  result  of  the
development  of  new  products  and  services,  costs  can  be  contained  and  competition  can  be  handled.  In  the
information technology sector, for example, 78 % of income is derived from products that have been on the
market for two years or less. It is therefore essential to promote innovative activities, including the creation
of innovative businesses, and to facilitate the dissemination and exploitation of research results and support
technology  transfer.  Europe  needs  to  exploit  more  effectively  its  research  activities  and  its  high  level  of
creativity in terms of knowledge and know-how in order to give the economy and society the full benefit of
this.  It  is  vital  that  the  research  effort  should  be  accompanied  and  guided  by  an  ambitious  European
innovation policy.

Small  and  medium-sized  enterprises  (SMEs)  are  important  innovation  vectors  and  players.  They  play  an
essential  role  in  the  European  economy  and  their  development  can  make  a  vital  contribution  to  the
emergence  of  new  activities,  the  competitiveness  of  European  industry,  economic  growth  and  employment;
they also have special features which necessitate appropriate stimulation and follow-up measures. Action at
European level is needed, to supplement the initiatives taken by the Member States, in order to help SMEs
to  globalise  their  activities  and  gain  access  to  new  technologies,  be  they  high-tec  SMEs  or  SMEs  which,
though having little or no research capacities of their own, need to make use of new technologies developed
by  others.

Promoting  innovation  and  encouraging  SME  participation,  although  not  synonymous,  are  closely  linked
activities.  This  programme  will  therefore  help  to  optimise  the  efforts  devoted  to  these  two  themes.

Strategic  objective  of  the  programme

The  strategic  aim  is  to  improve  the  economic  and  social  impact  of  research  and  development  activities,  in
particular  under  the  framework  programme,  by  ensuring  better  dissemination  and  exploitation  of  their
results  and  the  transfer  and  dissemination  of  technologies  from  various  sources,  taking  into  account  the
needs  of  customers  and  users.

This  aim  will  be  pursued  by  establishing  a  coherent  innovation  policy  contributing  towards  the
implementation of the first action plan for innovation, and by paying particular attention to SMEs and their
participation  in  the  fifth  framework  programme.

The activities carried out in this programme will be complementary to activities undertaken within Member
States.  They  will  support,  supplement  and  give  direction  to  activities  carried  out  under  other  specific
programmes  or,  where  appropriate,  in  the  context  of  other  Community  activities,  in  order  to  achieve  this
objective.

Links  with  other  Community  programmes  and  activities

The  other  programmes  will  contribute  actively,  in  close  coordination  and  in  interaction  with  this
programme,  to  the  attainment  of  this  strategic  objective  and  pursue,  to  this  end,  the  general  objectives  set
out  in  Annex  II  (third  activity)  to  the  fifth  framework  programme.

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In  the  context  of  the  fifth  framework  programme,  this  programme  will  promote  and  coordinate  activities
carried  out  in  relation  to  innovation  and  SMEs,  notably  in  coherence  with  the  SME  policy.

On the basis of the measures, instruments and expertise developed in the context of its specific activities, it
will in particular focus on the design of mechanisms to facilitate the exploitation and transfer of results, the
participation  of  SMEs,  the  evaluation  of  results,  and  the  post-auditing  of  their  exploitation  in  order  to
evaluate  their  economic  and  social  impact.  Action  in  the  context  of  this  programme  will  be  based  in
particular on the activities carried out by the ‘innovation units’, of which it will coordinate the activities in
order  to  integrate  the  innovation  dimension  in  the  implementation  of  the  programmes.

COORDINATION  ACTIVITIES  RELATING  TO  INNOVATION  AND  SME  PARTICIPATION

Objectives

The  aim  is  to  coordinate  and  support  the  efforts  under  the  thematic  programmes  to  integrate  the
‘innovation’  and  ‘SMEs’  dimensions  when  setting  their  priorities,  establishing  their  work  programmes,  and
carrying  out  their  activities;  to  ensure  the  overall  consistency  of  activities  relating  to  innovation  and  SMEs
and  their  harmonisation  within  the  thematic  programmes;  and  to  ensure  the  optimum  use  of  skills,
experience  and  infrastructure  existing  at  the  horizontal  level  or  in  other  programmes.

