Proposal for a Council Decision concerning the conclusion of an Agreement aimed at renewing the Agreement for scientific and technological cooperation between the European Community and the Government of the United States of America (SEC(2003) 1048)
Date: 2003-10-01
Institutions: European Commission
Subjects: EU research policy, United States, cooperation agreement (EU), scientific cooperation, technical cooperation

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 1.10.2003
COM(2003) 569 final

2003/0223 (CNS)

Proposal for a

COUNCIL DECISION

concerning the conclusion of an Agreement aimed at renewing the Agreement
for scientific and technological cooperation between the European Community
and the Government of the United States of America

(SEC(2003) 1048)

(presented by the Commission)

EXPLANATORY MEMORANDUM

Subject:  Proposal  for  a  Council  Decision  concerning  the  conclusion  of  an  Agreement
aimed  at  renewing  the  Agreement  for  scientific  and  technological  cooperation
between  the  European  Community  and  the  Government  of  the  United  States  of
America

1.

By  its  Decision  of  13  October  1998,  the  Council  approved  the  conclusion  of  the
Agreement  for  scientific  and  technological  cooperation  between  the  European
Community and the Government of the United States of America1.  The Agreement
entered into force on 14 October 1998.

Article 12(b) of  the Agreement provides  as  follows: "This Agreement is  concluded
for an initial period of five years. Subject to review by the Parties in the final year of
each successive period, the Agreement may be extended with possible amendments,
thereafter  for  additional  periods  of  five  years  by  mutual  written  agreement  by  the
Parties".

2.

Such a review was carried out by an independent Panel of experts.

The  thorough  analysis  of  the  impact  of  the  above-mentioned  Agreement  on  the
development  of  transatlantic  research  cooperation  draws  an  overall  positive  picture
although much more can still be achieved.

The  different  recommendations  made  by  the  Panel  are  acceptable  by  the
Commission, which intends to put them into practice.

Of  special  interest  are  the  recommendations,  which  will  be  followed  up  during  the
preparation and the implementation phase of the agreement:

–  "to raise the awareness of the Agreement in the Member States of the  European
Union in order to increase its relevance and the involvement of the Member States
in  relation  to  the  European  Research  Area  and  the  conclusions  of  the  Lisbon
Council,  including to identify  target areas  for communication in relevant sectors
(science, industry, government)";

–  "that  the  Joint  Consultative  Group  of  the  Agreement  be  better  exploited  as  a
communication  vehicle  so  that  scientific  and  other  relevant  communities  are
aware of its agenda and the outcomes of its deliberations. The Joint Consultative
Group should encourage input to these deliberations from a wider audience so that
it is able to sample a range of opinion";

–  "as part of the renewal process, to establish a strategy that will build effectively on
the  foundation  in  the  first  five  years  and  better  exploit  the  potential  of  the
Agreement".

1

OJ L 284, 22.10.1998, p. 35.

2

                                                
3.

4.

In  addition,  the  Commission  will  pay  particular  attention  to  the  recommendations
concerning  the  balance  of  reciprocity,  a  general  framework  for  the  question  of
funding, and to ensure good direct communication with the relevant US government
institutions

In conclusion "the Agreement for scientific and technological cooperation constitutes
a platform with significant potential.  It is recommended that the Agreement should
be renewed".

The  authorities  of  the  United  States  of  America  have  informed  the  services  of  the
Commission that they would favour the renewal of the above-mentioned Agreement
for five more years.

The United States want a straightforward renewal, without changing  the text  of the
current  Agreement  so  as  to  maintain  continuity  in  the  scientific  and  technological
relations between the USA and the European Community.

Rapid renewal would therefore be in the best interest of both parties.

Since  the  material  content  of  the  Agreement  which  will  soon  expire  would  remain
unchanged,  following  the  normal  procedures  for  negotiating  this  renewal  (Article
300(1)  of  the  EC  Treaty)  would  serve  no  useful  purpose.  In  addition,  given  the
resulting  advantages,  for  both  parties,  of  rapid  renewal,  a  one-step  procedure  is
suggested (a single procedure and a single act concerning signature and conclusion).

In the light of the above considerations, the Commission requests the Council:

–  to  approve,  on  behalf  of  the  Community,  after  consulting  the  European
Parliament, the conclusion of an Agreement aimed at renewing the Agreement for
scientific  and  technological  cooperation  between  the  European  Community  and
the Government of the United States of America;

–  to  authorise  the  President  of  the  Council  to  designate  the  person  empowered  to
sign the Agreement in order to express the consent of the Community to be bound
thereby.

