1999/172/EC: Council Decision of 25 January 1999 adopting a specific programme for research, technological development and demonstration on promotion of innovation and encouragement of SME participation (1998 to 2002)
Date: 1999-01-25
Institutions: Council of the European Union
Subjects: EU programme, innovation, research programme, small and medium-sized enterprises, technological change, testing

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COUNCIL DECISION

of 25 January 1999

adopting a specific programme for research, technological development and demonstration
on promotion of innovation and encouragement of SME participation (1998 to 2002)

(1999/172/EC)

THE COUNCIL OF THE EUROPEAN UNION,

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

Having
regard
Commission (1),

to

the

proposal

from the

Having regard to the opinion of
Parliament (2),

the European

Having regard to the opinion of the Economic and
Social Committee (3),

of

fifth

framework

programme

(1) Whereas by Decision No 182/1999/EC (4), the
European Parliament and the Council adopted
the
the
European Community (hereinafter referred to as
the fifth framework programme) for research,
technological development and demonstration
(hereinafter
activities
for the period 1998 to 20002 setting out the
general outlines and scientific and technological
objectives of the activities to be carried out in
the
innovation and
field of promotion of
encouragement of SME participation;

referred to as RTD)

the

framework
through

programme
specific

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

(3) Whereas,

Decision No 1110/94/EC of

in accordance with Article 4(2) of
the European

(1) OJ C 260, 18.8.1998, p. 75.
(2) Opinion delivered on 15 December 1998 (not yet

published in the Official Journal).

(3) OJ C 407, 28.12.1998, p. 123.
(4) OJ L 26, 1.2.1999, p. 1.

research,

technological development

the Council Decisions on the

Parliament and of the Council of 26 April 1994
concerning the fourth framework programme of
the European Community activities in the field
of
and
demonstration (1994 to 1998) (5) and Article 4(2)
of
specific
programmes implementing the fourth framework
programme, the Commission has arranged for an
external assessment to be 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;

(4) Whereas, in accordance with Article 130j of the
Treaty, Council Decision
1999/65/EC of
22 December 1998 concerning the rules for the
participation of undertakings, research centres
and universities and for the dissemination of
research results for the implementation of the
the European
fifth framework programme of
(hereinafter
Community
for participation
referred to as
rules
to this
and dissemination’) applies
specific
programme; whereas
rules allow the
these
participation of the Joint Research Centre in the
indirect
specific
covered
programme;

(1998 to 2002) (6)

actions

(cid:28)the

this

by

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

to

in

it

that

is
and

important
user

the scientific,
(6) Whereas
industrial
should
contribute substantially to the definition of
activities
to be undertaken and should be
involved, as appropriate, in the implementation
of this programme;

communities

(7) Whereas activities under this programme should
also be geared towards innovation in order to

(5) 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).

(6) OJ L 26, 1.2.1999, p. 46.

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contribute, inter alia, to the objectives of the first
action plan for innovation;

2. Of the amount in paragraph 1

(8) Whereas special emphasis should be placed on

encouraging the participation of SMEs;

(9) Whereas the equal opportunities policy of the
Community must be taken into account in the
implementation of this programme;

— EUR 78 million is for the period 1998 to 1999,

and

— EUR 285 million is for the period 2000 to 2002.

(10) Whereas efficient and transparent management
contributes to a more effective and user-friendly
programme;

(11) Whereas administrative expenditure should be
in a
included in the Community budget
transparent fashion;

In the case referred to in Article 2(1)(c) of the fifth
framework programme, the Council shall adapt the
latter figure in accordance with Article 2(1)(c), second
indent of the fifth framework programme. Pending a
decision by the Council, this specific programme shall
not be implemented beyond the provision of the first
indent.

