Proposal for a Council Decision concerning the Community position within the Association Council on the association of Romania to Community programmes in the field of research, technological development and demonstration (1998-2002) and to programmes for research and training activities (1998-2002) - (Text with EEA relevance)
Date: 1999-02-24
Institutions: European Commission
Subjects: EU programme, EU research policy, Romania, technological change

15.4.1999

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Official Journal of the European Communities

C 106/13

Proposal for a

COUNCIL DECISION

of …

concerning the Community position within the Association Council on the association of
Romania to Community programmes in the field of research, technological development
and demonstration (1998 to 2002) and to programmes for research and training activities
(1998 to 2002)

(1999/C 106/02)

(Text with EEA relevance)

COM(1999) 84 final — 99/0061(CNS)

(Submitted by the Commission on 25 February 1999)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular Article 130m,
in
conjunction with Article 228(3), first subparagraph
thereof,

Having regard to the Treaty establishing the European
Atomic Energy Community, and in particular Article
101(2) thereof,

Having regard to the proposal from the Commission,

Whereas, by Decision No …/…/EC,
the European
Parliament and the Council of the European Union
framework programme of European
adopted a
research,
Community
activities
technological
demonstration
(1998-2000), hereinafter called the (cid:28)fifth framework
programme’ (1),

development

field of

in the

and

the European Union adopted a

Whereas, by Decision No …/…/Euratom, the Council
framework
of
Energy
programme
Community
activities
(1998-2002), hereinafter called the (cid:28)fifth Euratom
framework programme’ (2),

the
research and training

European Atomic

of
for

Having regard to the opinion of
Parliament,

the European

HAS DECIDED AS FOLLOWS:

the Europe Agreement

Whereas
an
association between the European Communities and
their Member States, of the one part, and Romania, of
the other part, entered into force on 1 February 1995;

establishing

Whereas according to Article 1 of
the Additional
to the Europe Agreement, Romania may
Protocol
participate in Community framework programmes,
specific programmes, projects or other actions notably
in the field of research and technological development;

the Additional
Whereas according to Article 2 of
Protocol
the terms and
to the Europe Agreement,
conditions for the participation of Romania in the
activities referred to in Article 1 shall be decided by
the Association Council;

established by

The position to be taken by the Community within the
Association Council
the Europe
Agreement between the European Communities and
their Member States, of the one part, and Romania of
the other part,
concerning the participation of
Romania in the fifth framework programme and in
the fifth Euratom framework programme is that set
out in the attached draft decision of the Association
Council.

For the Council

…

The President

Done at …

(1) OJ L …
(2) OJ L …

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Proposal for

DECISION No …/… OF THE ASSOCIATION COUNCIL

between the European Communities and their Member States of the one part, and
Romania, of the other part

adopting the terms and conditions for the participation of Romania in Community
technological development and demonstration
programmes in the field of research,

(1998-2002) and in programmes for research and training activities (1998-2002)

of …

THE ASSOCIATION COUNCIL,

Having regard to the Europe Agreement establishing an association between the European
Communities and their Member States, of the one part, and Romania of the other part (1),

Having regard to the Additional Protocol
to the Europe Agreement establishing an
association between the European Communities and their Member States, of the one part,
and Romania of
the other part, concerning Romanian participation in Community
programmes (2), and in particular Articles 1 and 2 thereof,

Whereas according to Article 1 of the said Additional Protocol, Romania may participate
in Community framework programmes, specific programmes, projects or other Community
actions notably in the fields of research and technological development;

Whereas the European Council at its meeting in Luxemburg on 12 and 13 December 1997
calls for the opening of certain Community programmes (such as in the field of research) to
the candidate countries, as a way of familiarising themselves with the policies and working
methods of the Union, each candidate country being expected to make a steadily increasing
financial contribution of its own (PHARE will, if necessary, be able to part-finance the
applicant States’ national contributions);

Whereas the aforementioned conclusions also call for the participation of the candidate
countries, as observers and for the points which concern them, in the committees assisting
the Commission in the implementation of the programmes to which they contribute
financially;

Whereas, by Decision No …/…/EC, the European Parliament and the Council of the
European Union adopted a framework programme of European Community activities in
the field of
technological development and demonstration (1998—2002),
hereinafter called the (cid:28)fifth framework programme’;

research,

Whereas, by Decision No …/…/Euratom, the Council of the European Union adopted a
Framework Programme of the European Atomic energy Community for research and
training activities
(cid:28)fifth Euratom framework
programme’;

(1998—2002), hereinafter

called the

Whereas according to Article 2 of the said Additional Protocol the terms and conditions
for the participation of Romania in the activities referred to in Article 1 are to be decided
by the Association Council,

(1) OJ L 357, 31.12.1994, p. 2.
(2) OJ L 317, 30.12.1995, p. 40.