3

2003/0223 (CNS)

Proposal for a

COUNCIL DECISION

concerning the conclusion of an Agreement aimed at renewing the Agreement
for scientific and technological cooperation between the European Community
and the Government of the United States of America

THE COUNCIL OF THE EUROPEAN UNION,

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular  the
second  paragraph  of  Article  170,  in  conjunction  with  the  first  sentence  of  the  first
subparagraph of Article 300(2), and the first subparagraph of Article 300(3),

Having regard to the proposal from the Commission2,

Having regard to the opinion of the European Parliament3,

Whereas:

(1)

(2)

(3)

(4)

(5)

By  its  Decision  of  13  October  19984,  the  Council  approved  the  conclusion  of  the
Agreement  for  scientific  and  technological  cooperation  between  the  European
Community and the Government of the United States of America;

Article 12(b) of the Agreement provides as follows: "This Agreement is concluded for
an initial period ending of five years. Subject to review by the Parties in the final year
of each successive period, the Agreement may be extended with possible amendments,
thereafter  for  additional  periods  of  five  years  by  mutual  written  agreement  by  the
Parties";

The  authorities  of  the  United  States  of  America  have  informed  the  services  of  the
Commission  that  they  would  favour  the  renewal  of  the  above-mentioned  Agreement
for  five  more  years.  Rapid  renewal  would  therefore  be  in  the  best  interest  of  both
parties;

The  material  content  of  the  renewed  Agreement  will  be  identical  to  the  material
content of the Agreement, which will expire on 13 October 2003;

The  Agreement  aimed  at  renewing  the  Agreement  for  scientific  and  technological
cooperation  between  the  European  Community  and  the  Government  of  the  United
States of America should be approved on behalf of the Community,

2

3

4

OJ C …
…
OJ L 284, 22.10.1998, p. 35

4

                                                
HAS DECIDED AS FOLLOWS:

Article 1

The Agreement aimed at renewing the Agreement for scientific and technological cooperation
between the European Community and the Government of the  United States of America for
an additional period of five years is hereby approved on behalf of the Community.

The text of the Agreement is attached to this Decision.

Article 2

The President of the Council is hereby authorised to designate the person empowered to sign
the Agreement in order to express the consent of the Community to be bound thereby.

Done at Brussels,

For the Council
The President

5

AGREEMENT
RENEWING THE AGREEMENT FOR SCIENTIFIC AND TECHNOLOGICAL
COOPERATION BETWEEN THE EUROPEAN COMMUNITY AND THE
GOVERNMENT OF THE UNITED STATES OF AMERICA

THE EUROPEAN COMMUNITY (hereinafter "the Community"), of the one part,

And

THE GOVERNMENT OF THE UNITED STATES OF AMERICA, of the other part,

hereinafter referred as the "Parties",

CONSIDERING  the  importance  of  science  and  technology  for  their  economic  and  social
development;

RECOGNISING that the Community and the United States of America are pursuing research
and technological activities in a number of areas of common interest, and that participation in
each other's research and development activities on a basis of reciprocity will provide mutual
benefits;

HAVING REGARD  to  the  Agreement  for  scientific  and  technological  cooperation  between
the European  Community  and the Government of the  United  States  of  America,  which  was
signed in Washington on 5 December 1997 and which will expire on 13 October 2003;

DESIRING  to  pursue  their  cooperation  in  science  and  technology  in  the  formal  framework
established by the Agreement,

HAVE AGREED AS FOLLOWS:

Article 1

The  Agreement  for  scientific  and  technological  cooperation  between  the  European
Community  and  the  Government  of  the  United  States  of  America,  which  was  signed  in
Washington on 5 December 1997 and will expire on 13 October 2003, is hereby renewed for
an additional period of five years.

Article 2

This  Agreement  shall  enter  into  force  on  the  date  on  which  the  Parties  have  notified  each
other in writing that their respective internal procedures necessary for its entry into force have
been completed.

Article 3

This  Agreement  is  drawn  up  in  duplicate  in  the  Danish,  Dutch,  English,  Finnish,  French,
German, Greek, Italian, Portuguese, Spanish and Swedish languages, each of these texts being
equally authentic.

For the European Community

For the Government of the United States of America

6

LEGISLATIVE FINANCIAL STATEMENT

Policy area(s): RTD

Activit(y/ies):International scientific and technological cooperation

TITLE  OF  ACTION:  PROPOSAL  FOR  A  COUNCIL  DECISION  CONCERNING  THE  CONCLUSION  OF
AN  AGREEMENT  AIMED  AT  RENEWING  THE  AGREEMENT  FOR  SCIENTIFIC  AND
TECHNOLOGICAL  COOPERATION  BETWEEN  THE  EUROPEAN  COMMUNITY  AND  THE
GOVERNMENT OF THE UNITED STATES OF AMERICA

1.