Activities  in  the  field  of  innovation

In order to achieve the strategic objective of the programme, the bulk of the work will be carried out within
the  thematic  programmes  under  the  impulse  of  the  innovation  units  so  as  to  take  account  of  the  specific
features  of  the  research  topics  and  ensure  the  best  possible  match  between  the  exploitation  of  results  and
their  application  context.

Firstly, the programme will ensure synergy between the innovation units, and will interact with the thematic
programmes  in  respect  of  the  definition  and  implementation  of  their  specific  tasks,  which  could,  in
particular, comprise:

—  providing  support  for  activities  carried  out  with  regard  to  innovation,  such  as  the  follow-up  of

technology  transfer  and  the  launch  of  projects  with  a  demonstration  effect,

—  exploiting  the  thematic  networks,  activities  and  mechanisms  stimulating  the  utilisation  and  transfer  of

results  or  the  creation  of  innovative  firms,  e. g.  by  facilitating  access  to  private  funding,

—  organising  studies  to  evaluate  projects  and  their  results  with  a  view  to  promoting  their  exploitation,  in

particular  through  a  technology  implementation  plan.

Secondly, this programme will contribute, together with the thematic programmes, to defining the methods
and mechanisms contributing towards an increase in the exploitation of the results of the research projects
under  these  programmes  and  ensuring  the  coherence  and  effectiveness  of  the  dissemination  of  information
on the research and development projects and results via the horizontal network and service infrastructures
(CORDIS,  IRCs).

Activities  to  increase  the  participation  of  SMEs

The strategic objective of the programme entails the coordination of support for SME participation in RTD
and  demonstration  activities  carried  out  in  the  framework  of  these  programmes:

—  ‘cooperative  research’  schemes  enabling  at  least  three  mutually  independent  SMEs  from  at  least  two
different Member States to jointly seek the resolution of their common technological problems internally
or  by  entrusting  it  to  third  legal  entities,  including  industrial  entities,  with  appropriate  research  or
technological validation capacities;

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—  schemes to support and encourage SME participation in collaborative and cooperative research projects
(for  example  on  the  basis  of  subsidies  for  the  preparatory  phase  known  as  ‘exploratory  awards’),
respecting  SMEs’  need  for  a  flexible  and  easily  accessible  support  system.

These  schemes  aimed  at  encouraging  and  facilitating  SME  participation  in  RTD  activities  relate  to  all  the
objectives  and  priorities  of  the  specific  programmes  in  their  entirety.

In  addition,  the  programme  will  provide  support  for  organising  and  improving  the  dissemination  and
exploitation  of  results  within  the  thematic  programmes,  in  order,  among  other  things,  to  facilitate  SME
participation  in  validation  and  demonstration  projects  in  the  context  of  the  key  actions.

ACTIVITIES  SPECIFIC  TO  THE  HORIZONTAL  PROGRAMME

PROMOTION  OF  INNOVATION

Supplementing  the  activities  carried  out  within  the  thematic  programmes,  the  specific  activities  will  help  to
promote a favourable environment for innovation in Europe and to establish a framework enabling a large
number  of  economic  operators  to  benefit  from  innovation.

(i)  Making  better  use  of  the  results  of  Community  research

Objective

The aim is to increase the level of use made of the results of research and thus to contribute to the general
objective  of  improving  the  economic  and  social  impact  of  framework  programme  activities.

Activities

—  Identification  and  design  of  mechanisms  to  facilitate,  in  the  life-cycle  of  projects,  the  protection  of
knowledge acquired, the exploitation or transfer of the technologies and results produced and access to
methods of private financing making it possible to ensure that use is made of the results. Organisational
changes  liable  to  promote  innovation  will  also  be  encouraged.

—  Organisation  of  exchanges  of  information  and  good  practices  between  programmes.

—  Promotion  of  the  implementation  of  these  mechanisms  by  other  programmes,  in  particular  with  the

assistance  of  the  innovation  units.