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

in due

course

(13) Whereas the Scientific and Technical Research
Committee has been consulted on the scientific
specific
content
and
programmes,

technological

the

of

HAS ADOPTED THIS DECISION:

Article 1

The budgetary authority shall,

in compliance
3.
with the scientific and technological objectives and
priorities
the
laid down in this Decision,
appropriations for each financial year taking into
account
resources within the
multiannual financial perspective.

the availability of

set

Article 3

the

The

general

outlines,

and
1.
technological objectives and the priorities
for the
specific programme are set out in Annex II. They are
consistent with the principles and the three categories
of selection criteria indicated in Annex I to the fifth
framework programme.

scientific

In accordance with Article 3(1) of the fifth framework
programme, the specific programme on quality of life
and management of
(hereinafter
referred to as the specific programme) is adopted for
the period from 25 January 1999 to 31 December
2002.

living resources

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.

In addition, any participation of industrial entities in
industrially-orientated shared-cost actions should, as a
general rule, be appropriate to the nature and purpose
of the activity.

In accordance with Annex III

1.
to the fifth
framework programme, the amount deemed necessary
for carrying out
the specific programme is EUR
363 million, including a maximum of 7,35 % for the
Commission’s administrative expenditure.

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

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

The rules for participation and dissemination

3.
shall apply to the specific programme.

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4.
The detailed rules for financial participation by
the Community in the specific programme are those
referred to in Article 4 of
the fifth framework
programme.

3.
The work programme shall be updated where
appropriate and be made available by the Commission
to all
in a user-friendly form,
including in electronic form.

interested parties

indirect RTD actions

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

under

the

Article 6

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

The Commission shall be responsible for the

1.
implementation of this specific programme.

Article 4

The procedure laid down in Article 7 shall apply

2.
for the adoption of the following measures:

In the light of the criteria referred to in Article 3, and
the
and
priorities set out in Annex II, the Commission:

technological

objectives

scientific

and

(a) shall monitor, with appropriate assistance from
independent external experts, the implementation
of the specific programme and, where appopriate,
for adapting it,
submit proposals
to Council
in accordance with Article 5(1) of
the fifth
framework programme;

in Article 5(2) of

(b) shall arrange for the external assessment provided
fifth framework
conducted concerning the
in the fields covered by

for
programme
activities carried out
the specific programme.

to be

the

— the drawing-up and updating of

the work
programme referred to in Article 5(1), including
regarding the content of calls for proposals,

— approval of RTD actions proposed for funding,
from third
including participation by entities
countries, where the estimated amount of
the
Community contribution under this programme is
equal to or more than EUR 0,3 million,

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

Article 5

— any adjustment to the indicative breakdown of the

amount as set out in Annex I.

The Commission shall draw up a work

1.
programme specifiying:

Article 7

(a) in greater detail, the objectives and RTD priorities

of Annex II;

(b) the indicative timetable for the implementation of

the specific programme;

(c) the coordination arrangements set out in Annex III;

(d) where necessary,

the selection criteria and the
arrangements for applying them for each type of
indirect RTD action.

The work programme shall

2.
take account of
relevant interests, in particular the scientific, industrial
and user communities. It shall serve as a basis for
implementing the indirect RTD actions according to
the procedures set out in the rules for participation
and dissemination.

shall

The Commission

1.
a
programme committee (hereinafter referred to as (cid:28)the
committee’)
the
Member States and chaired by the representative of
the Commission.

representatives of

composed of

assisted

by

be

In the cases referred to in Article 6(2),
the Commission shall submit

the
2.
representative of
to
the committee a draft of measures to be taken. The
its opinion on the draft
committee shall deliver
measures referred to above 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.

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3(a) The Commission shall adopt

the measures
they are in accordance with the

envisaged if
opinion of the committee.

(b) If the measures envisaged are not in accordance
the committee, or if no
with the opinion of
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 nine weeks from the
referral of the matter to the Council, the Council
has not acted, the proposed measures shall be
adopted by the Commission.

of

the

The Commission shall

4.
regularly inform the
the
overall
committee
implementation of the specific programme, and shall
in particular provide it with information about the
progress of all RTD actions
this
programme.

funded under

progress

of

Article 8

In accordance with Article 5(4) of the fifth framework
programme, the Commission shall regularly inform
the
the Council and the European Parliament of
overall progress of
the
implementation of
the
programme, including on the participation of SMEs
and the simplification of admininistrative procedures.