BUDGET LINE(S) + HEADING(S)

1.1.

Budget lines concerned

The  costs  incurred  in  monitoring  and  implementing  the  Agreement  will  be  charged  to  the
specific  budget  headings  of  the  programmes  within  the  Community’s  RTD  Framework
Programme (Chapter B6-6013).

2.

OVERALL FIGURES

2.1.

Method of calculating the total annual cost of the action (estimate)

a.

Preparatory activities, review of the cooperation: meetings of the Joint Consultative-
Group, exchange of  information, visits of officials  and  experts to the United States  of
America

50 000 €

b.

Scientific and technical workshops/meetings

60 000 €

TOTAL : 110 000 €/year

3.

BUDGET CHARACTERISTICS

Type of expenditure

New

EFTA
contribution

Contribution
from
applicant
Countries

Heading in
financial
perspectives

Non-comp

Diff

No

Yes

Yes

No 3

4.

LEGAL BASIS

–  With  legal  basis.  -  [Multiannual  programme  -  Co-decision  (with  principal  financial

reference)].

4.1.

Titles and references

–  Treaty  establishing  the  European  Community,  and  in  particular  Article  170(2)  thereof,  in
conjunction  with  the  first  sentence  of  the  first  subparagraph  of  Article  300(2)  and  the  first
subparagraph of Article 300(3).

7

–  Decision  No  1513/2002/EC  of  the  European  Parliament  and  the  Council  of  27  June  2002
concerning  the  Sixth  Framework  Programme  of  the  European  Community  for  research,
technological  development  and  demonstration  activities,  contributing  to  the  creation  of  the
European Research Area and to innovation (2002-2006).

5.

DESCRIPTION AND GROUNDS

5.1.

Need for Community intervention

implementation  of 

Community budget intervention is indispensable because the planned  cooperation comes under
the 
the  budgetary  section:
participation by the United States of America in certain specific programmes and administrative
expenditure on the European side (missions by Community officials, organisation of seminars in
the Community and in the USA).

the  Framework  Programmes, 

including 

5.1.1. Objectives pursued

The essential objective is to stimulate RTD cooperation between the European Community and
the United States of America in the areas covered by the Framework Programmes.

–  The Agreement is designed to enable the Community and the USA to profit, on the basis of
the principle of mutual benefit, from the scientific and technical progress achieved under their
respective  research  programmes,  by  means  of  participation  by  the  United  States  scientific
community  and  industrial  sector  in  Community  research  projects  and  independent,  non-
subsidised participation by bodies established in the Community in US projects.

–  The beneficiaries in the EC and the USA will be the scientific community, the private sector

and the general public, thanks to the direct and indirect effects of cooperation.

5.1.2. Duration

The Agreement will be renewed for an additional period of five years and will be renewable by
common agreement for further periods of five years.

5.2.

Actions envisaged and budget intervention arrangements

5.2.1.

Type of expenditure

100%  grant  (missions  to  the  USA  by  Commission  officials  and  experts;  organisation  of
workshops, seminars and meetings in the European Community and in the USA).

6.

6.1.

FINANCIAL IMPACT

Administrative  and  technical  operating  expenditure  included  in  Part  B  (for  the
whole programming period)

6.1.1.

Expenditure on the management of the Decision (estimate)

Indicative breakdown, amounts (expressed in millions of euros)

8

Commitments

Payments

2003

2004

2005

2006

0.11

0.11

0.11

0.11

0.11

0.11

0.11

0.11

7.

FOLLOW-UP AND EVALUATION

7.1.

Follow-up arrangements

The  activities  in  the  context  of  the  Cooperation  Agreement  will  be  regularly  evaluated  by  the
relevant Commission departments.

This evaluation will cover the following:

a.

b.

Collection  of  information:  on  the  basis  of  data  from  the  specific  programmes  of  the
Framework Programmes.

Overall evaluation: an evaluation of all the cooperation activities in the context of this
Agreement will be made by the Commission's departments at the end of each year.

8.

ANTI-FRAUD MEASURES

Numerous administrative and financial audits are provided  for at each stage of  the  cooperation
activities in the context of this Agreement. These include in particular:

–  verification, at various levels, of the statements of expenditure before payment;

–  audit by the internal audit service;

–  audit by the Court of Auditors.

9