(ii) New  approaches  to  technology  transfer

Objective

The  European  Union’s  inadequate  performance  as  far  as  innovation  is  concerned  is  to  a  large  extent
attributable to the uneven development in Europe of the ‘innovation culture’. This culture can be developed
by  encouraging  experiments  concerning  the  transfer  of  technology  on  an  international  scale.

The aim is, in harmony with the activities carried out under the thematic programmes, to develop, validate
and implement methodologies in the context of pilot/demonstration technology-transfer projects, taking into
account  the  features  of  particular  sectors  of  activity.

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Activities

—  Promoting  the  take-up  of  new  technologies,  and  analysing  the  technological,  economic,  organisational

and  social  aspects  observed  in  this  process.

—  Contributing  to  the  transnational  dissemination  and  utilisation  of  results  not  arising  from  the  specific

programmes.

These  activities  could  include  an  international  dimension  (international  technology-transfer  trials  in
collaboration  with  other  Community  initiatives)  and  seek  to  explore  new  forms  of  technology  transfer.

(iii)  Studies  and  good  practices

Objectives

To bridge the innovation gap, the Community should identify, analyse and promote the application of good
innovation  practices.

The  aim  is  to  analyse  and  benchmark  innovation  performances  and  policies  in  a  common  reference
framework  and  promote  concertation,  exchanges,  and  the  dissemination  and  application  of  good
practices.

Activities

—  Preparation  and  periodical  publication  of  an  innovation  trend  chart  in  accordance  with  the  action  plan

for  innovation  in  Europe.

—  Organisation of schemes to promote good practices with regard to innovation (in particular concerning
the  financing,  setting-up  and  development  of  innovative  businesses,  and  protection  and  transfer  of
technology).

—  Establishment  and  regular  updating  of  a  ‘knowledge’  base  on  innovation  policies,  practices  and
performances  (in  particular  concerning  the  financing,  setting-up  and  development  of  innovative
businesses,  and  protection  and  transfer  of  technology).

ENCOURAGING  SME  PARTICIPATION

(i)  A  one-stop  entry  point

Objective

The  aim  is  to  make  it  easier  for  SMEs  to  take  part  in  Community  programmes  by  offering  them  an
additional means of access, a single complementary entry point, common to all the programmes and making
use  of  existing  support  networks  in  Member  States.

Activities

Setting-up  of  an  infrastructure  to  enable  SMEs:

—  To be made aware of the importance and impact of Community RTD activities and to make their needs

known;

—  To  receive  information  about  the  programmes  and  have  access  to  assistance  with  the  preparation  of

proposals  (including  help  with  the  creation  of  consortiums);

—  To  participate  more  easily  in  Community  programmes;

—  To  submit  proposals  at  any  time,  in  the  context  of  a  permanently  open  call,  with  a  view  to  benefiting
from  measures  specific  to  them,  such  as  exploratory  awards  or  ‘cooperative  research’  activities
(CRAFT).

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(ii) Joint  support  and  assistance  instruments

Objective

The  aim  is  to  simplify  and  harmonise  SME  participation  conditions  in  order  to  supplement  and  strengthen
the impact of the one-stop office, preferably through the fullest possible use of the most suitable electronic
means  (electronic  information  packages  and  electronic  submission  of  proposals,  ‘help  line’,  specialised
Intranet  networks,  etc.).

Activities

—  Preparation  of  joint  contractual  and  information-management  tools.

—  Assistance  for  SMEs  supplementing  that  provided  directly  by  the  local  networks  and  the  thematic

programmes.

—  Assistance for SMEs while projects are being carried out: this may take the form of ‘training’ workshops
open  to  project  coordinators  or  intermediaries  concerning  the  management  of  research  contracts,  the
coordination  of  projects  or  other  topics  of  general  interest  to  SMEs.

(iii)  Economic  intelligence

Objective

The  aim  is  to  help  SMEs  to  identify  their  needs  and  anticipate  technological  trends,  and  to  direct  them
towards  Community  instruments  in  particular  which  will  enable  them  to  do  so.