Article 9

This Decision is addressed to the Member States.

Done at Brussels, 25 January 1999.

For the Council

The President

J. FISCHER

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ANNEX I

INDICATIVE BREAKDOWN OF THE AMOUNT DEEMED NECESSARY

Type of activity

Promotion of innovation

Encouraging SME participation

Joint innovation/SME activities

(million EUR)

Amount

119

44

200

363

Total

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ANNEX II

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 ambitious innovation policies at Community, national and
regional levels in all sectors.

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
the competitiveness of European industry, economic growth and
emergence of new activities,
employment; they also have special features which necessitate appropriate stimulation and follow-up
measures. Where necessary, action at European level should supplement initiatives taken by the
Member States, in order to help SMEs to gain access to new technologies on the widest transnational
basis, be they high-tech 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

In the context of the general objectives set out in Annex II (third activity) of the fifth framework
programme, the aim of this programme is to promote innovative activities contributing towards the
implementation of the first action plan for innovation, and to promote a more active role for, and
facilitate and encourage participation of SMEs in the fifth framework programme.

LINKS WITH OTHER COMMUNITY PROGRAMMES AND ACTIVITIES

The activities carried out in this programme must not duplicate activities undertaken within Member
States. They will support, supplement and coordinate activities carried out under other specific
in the context of other Community activities. The other
programmes or, where appropriate,
programmes will contribute actively to the attainment of the strategic objectives. In particular, 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

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programme will be based in particular on the activities carried out by the (cid:28)innovation units’, located
within the thematic programmes, which it will coordinate 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 promote and
integrate the (cid:28)innovation’ and (cid:28)SME’ 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 (including innovation relay centres (IRCs) and
CRAFT contact points) 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
should include:

— 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, for example 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,

— providing monitoring and evaluation data on technology transfer and other innovation activities

within the thematic programmes.

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 the thematic programmes:

— (cid:28)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 antities, 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 (cid:28)exploratory
awards’), respecting SMEs’ need for a flexible and easily accessible support system,

— provision of monitoring and evaluation data on the operation of SME measures within the

thematic programmes.

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. It will, where necessary,
ensure the transnational dissemination and utilisation of results and technologies not stemming from
the thematic programmes.

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

O b j e c t i v e

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.

A c t i v i t i e s

— 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

O b j e c t i v e

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 (cid:28)innovation culture’. This culture can be
developed by supporting technology transfer projects and 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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A c t i v i t i e s

— 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, by technology transfer and validation projects.

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

O b j e c t i v e s

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.

A c t i v i t i e s

— collection and regular updating of information on innovation policies, practices and performances
(focusing on the financing, setting-up and development of innovative businesses and protection
and transfer of
in
accordance with the action plan for innovation in Europe, and appropriate publications arising
therefrom,

technology); establishment on this basis of an innovation trend chart,

— promotion of good practices with regard to innovation (including on the financing, setting-up and
development of innovative businesses, protection and transfer of technology, and the regional
dimension), including design of training schemes.

Encouraging SME participation

(i) A single complementary entry point

O b j e c t i v e

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 full use of existing support networks, such as IRCs and CRAFT national focal points in
Member States.

A c t i v i t i e s

Setting-up of a structure to facilitate SME participation in Community programmes by enabling them:

— to be made aware of the importance and impact of Community RTD activities and 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 and with forwarding their
proposals to the most appropriate programme),

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— 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 (cid:28)cooperative research’
activities (CRAFT),

— to receive structured and rapid feedback on their applications.

