Proposal for a decision of the Council and of the Commission on the conclusion on behalf of the European Community and the European Atomic Energy Community of the Agreement on Scientific and Technological Cooperation between the European Communities of the one part and the Swiss Confederation of the other part
Date: 2005-07-25
Institutions: European Commission
Subjects: EAEC, Switzerland, cooperation agreement (EU), nuclear energy, scientific cooperation, technical cooperation

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 25.7.2005 
COM(2005) 333 final 

2005/0135 (CNS) 

Proposal for a 

DECISION OF THE COUNCIL AND OF THE COMMISSION 

on the conclusion on behalf of the European Community and the European Atomic 
Energy Community of the Agreement on Scientific and Technological Cooperation 
between the European Communities of the one part and the Swiss Confederation of the 
other part 

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1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

EXPLANATORY MEMORANDUM 

By  joint  decision  of  4 April 2002  the  Council  and  the  Commission  concluded  the 
Agreement  on  Scientific  and  Technological  Cooperation  between  the  European 
Community  and  the  European  Atomic  Energy  Community  of  the  one  part  and  the 
Swiss  Confederation  of  the  other  part.  The  Agreement  entered  into  force  on 
1 June 2002. 

This Agreement associated Switzerland in the specific programmes of the Fifth (EC 
and Euratom) Framework Programmes. Article 9(2) thereof provided for renewal of 
the Agreement should the Community adopt new Framework Programmes. 

On 7 June 2002, as the Sixth (EC and Euratom) Framework Programmes were being 
adopted  by  the  Communities,  the  Swiss  Confederation  officially  requested  the 
Commission  to  renew  the  abovementioned  Agreement  with  a  view  to  being 
associated in them. 

It is in the interest of the Communities to renew this Agreement in order to associate 
the Swiss Confederation in the Sixth (EC and Euratom) Framework Programmes and 
thereby expand the European Research Area. 

Consequently,  on  26 November 2002  the  Commission  proposed  that  the  Council 
authorise it to negotiate the renewal of the Agreement with a view to associating the 
Swiss  Confederation  in  the  Sixth  (EC  and  Euratom)  Framework  Programmes.  On 
20 February 2003 the Council gave the Commission a mandate to negotiate renewal 
of the Agreement, including the possibility of provisional application so as to allow 
legal entities from the Swiss Confederation to participate, as early as possible, in the 
calls under the Sixth (EC and Euratom) Framework Programmes. 

Renewal  of  the  Agreement  was  negotiated  in  line  with  the  negotiating  directives 
annexed  to  the  Council  decision  of  20 February 2003.  These  negotiations  were 
completed  on  5 September 2003,  when  the  authorised  representatives  of  the  two 
parties initialled the annexed draft Agreement. 

On  25 November 2003  the  Commission  submitted  to  the  Council  a  proposal  for  a 
Council  Decision  authorising  the  signature  of  the  abovementioned  Agreement.  The 
Council  adopted  this  Decision  on  22  December  2003  and  the  attached  Agreement 
and the Annexes thereto were signed on 16 January 2004 in Brussels. 

This  new  Agreement  is  based  on  the  principles  laid  down  in  its  predecessor, 
particularly with regard to the Swiss Confederation’s contribution to the budgets for 
the Sixth (EC and Euratom) Framework Programmes. However, it has been adapted 
to  take  account  of  the  specifics  of  the  Sixth  (EC  and  Euratom)  Framework 
Programmes. In addition, Annex C contains new provisions on cooperation between 
the Communities and the Swiss Confederation on control of Community funds. 

Finally, following the entry into force of the Sixth Framework Programmes, in view 
of  the  fact  that  the  associated  States  make  annual  contributions  to  the  respective 
budgets and of the time needed for negotiation of this renewal, it is proposed that this 
Agreement  should  enter  into  force  on  1 January 2004  and,  if  it  is  not  concluded  in 
time, should apply provisionally from that date on, subject to signature at a later date. 

