Communication from the Commission concerning the re- examination of the Commission proposal on the basis of which the Council adopted its common position concerning the rules for the participation of undertakings, research centres and universities and for the dissemination of research results for the implementation of the fifth framework programme of the European Community (1998-2002)
Date: 1998-11-10
Institutions: European Commission
Subjects: EU programme, EU research policy, dissemination of information, research and development

COMMISSION OF THE EUROPEAN COMMUNITIES 

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Brussels,  10.11.1998 

COM(1998) 654 final 

97/0309 (SYN) 

COMMUNICATION  FROM THE COMMISSION 

concerning  the re-examination  of the Commission  proposal  on the  basis  of 
which the Council adopted its common position concerning the rules for the 
participation  of  undertakings,  research  centres  and  universities  and  for  the 
dissemination  of  research  results  for  the  implementation  of  the  fifth 
framework  programme of the European Community  (1998-2002) 

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(presented by the Commission pursuant to Article  189 c (d) 
of the EC Treaty) 

In  accordance  with  Article  189  C,  point  d,  of  the  EC Treaty,  the  purpose  of  this 
Communication  is  to  set  out  the  results  of  the  re-examination  of  the  Commission 
proposal  on the basis of which the Council  adopted  its common position  on  10 July  1998, 
taking  into  account  the  amendments  proposed  by  the  European  Parliament  on  second 
reading  on  8 October  1998.  lis  purpose  is  also  to  forward  to  the  Council  the  European 
Parliament  amendments  that  the  Commission  has  not  accepted,  giving  its  opinion  on 
them. 

The  Commission  proposal  of  15 December  1997  concerns 
the  participation  and 
dissemination  rules  which  are  intended  to  supplement,  alongside  the  RTD  framework 
programme  and  the  specific  programmes  which  they  implement,  the  Segal  structure  of 
Community  research  and  technological  development  policy. 

Re-examination  of  the  Commission  proposal 

As  indicated  in  its  Communication  to  the  European  Parliament,  of  14  July  1998, 
concerning  the  Council  common  position  with  a  view  to  the  adoption  of  a  Council 
decision  concerning  the  rules  for  the  participation  of  undertakings,  research  centres  and 
universities  and  ,for  the  dissemination  of  research  results  for  the  implementation  of  the 
fifth  framework  programme  of  the  European  Community  (1998-2002)  [SEC(98)  1205], 
on  22 June  1993  the  Commission  endorsed  the  Council  draft  which  led  to  the  common 
position. 

following 
For  the  reasons  given  below,  the  Commission 
amendments  adopted  by 
session  on 
the  European  Parliament  at 
8 October  1998  and  following  re-examination  it  is  maintaining  its  proposal  which  is 
identical  to the  common  position. 

is  unable  to  accept  the 

its  plenary 

European  Parliament  amentinients  to the  common  position 

•  No  Î  (Article 4 -  Cluster  of  SMEs  and  one  large  enterprise):  SMBs  are  entitled  to 

participate  in indirect  RTD  actions just  like any other  legal  entity. 

•  No  2  (Article  5 -  Exception  to  the  requirement  that  an  enterprise  must  have  been 
operational  for  at  least  one  year  in  order  to  qualify  for  Community  subsidies):  The 
Article  in  question  makes  no  mention  of  any  rule  as  regards  how  long  an  enterprise 
must  have  been  in  existence,  and  "start-up  companies"  (entities'on  the  point  of 
exercising  an RTD  activity)  can also participate. 

•  No  3  (Article  8 -  Advance  financing-  of  innovative  projects):  This  Article  is  not 
intended  to  determine  the  point  in  time  when  the  contribution  is  paid  but  simply 
concerns  the  conditions  concerning  the  resources  which  participants  must  have. 
Advance  financing  should  also  be  seen  in  conjunction  with  the  question  of  the 
payment  of the  advance. 

No  4  (Article  10 -  Agreement  of  the  partners  during  the  negotiation  stage  and 
submission of a new proposal if the contract is not signed within a fixed  deadline):  A 
fixed deadline might not be sufficiently  flexible.  In addition, it might be inappropriate 
to  make  provision  for  a  simple  option,  that  is  already  encountered  in  practice,  in  a 
legally binding text. 

No 5 (Article 12 - Contribution  to the dissemination,  use and  alteration  of  innovative 
projects  carried  out  in  a  rapidly  changing  market):  The  detailed  rules  for 
dissemination  and  use  should  be  specified  at 
technological 
In  addition,  the  contracts  will  contain  provisions  enabling 
implementation. 
supplementary agreements to be concluded. 

level  of 

the 

No  6  (Article  15  -  Extending  the  cases  of  ownership  of  knowledge  by  the 
the 
Community):  Certain  indirect  RTD  actions  would  fall  into  a  legal  vacuum; 
Commission  also  feels  that  results  should  only be  its property  if it has borne the  full 
costs. 

No 7 (Article 20 - Electronic  data  communication)  :  This would  introduce  a routine 
administrative rule into a text of principle ;  the Commission already makes use of this 
possibility in practice. 

• 

Nos 8 and 9 (Articles 22 and 22a - Protection of the Community's financial  interests): 
The Commission  favours  sectoral  legislation  specific  to research  and  intends to make 
provision both for contractual  penalties and a recital  in this connection  in the  specific 
programmes, as called for by the European Parliament. 

No  10 (Article  23a-  Facilitating  participation  in  projects):  This  would  introduce  a 
routine  administrative  rule  into  a  text  of  principle  ;  moreover,  the  Commission  is 
encouraging the establishment of assistance networks. 

No  11 (Article 23b - Reasoned decisions):  This is already covered by the EC Treaty. 

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COM(98) 654  final 
COM(98) 654  final 
COM(98) 654  final 

DOCUMENTS 
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Catalogue  number  :  CB-CO-98-654-EN-C 
Catalogue  number  :  CB-CO-98-654-EN-C 
Catalogue  number  :  CB-CO-98-654-EN-C 

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