Activities  (in  liaison  with  the  IPTS)

—  Identification  of  relevant  information,  using  existing  sources,  on  market  trends  and  the  state  of  the  art

(e. g.  through  workshops  bringing  together  suppliers,  users,  SMEs  and  large  firms).

—  Making  this  information  available  to  SMEs  using  the  existing  information  networks  and  services.

JOINT  INNOVATION/SMEs  ACTIVITIES

(i)  European  network  for  the  promotion  of  research  and  innovation

The  programme  should  rationalise  and  coordinate  the  networks  providing  information  and  assistance
concerning the Community’s research and innovation activities, thus constituting an effective infrastructure
for information, assistance, cooperation and innovation-promotion, aimed particularly at SMEs and making
full  use,  in  particular,  of  the  existing  networks  of  Innovation  Relay  Centres  (IRCs)  and  CRAFT  contact
points.

Objectives

The  aim  is  to  increase  firms’  receptiveness  to  technologies  capable  of  helping  them  to  improve  their
innovative capacity, to encourage transnational transfers of technologies, whatever their origin, to promote
the dissemination and exploitation of the results of Community research, and to inform and assist potential
participants  in  such  research  activities.

Activities

—  Promotion  of  technology  transfer  reflecting  the  needs  of  the  local  economic,  industrial  and  social

fabric.

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—  Establishment  of  means  of  cooperation  and  transnational  partnerships  between  firms.

—  Support  for  the  dissemination  and  exploitation  of  the  results  of  Community  research  activities,  e. g.  by

organising ‘technology fairs’.

—  Promotion  of  innovation  through  experimental  networks  and  services.

—  Assistance  to  guide  firms’  participation  in  the  programmes  and  help  them  put  together  transnational

projects.

(ii) Electronic  information  services  and  other  means  of  dissemination

Objectives

The aim is to group together and encourage the dissemination, in the context of a joint information service,
of  all  the  data  needed  to  publicise  more  effectively  research  and  innovation  activities,  the  procedures  for
carrying  them  out,  and  their  results;  to  inform  the  general  public  about  the  socio-economic  impact  of
innovation  policies,  and  fuel  the  debate  about  the  issues  at  stake  where  these  policies  are  concerned,  given
the  needs  of  individuals.

Activities

—  Consolidation  of  the  CORDIS  Community  information  service  by  reorganising  the  information
gathering  and  circulation  mechanisms,  improving  ease  of  access  (multilingualism,  ‘users’  interface),
adapting  the  content  to  the  needs  of  SMEs  and  their  support  networks  and  developing  tailor-made
tools.

—  Extension  of  the  ERGO  (European  Research  Gateway  On-line)  pilot  scheme  by  establishing  a  link

between  CORDIS  and  the  national  scientific  and  technical  information  sources.

(iii)  Intellectual  property

Objectives

The  aim  is,  first  of  all  via  information  and  where  appropriate  via  pilot  activities,  to  encourage  the  use  of
knowledge-protection systems — for the purposes either of effective protection or of information-gathering
(research results, market trends, search for industrial alliances, etc.) — and to facilitate access to the various
sources  of  information  about  intellectual  and  industrial  property.  Another  objective  is  to  protect  the
knowledge and the possession of the Community (JRC) and to provide assistance to framework programme
participants.

Activities

—  Contribution  to  the  establishment  of  an  information  system  giving  access  to  the  various  sources  of
information  about  patents,  other  intellectual  property  rights,  the  legislation  in  force  and  the
interpretation  thereof.

—  Creation  of  a  ‘help-desk’  for  participants  in  Community  programmes.

—  Activities  concerning  the  protection  and  utilisation  of  research  results  belonging  to  the  Community,  in

liaison  with  the  JRC.

—  Carrying-out  of  pilot  activities  such  as  evaluation  of  the  innovative  nature  of  project  proposals  (‘quick

scan’);  collaboration  with  the  European  Patents  Office  and  the  national  offices.