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10. 

The Agreement stipulates that the eleven official languages at the time of signing are 
to  be  authentic.  Regulations  No 1/19581  oblige  the  European  Community  and  the 
Euratom  Community  to  draft  documents  of  general  application  in  all  the  official 
languages  of  the  Member  States,  which  since  enlargement,  total  20  languages.  The 
Council must therefore decide that the Commission should conclude the Agreement 
in  such  a  way  that  the  languages  of  the  new  Member  States  are  authentic,  without 
formally  amending the  Agreement.  This additional agreement should take  the form 
of an exchange of letters annexed to the Agreement.  

11. 

In the light of the foregoing, the Commission proposes that the Council: 

– 

– 

approve,  on  behalf  of  the  Community  and  following  consultation  with  the 
the  Agreement  on  Scientific  and  Technological 
European  Parliament, 
Cooperation between the European Communities of the one part and the Swiss 
Confederation of the other part; 

notify  the  Swiss  authorities  that  the  European  Community  has  completed  the 
procedures necessary for the entry into force of the Agreement. 

1 

OJ 401/58, 6.10.1958 and OJ 385/58, 6.10.1958 

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2005/0135 (CNS) 

Proposal for a 

DECISION OF THE COUNCIL AND OF THE COMMISSION 

on the conclusion on behalf of the European Community and the European Atomic 
Energy Community of the Agreement on Scientific and Technological Cooperation 
between the European Communities of the one part and the Swiss Confederation of the 
other part 

THE  COUNCIL  OF  THE  EUROPEAN  UNION  AND  THE  COMMISSION  OF  THE 
EUROPEAN COMMUNITIES, 

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

Having  regard  to  the  Treaty  establishing  the  European  Atomic  Energy  Community,  and  in 
particular the second paragraph of Article 101 thereof, 

Having regard to the proposal from the Commission, 

Having regard to the opinion of the European Parliament, 

Whereas: 

(1) 

(2) 

(3) 

The  Commission  has  negotiated,  on  behalf  of  the  Communities,  an  Agreement  on 
Scientific  and  Technological  Cooperation  with  the  Swiss  Confederation,  also 
providing for provisional application of the renewed Agreement. 

This Agreement was signed by the representatives of the Parties on 16 January 2004 in 
Brussels, subject to its conclusion at a later date. 

Regulations No 1/19582 oblige the European Community and the Euratom Community 
to draft documents of general application in the official languages of all the Member 
States.  The  Commission  should  conclude  the  Agreement  in  such  a  way  that  the 
languages  of  the  new  Member  States  are  authentic.  This  should  be  done  via  an 
exchange of letters annexed to the Agreement.  

(4) 

The Agreement should be approved, 

2 

OJ 401/58, 6.10.1958 and OJ 385/58, 6.10.1958. 

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HAVE DECIDED AS FOLLOWS: 

Article 1 

The  Agreement  on  Scientific  and  Technological  Cooperation  between  the  European 
Communities  and  the  Swiss  Confederation  is  hereby  approved  on  behalf  of  the  European 
Community and the European Atomic Energy Community. 

The  Commission  is  hereby  authorised  to  approve  with  the  Swiss  Confederation,  via  an 
exchange of letters, that all the languages of the Member States following the enlargement of 
1 May 2004 are authentic. 

The text of the Agreement is annexed to this decision and the exchange of letters is annexed 
to the Agreement.  

Article 2 

The President of the Council, on behalf of the European Community, and the President of the 
Commission,  on  behalf  of  the  European  Atomic  Energy  Community,  shall  make  the 
notification provided for in Article 14 of the Agreement. 