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HAS DECIDED AS FOLLOWS:

Article 1

Romania may participate in the specific programmes of the framework programme of
European Community activities in the field of research, technological development and
demonstration (1998-2002), hereinafter called the (cid:28)fifth framework programme’ and in the
specific programmes of the fifth framework programme of the European Atomic Energy
Community for research and training activities (1998-2002), hereinafter called the (cid:28)fifth
Euratom framework programme’, according to the terms and conditions set out in Annexes
I, II and III which shall form an integral part of this Decision.

Article 2

This Decision shall apply for the duration of the fifth framework programme and of the
fifth Euratom framework programme.

This Decision shall enter into force on the first day of the month following its adoption.

Article 3

Done at …

For the Association Council

…

The Chairman

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ANNEX I

TERMS AND CONDITIONS FOR THE PARTICIPATION OF ROMANIA IN THE
SPECIFIC PROGRAMMES OF THE FIFTH FRAMEWORK PROGRAMME AND OF
THE FIFTH EURATOM FRAMEWORK PROGRAMME

1. Research entities established in Romania may participate in all the specific programmes of the fifth
framework programme and of the fifth Euratom framework programme. Romanian scientists or
research entities may participate in the activities of the Joint Research Centre.

(cid:28)Research entities’, as referred to in this Decision, shall include inter alia universities, research
including small and medium-sized enterprises, or natural
organisations,
persons.

industrial companies,

2. This will imply the following:

— participation of research entities established in Romania in the implementation of all specific
programmes adopted under the fifth framework programme, in accordance with the terms and
conditions laid down in the (cid:28)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’,

— participation of research entities established in Romania in the implementation of all specific
programmes adopted under the fifth Euratom framework programme in accordance with the
terms and conditions laid down in the (cid:28)rules for the participation of undertakings, research
centres and universities and for the implementation of the fifth framework programme of the
European Atomic Energy Community’,

— financial contribution by Romania to the budgets of

the programmes adopted for the
the fifth framework programme and the fifth Euratom framework
implementation of
programme on the basis of the ratio of the GDP of Romania to the sum of the GDP of the
Member States of the European Union and that of Romania.

3. Research entities established in Romania participating in Community research programmes shall,
as regards ownership, exploitation and dissemination of information and intellectual property
arising from such participation, have the same rights and obligations as those of research entities
established in the Community, subject to the provisions of Annex II.

4. The relevant sub-committee set up by the Association Council under the Europe Agreement shall

review and evaluate the implementation of this Decision.

5. The financial contribution of Romania deriving from participation in the implementation of the
specific programmes shall be established in proportion to, and in addition to, the amount available
each year in the general budget of the European Union for commitment appropriations to meet the
Commission’s financial obligations stemming from work to be carried out in the forms necessary
for the implementation, management and operation of these programmes.

— The proportionality factor governing the contribution of Romania shall be obtained by
establishing the ratio between the gross domestic product of Romania, at market prices, and
the sum of gross domestic products, at market prices, of the Member States of the European
Union and Romania. This ratio shall be calculated on the basis of the latest statistical data
the European Communities
pertaining to the same year from the Statistical Office of
(Eurostat), available at the time of publication of the preliminary draft budget of the European
Union,

— in order to facilitate its participation in the specific programmes, the contribution of Romania

will be implemented as follows:

year 1 of FP 5:

contribution according to the proportionality factor fixed in accordance
with the preceding indent, multiplied by 0,4,

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year 2 of FP 5:

contribution according to the proportionality factor fixed in accordance
with the preceding indent, multiplied by 0,6,

year 3 of FP 5:

contribution according to the proportionality factor fixed in accordance
with the preceding indent, multiplied by 0,8,

year 4 of FP 5:

contribution according to the proportionality factor fixed in accordance
with the preceding indent,

— the rules for financial participation by the Community are set out in Annex … to Decision No
…/…/EC of the European Parliament and of the Council, and in Annex III to Council Decision
No …/…/Euratom,

— the rules governing the financial contribution of Romania are set out in Annex III.

6. Without prejudice to the provisions of paragraph 3, research entities established in Romania
participating in the fifth framework programme and in the fifth Euratom framework programme
shall have the same contractual rights and obligations as entities established in the Community,
taking into account the mutual interests of the Community and Romania.

For Romanian research entities, the terms and conditions applicable for the submission and
evaluation of proposals and those for the granting and conclusion of contracts under Community
programmes shall be the same as those applicable for contracts concluded under the same
programmes with research entities in the Community, taking into account the mutual interests of
the Community and Romania.