(ii)

Joint support and assistance instruments

O b j e c t i v e

The aim is to simplify and harmonise SME participation conditions in order to supplement and
strengthen the impact of the single complementary entry point, preferably through the fullest possible
use of the most suitable electronic means: electronic information packages and electronic submission
of proposals, (cid:28)help line’, specialised Intranet networks, etc.

A c t i v i t i e s

— preparation of joint contractual and information-management tools,

— assistance for SMEs, as required to complement that provided at local and regional level and by
thematic programmes, such as the organisation of training workshops for project coordinators
and intermediaries on the management of research contracts, the coordination and follow-up of
projects or other topics of general interest to SMEs.

(iii) Economic and technological intelligence

O b j e c t i v e

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

A c t i v i t i e s

— 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,

including services on the Internet.

Joint innovation/SME activities

(i) European support network for the promotion of research, technology transfer and innovation

O b j e c t i v e s

The aim is to rationalise and coordinate the networks providing information and assistance concerning
the Community’s research and innovation activities, so as to provide an effective overall framework
for information, assistance, cooperation and innovation-promotion, aimed particularly at SMEs and
making full use of the existing networks of IRCs and CRAFT contact points.

The aim is further 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.

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A c t i v i t i e s

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

fabric,

— establishment of means of cooperation and transnational partnerships between firms,

— support for the dissemination and exploitation of the results of Community research activities, for

example by organising (cid:28)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

O b j e c t i v e s

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 with a view to furthering their exploitation; to
inform the general public, including the social partners, about the socioeconomic impact of innovation
policies, and fuel the debate about the issues at stake where these policies are concerned, given the
needs of individuals.

A c t i v i t i e s

— consolidation of the Cordis Community information service by reorganising the information
gathering and circulation mechanisms including the use of a common format for collecting data
on projects and results,
interface and the
improving ease of access (multilingualism,
identification of results suitable for exploitation in other contexts), adapting the content to the
needs of SMEs and their support networks and developing tailor-made tools,

(cid:28)users’

— possible 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

O b j e c t i v e s

The aim is, first of all via information and where appropriate via pilot activities, to encourage the use
of knowledge-protection systems,
effective protection or of
the purposes
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 in the possession of the Community (JRC) and to
provide assistance to framework programme participants.

either of

for

A c t i v i t i e s

— 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,

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— carrying-out of pilot activities to encourage actual or potential participants to take advantage of
the patent system, in collaboration with the European Patents Office and the national offices.

(iv) Access to private innovation financing

O b j e c t i v e s

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

A c t i v i t i e s

— 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,
notably on the management of risk, and organisation of transnational investment forums bringing
together entrepreneurs, researchers, and financial operators, and including the LIFT (links to
innovation financing for technology) activities,

— exchanges of experience with the players concerned in the Member States,

the European
Investment Fund (EIF), other financial operators 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); these pilot activities will not provide financial subsidies to enterprises or create
competing financial instruments,

— 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

O b j e c t i v e s

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. These pilot activities will not provide financial subsidies to enterprises or create
competing financial instruments.

A c t i v i t i e s

— 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 (cid:28)Risk capital, a key to job creation in the European Union’ ; SEC(98)552 final.

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EN

Official Journal of the European Communities

L 64/103

ANNEX III

SPECIFIC RULES FOR IMPLEMENTING THE PROGRAMME

The specific programme will be implemented through indirect RTD actions as provided for 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,

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
their
implementation,

indirect RTD actions and the monitoring of

including access to scientific databases,

evaluation of

— 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 of 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 II 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 to ensure complementarity between the indirect RTD actions under
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.

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Official Journal of the European Communities

12.3.1999

As far as possible, 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 1999/64/Euratom of
22 December 1998 concerning the fifth framework programme of the European Atomic Energy
Community (Euratom) for research and training activities (1998 to 2002) (1),

— other European research frameworks including Eureka and COST,

— other Community research-related instruments.

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 on 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.

(1) OJ L 26, 1.2.1999, p. 34.