Done at Brussels, […] 

For the Council 
The President 

For the Commission 
The President 

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AGREEMENT ON SCIENTIFIC AND TECHNOLOGICAL 
COOPERATIONBETWEEN THE EUROPEAN COMMUNITY AND THE 
EUROPEAN ATOMIC ENERGY COMMUNITY OF THE ONE PARTAND THE 
SWISS CONFEDERATION OF THE OTHER PART 

THE  COUNCIL  OF  THE  EUROPEAN  UNION,  acting  on  behalf  of  the  European 
Community, and THE COMMISSION OF THE EUROPEAN COMMUNITIES, (hereinafter 
referred  to  as  "the  Commission"),  acting  on  behalf  of  the  European  Atomic  Energy 
Community, hereinafter referred to collectively as "the European Communities", 

of the one part, and 

THE SWISS FEDERAL COUNCIL, acting on behalf of the Swiss Confederation, hereinafter 
referred to as "Switzerland", 

of the other part, 

hereinafter referred to as "the Parties", 

CONSIDERING THAT a close relationship between Switzerland and the Communities is of 
benefit to the Parties, 

considering the importance of scientific and technological research for the Communities and 
for Switzerland and their mutual interest in cooperating in this area in order to make better use 
of resources and avoid unnecessary duplication, 

CONSIDERING  THAT  Switzerland  and  the  Communities  are  currently  implementing 
research programmes in fields of common interest, 

CONSIDERING THAT the Communities and Switzerland have an interest in cooperating on 
these programmes to their mutual benefit, 

CONSIDERING  THAT  the  interest  of  the  Parties  lies  in  encouraging  the  mutual  access  of 
their research entities to research and technological development activities in Switzerland, on 
the  one  hand,  and  to  the  Communities'  Framework  Programmes  for  research  and 
technological development, on the other, 

CONSIDERING THAT the European Atomic Energy Community and Switzerland concluded 
a Cooperation Agreement in 1978 in the field of controlled thermonuclear fusion and plasma 
physics (hereinafter referred to as "the Fusion Agreement"), 

CONSIDERING THAT the Parties concluded a Framework Agreement on 8 January 1986 for 
scientific  and  technical  cooperation,  which  entered  into  force  on  17  July  1987  (hereinafter 
referred to as "the Framework Agreement"), 

CONSIDERING  THAT  Article 6  of  the  Framework  Agreement  states  that  the  cooperation 
aimed at by the Framework Agreement is to be carried out through appropriate agreements, 

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COSIDERING  THAT  on  21 June 1999  the  Communities  and  Switzerland  signed  an 
Agreement  on  Scientific 
expired  on 
31 December 2002, 

and  Technological  Cooperation,3  which 

CONSIDERING THAT Article 9(2) of the abovementioned Agreement provides for renewal 
of the Agreement with a view to participation in new multiannual Framework Programmes for 
research and technological development, under mutually agreed conditions, 

CONSIDERING  THAT  the  Sixth  Framework  Programme  of  the  European  Community  for 
research, technological development and demonstration activities (2002 to 2006) (hereinafter 
referred  to  as  "the  Sixth  EC  Framework  Programme")  was  adopted  by  Decision  No 
1513/2002/EC4  and  Regulation  (EC)  No  2321/2002  of  the  European  Parliament  and  of  the 
Council,5 and by Council Decisions 2002/834/EC,6 2002/835/EC7 and 2002/836/EC8 and that 
the Sixth Framework Programme of the European Atomic Energy Community (Euratom) for 
nuclear  research  and  training  activities,  also  contributing  to  the  creation  of  the  European 
Research Area (2002 to 2006) was adopted by Council Decision 2002/668/Euratom,9 Council 
Regulation  (Euratom)  No  2322/200210  and  Council  Decisions  2002/837/Euratom11  and 
2002/838/Euratom12  (hereinafter  referred  to  as  "the  Sixth  EC  and  Euratom  Framework 
Programmes"), 

CONSIDERING  THAT,  without  prejudice  to  the  provisions  of  the  Treaties  establishing  the 
Communities, this Agreement and any activities entered into under it will in no way affect the 
powers vested in the Member States to undertake bilateral activities with Switzerland in the 
fields of science, technology, research and development, and to conclude, where appropriate, 
agreements to that end, 

HAVE AGREED AS FOLLOWS: 

Article 1 

Subject matter 

The form and conditions of Switzerland’s participation in the implementation of the 
whole of the Sixth EC and Euratom Framework Programmes shall be as laid down in 
this  Agreement,  without  prejudice  to  the  terms  of  the  Fusion  Agreement.  Legal 
entities established in Switzerland may participate in all the specific programmes of 
the Sixth EC and Euratom Framework Programmes. 