Romanian experts shall be taken into consideration, alongside Community experts, in the selection
of evaluators or experts under the Community’s research and technological development and
demonstration programmes and as members of the advisory groups and other consultative bodies
which assist the Commission in the implementation of the fifth framework programme and the
fifth Euratom framework programme.

A Romanian research entity may be coordinator of a project under the same terms and conditions
applicable to entities’ established in the Community.
In conformity with the Community’s
Financial Regulations, contractual arrangements a concluded with, or by, Romanian research
entities shall provide for controls and audits to be carried out by, or under the authority of, the
Commission and the Court of Audits. As far as financial audits are concerned, they may be carried
out with the purpose of controlling such entities’
income and expenditures, related to the
contractual obligations towards the Community. In a spirit of cooperation and mutual interest, the
relevant Romanian authorities shall provide any reasonable and feasible assistance as may be
necessary or helpful under the circumstances to perform such controls and audits.

7. The Community and Romania will make every effort, within the framework of the existing
provisions, to facilitate the free movement and residence of research workers participating, in
Romania and in the Community, in the activities covered by this Decision and to facilitate cross
border movement of goods intended for use in such activities.

Activities covered by this Decision shall be exempt from Romanian indirect taxes, customs duties,
prohibitions and restrictions on imports and exports in respect of goods and services intended for
use under such activities.

8. Romanian representatives will, for the points which concern them, participate as observers in the
programme committees of the fifth framework programme and in the consultative committee of
the fifth Euratom framework programme. These committees shall meet without the presence of
Romanian representatives at the time of voting. Romania will be informed. Participation shall take
the same form,
including procedures for receipt of information and documentation, as that
applicable to participants from Member States.

9. The Community and Romania may terminate activities under this Decision at any time upon 12
months’ notice in writing. Projects and activities in progress at the time of termination shall
continue until their completion under the conditions laid down in this Decision.

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Should the community decide to revise one or more Community programmes, activities under this
Decision may be terminated under mutually agreed conditions. Romania shall be notified of the
exact content of the revised programmes within one week of their adoption by the Community.
The Community and Romania shall notify one another, within one month after the adoption of
the Community decision, of any intention to terminate the activities.

Where the Community adopts a new multiannual
framework programme for research and
development and/or for research and training activities, the Association Council may decide the
terms and conditions for the participation of Romania.

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ANNEX II

PRINCIPLES ON THE ALLOCATION OF INTELLECTUAL PROPERTY RIGHTS

Rights to intellectual property created or furnished under this Decision shall be allocated as provided
in this Annex.

I. Application

This Annex is applicable to research carried out pursuant to this Decision (hereinafter referred to as
(cid:28)joint research’) except as, otherwise specifically agreed by the Community and Romania, (hereinafter
referred to as (cid:28)the parties’).

II. Ownership, allocation and exercise of rights

1. For purposes of this Decision (cid:28)intellectual property’ shall have the meaning found in Article 2 of
the Convention establishing the World Intellectual Property Organisation, done at Stockholm, 14
July 1967.

2. This Annex addresses the allocation of rights, interests and royalties of the parties and their
participants. Each party and its participants shall ensure that the other party and its participants
may obtain the rights to intellectual property allocated to it in accordance with the Annex. This
Annex does not otherwise alter or prejudice the allocation of rights,
interests, and royalties
between a party and its nationals or participants, which shall be determined by the laws and
practices applicable to each party.

3. The following principles shall apply and shall be provided for in the contractual arrangements:

(a) adequate protection of

their
participants, as appropriate, shall ensure that they notify one another within a reasonable time
of the creation of any intellectual property arising under this Decision or implementing
arrangements and to seek protection for such intellectual property in a timely fashion;

intellectual property. The parties,

their agencies and/or

(b) taking account of the contributions of the parties or their participants in determining the rights

and interests of the parties and participants;

(c) effective exploitation of results;

(d) non-discriminatory treatment of participants from the other party as compared with the

treatment given to its own participants;

(e) protection of business-confidential information.

4. The participants shall jointly develop a technology management plan (TMP) in respect of the
ownership and use, including publication, of information and intellectual property to be created in
the course of joint research. The indicative features of a TMP are contained in the Appendix to
this Annex. The TMP shall be approved by the responsible funding agency or department of the
party involved in financing the research, before the conclusion of the specific research and
development cooperation contract to which it is attached.