(iv)  Access  to  private  innovation  financing

Objectives

The  aim  is  to  provide  SMEs,  and  in  particular  SMEs  participating  in  Community  research  activities,  or
exploiting  the  results  thereof,  with  information  and  advice  about  the  opportunities  for  access  to  private

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innovation-financing  instruments  (financial  markets,  venture  capital)  and  to  promote  cooperation  between
financial  sources,  researchers  and  industry  via  pilot  activities.

Activities

—  Development  of  an  information  and  assistance  service  to  facilitate  access  to  sources  of  private

financing.

—  Implementation, 

in  the  context  of  the  thematic  programmes  or  with  the  assistance  of  the
innovation-support  networks,  of  ad  hoc  awareness-raising,  incentive  and  training  schemes,  and
organisation  of  transnational  investment  forums  bringing  together  entrepreneurs,  researchers,  and
financial  operators,  and  in  particular  continuation  of  the  LIFT  (Links  to  Innovation  Financing  for
Technology) activities.

—  Exchanges  of  experience  with  the  players  concerned  in  the  Member  States,  and  establishment  of
transnational  networks  involving  private  and  public  operators  on  specific  projects,  and  carrying-out  of
pilot  activities  to  try  out  new  approaches  (e. g.  technology  assessment,  mobilisation  of  local  capital,
benchmarking  of  performances).

—  Facilitating  the  establishment  of  contacts  with  financial  sources  with  a  view  to  the  exploitation  of  the

results  of  Community  research.

(v)  Mechanisms  to  facilitate  the  setting-up  and  development  of  innovative  firms

Objectives

The aim is, in accordance with the guidelines of the Amsterdam European Council, to analyse, identify and
validate, in the context of pilot activities, new approaches to support for the setting-up and development of
innovative  firms,  and  to  encourage  private  investment  (in  particular  venture  capital) (1)  in  such  firms.

Activities

—  Study  and  analysis  of  obstacles  to  the  private  financing  of  innovation  and  measures  to  create  an

environment  favourable  to  the  setting  up  and  development  of  innovative  firms.

—  Targeting  of  private  financing  on  the  early  stages  of  innovative  high-tech  projects,  and  firms  with  a
substantial  growth  potential,  in  particular  via  initiatives  based  on  the  experience  acquired  with  the
I-TEC  pilot  project  (innovation  and  equity  capital)  in  cooperation  with  the  European  Investment  Fund
(EIF),  the  European  Investment  Bank  (EIB)  and  other  financial  operators.

—  Assistance  for  fund  managers  (and  in  particular  managers  of  venture  capital  funds)  to  acquire  lasting

expertise  in  the  evaluation  and  management  of  this  type  of  project.

(1)  Commission  Communication  ‘Risk  capital,  a  key  to  job  creation  in  the  European  Union’;  SEC(98)552  final.

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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  and  the

innovation  trend  chart,

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

topics  related  to  activities  under  the  programmes,

—  mechanisms  to  facilitate  the  protection  of  knowledge,  and  access  to  private  financing  methods,

—  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  and  the  transfer  of  technologies,

—  training  schemes  related  to  RTD  activities  covered  by  the  specific  programme,  other  than  Marie  Curie

fellowships,

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

—  recourse  to  external  capacities  for  the  establishment  of  and  access  to  services  and  networks  for

information,  assistance  and  promotion  of  research  and  innovation.

2.  Pilot  activities

The pilot activities will be carried out in the areas indicated in Annex I to this Decision. They will be aimed
at  trying  out  new  measures  which  require  specific  implementing  arrangements,  on  account  of  their  nature,
their context and the categories of players that they involve. In accordance with Article 9(3) of the rules for
participation and dissemination, these arrangements may depart from the procedures generally applicable to
indirect RTD actions, on condition that they provide for evaluation and selection procedures respecting the
principles  of  equity  and  transparency.

3.  Coordination  arrangements

The  Commission  will  endeavour,  within  the  programme,  to  ensure  complementarity  between  the  indirect
RTD  actions,  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,

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—  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,

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

—  the  examination  of  the  lessons  learned  from  carrying  out  this  work  and  the  evaluation  of  their

economic  and  social  impact,

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

specific  programme  and  a  research  and  training  programme.