The TMPs shall be developed taking into account the aims of the joint research, the relative
financial or other contributions of the parties or participants, the advantages and disadvantages of
licensing by territory or for fields of use, requirements imposed by the applicable laws including
those of the parties concerning IP rights and other factors deemed appropriate by the participants.
The rights and obligations concerning the research generated by visiting researchers in respect of IP
shall also be addressed in the joint technology management plans.

5.

Information or IP created in the course of joint research and not addressed in the technology
management plan shall be allocated, with the approval of the parties, according to the principles

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set out in the technology management plan. In case of disagreement, such information or IP shall
be owned jointly by all the participants involved in the joint research from which the information
or IP results. Each participant to whom this provision applies shall have the right to use such
information or IP for his own commercial exploitation with no geographical limitation.

6. Each party shall ensure that the other party and its participants may have the rights to IP allocated

to them in accordance with these principles.

7. While maintaining the conditions of competition in areas affected by this Decision, each party
shall endeavour to ensure that rights acquired pursuant to this Decision and arrangements made
under it are exercised in such a way as to encourage, in particular (i) the dissemination and use of
information created, disclosed or otherwise made available, under this Decision, and (ii) the
adoption and implementation of international standards.

8. Termination of the cooperation shall not affect rights or obligations under this Annex.

III. Copyright works

Copyright belonging to the parties or to their participants shall be accorded treatment consistent with
the TRIPS Agreement
Intellectual Property Rights
(Agreement on Trade Related Aspects of
administered by the World Trade Organisation) as well as the Berne Convention (Paris Act 1971).

IV. Scientific literary works

Without prejudice to Section V, and unless otherwise agreed in the TMP, publication of results of
research shall be made jointly by the parties or participants to that joint research. subject to the
foregoing general rule, the following procedures shall apply:

1.

In the case of publication by a party or public bodies of that party of scientific and technical
journals, articles, reports, books, including video and software arising from joint research pursuant
to this Decision, the other party shall be entitled to a worldwide, non-exclusive, irrevocable,
royalty-free licence to translate, reproduce, adapt, transmit and publicly distribute such works.

2. The parties shall ensure that literary works of a scientific character arising from joint research
pursuant to this Decision and published by independent publishers shall be disseminated as widely
as possible.

3. All copies of a copyright work to be publicly distributed and prepared under this provision shall
indicate the names of the author(s) of the work unless an author explicitly declines to be named.
They shall also bear a clearly visible acknowledgement of the cooperative support of the parties.

V. Undisclosed information

A. Documentary undisclosed information

1. Each party, its agencies or its participants, as appropriate, shall identify at the earliest possible
moment and preferably in the technology management plan the information that they wish to
remain undisclosed, taking into account inter alia the following criteria:

(a) confidentiality of the information in the sense that it is not, as a body or in the precise
configuration or assembly of its components, generally known among or readily accessible by
lawful means to experts in the field;

(b) the actual or potential commercial value of the information by virtue of its confidentiality;

(c) previous protection of the information in the sense that it has been subject to steps that were
to maintain its

reasonable under the circumstances by the person lawfully in control,
confidentiality.

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The parties, their agencies and their participants, as appropriate, may in certain cases agree that,
unless otherwise indicated, parts or all of the information provided, exchanged or created in the
course of joint research may not be disclosed.

2. Each party shall ensure that it and its participants clearly identify undisclosed information, for
example by means of an appropriate marking or restrictive legend. This also applies to any
reproduction of the said information, in whole or in part.

A party and a participant receiving undisclosed information shall respect the privileged nature
thereof. These limitations shall automatically terminate when this information is disclosed by the
owner into the public domain.

3. Undisclosed information communicated under this Decision may be disseminated by the receiving
party or its organisation to persons within or employed by the receiving party or organisation
authorised for the specific purposes of the joint research under way, provided that any undisclosed
information so disseminated shall be pursuant to an agreement of confidentiality and shall be
readily recognisable as such, as set out above.

4. With the prior written consent of the party providing undisclosed information, the receiving party
may disseminate such undisclosed information more widely than otherwise permitted in paragraph
3. The parties shall cooperate in developing procedures for requesting and obtaining prior written
consent for such wider dissemination, and each party will grant such approval to the extent
permitted by its domestic policies, regulations and laws.

B. Non-documentary undisclosed information

Non-documentary undisclosed or other confidential
information provided in seminars and other
meetings arranged under this Decision, or information arising from the attachment of staff, use of
facilities, or joint projects, shall be treated by the parties or their participants according to the
principles specified for documentary information in the Decision; provided, however, that the recipient
of such undisclosed or other confidential or privileged information has been made aware of the
confidential character of the information communicated at the time such communication is made.

C. Control

Each party shall endeavour to ensure that undisclosed information received by it under this Decision
shall be controlled as provided herein. If one of the parties becomes aware that it will be, or may be
reasonably expected to become, unable to meet the non-dissemination provisions of Sections A and B,
it shall
to define an
appropriate course of action.

immediately inform the other party. The parties shall

thereafter consult

Appendix to Annex II

Indicative features of a technology management plan (TMP)

The TMP is a specific agreement to be concluded between the participants about the implementation
of joint research and the respective rights and obligations of the participants.

With respect to IP, the TMP will normally address, among other things, ownership, protection, user
rights for research and development purposes, exploitation and dissemination, including arrangements
the rights and obligations of visiting researchers and dispute settlement
for joint publication,
procedures. The TMP may also address foreground and background information,
licensing and
deliverables.

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ANNEX III

FINANCIAL RULES GOVERNING THE FINANCIAL CONTRIBUTION OF ROMANIA
REFERRED TO IN ANNEX I(5) OF THIS DECISION

1. The Commission shall communicate to Romania, and shall inform the sub-committee referred to
in Annex I(4) of this Decision, together with relevant background material, as soon as possible,
and at the latest on 1 September, of each financial year:

— the amounts in commitment appropriations, in the statement of expenditure of the preliminary
draft budget of the European Union corresponding to the fifth framework programme and to
the fifth Euratom framework programme;

— the estimated amount of

the contributions derived from the preliminary draft budget,
corresponding to the participation of Romania in the fifth framework programme and in the
fifth Euratom framework programme.

Nonetheless, in order to facilitate internal budgetary procedures, the Commission services shall
provide corresponding indicative figures at the latest on 30 May of each year.

As soon as the general budget has been finally adopted the Commission shall communicate to
Romania the above amounts in the statement of expenditure corresponding to the participation of
Romania.

2. The Commission shall issue, at the latest on 1 January and 15 June of each financial year, a call
for funds to Romania corresponding to its contribution under this Decision. These calls for funds
shall provide, respectively, for the payment:

— of six twelfths of the contribution of Romania not later than 20 February,

— and six twelfths of its contribution not later than 15 July.

However, the six twelfths, to be paid not later than 20 February are calculated on the basis of the
amount set out in the statement of revenue of the preliminary draft budget: the regularisation of
the amount thus paid shall occur with the payment of the six twelfths not later than 15 July.

For the first year of implementation of this Decision, the Commission shall issue a first call for
funds within 30 days of its entry into force. Should this call be issued after 15 June, it shall
provide for the payment of twelve twelfths of the contribution of Romania within 30 days,
calculated on the basis of the amount set out in the statement of the revenue of the budget.

The contribution of Romania shall be expressed and paid in euros.

Romania shall pay its contribution under this Decision according to the schedule in this
paragraph. Any delay in payment shall give rise to the payment of interest at a rate equal to the
one-month interbank offered rate (IBOR) in euros as quoted by the International Swap Dealers’
Association on the page ISDA of Reuters. This rate shall be increased by 1,5 % for each month of
delay. The increased rate shall be applied to the entire period of delay. However, the interest shall
be due only if the contribution is paid more than 30 days after the scheduled payment dates
mentioned in this paragraph.

Travel costs incurred by Romanian representatives and experts for the purposes of taking part in
the work of
the committee referred to in Annex I(6) and (8) and those involved in the
implementation of the fifth framework programme and the fifth Euratom framework programme
shall be reimbursed by the Commission on the same basis as and in accordance with the
procedures currently in force for the representatives and experts of the Member States of the
European Union.

3. The financial contribution of Romania to the fifth framework programme and the fifth Euratom
framework programme in accordance with Annex I(5) shall normally remain unchanged for the
financial year in question.

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The Commission, at the time of the closure of the accounts relating to each financial year (n),
within the framework of the establishment of the revenue and expenditure account, shall proceed
to the regularisation of the accounts with respect to the participation of Romania, taking into
consideration modifications which have taken place, either by transfer, cancellations, carry-overs,
decommitments, or by supplementary and amending budgets during the financial year. This
for the year n+1. Further
regularisation shall occur at
regularisation shall occur every year until July 2006.

the second payment

the time of

Payment by Romania shall be credited to the Community programmes as budget receipts allocated
to the appropriate budget heading in the statement of revenue of the general budget of the
European Union.

The financial regulation applicable to the general budget of the European Union shall apply to the
management of the appropriations.

4. At the latest on 31 May of each financial year (n+1), the statement of appropriations for the fifth
framework programme and the fifth Euratom framework programme related to the previous
financial year (n), shall be prepared and transmitted to Romania for information, according to the
format of the Commission’s revenue and expenditure account.