OJ L 114, 30.4.2002, p.468. 
OJ L 232, 29.08.2002, p. 1. 
OJ L 355, 30.12.2002, p. 23. 
OJ L 294, 29.10.2002, p. 1. 
OJ L 294, 29.10.2002, p. 44. 
OJ L 294, 29.10.2002, p. 60. 
OJ L 232, 29.8.2002, p. 34. 
OJ L 355, 30.12.2002, p. 35. 
OJ L 294, 29.10.2002, p. 74. 
OJ L 294, 29.10.2002, p. 86. 

1. 

3 
4 
5 
6 
7 
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10 
11 
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2. 

3. 

4. 

Swiss legal entities may participate in the activities of the Joint Research Centre of 
the Communities, as far as this participation is not covered by paragraph 1. 

Legal entities established in the Communities, including the Joint Research Centre, 
may participate in Swiss research programmes and/or projects on themes equivalent 
to those of the programmes of the Sixth EC and Euratom Framework Programmes. 

For  the  purposes  of  this  Agreement  "legal  entity"  means  any  natural  or  any  legal 
person  created  under  the  national  law  applicable  at  its  place  of  establishment  or 
under Community law, having legal personality and being entitled to have rights and 
obligations  of  any  kind  in  its  own  name.  This  shall  include,  inter  alia,  universities, 
research bodies, industrial companies, including small and medium-sized enterprises, 
and individuals. 

Article 2 

Forms and means of cooperation 

Cooperation shall take the following forms: 

1. 

2. 

3. 

Participation of legal entities established in Switzerland in the implementation of all 
specific  programmes  adopted  under  the  Sixth  EC  and  Euratom  Framework 
Programmes, in accordance with the terms and conditions laid down in the rules for 
the participation of undertakings, research centres and universities both in research, 
technological development and demonstration activities of the European Community 
and in research and training activities of the European Atomic Energy Community. 

Switzerland  shall  be  taken  into  consideration,  alongside  the  Member  States  of  the 
European Union, for any indirect action under the Sixth EC Framework Programme 
based on Article 169 of the Treaty establishing the European Community, subject to 
participation in the same indirect action by at least two Member States or associated 
candidate countries. 

Financial contribution by Switzerland to the budgets of the programmes adopted for 
the  implementation  of  the  Sixth  EC  and  Euratom  Framework  Programmes,  as 
defined in Article 5(2). 

Participation  of  legal  entities  established  in  the  Communities  in  Swiss  research 
programmes and/or projects decided by the Federal Council on themes equivalent to 
those of the Sixth EC and Euratom Framework Programmes, in accordance with the 
terms  and  conditions  laid  down  in  the  relevant  Swiss  regulations  and  with  the 
agreement  of  the  partners  in  the  specific  project  and  the  managers  of  the 
corresponding  Swiss  programme.  Legal  entities  established  in  the  Communities 
participating  in  Swiss  research  programmes  and/or  projects  shall  cover  their  own 
costs,  including  their  relative  share  of  the  project's  general  management  and 
administrative costs. 

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4. 

a) 

b) 

c) 

d) 

e) 

f) 

In  addition  to  regular  provision  of  information  and  documentation  concerning  the 
implementation  of  the  Sixth  EC  and  Euratom  Framework  Programmes  and  of  the 
Swiss programmes and/or projects, the cooperation between the Parties may include 
the following forms and means: 

regular exchanges of views on the orientation and priorities of research policies and 
planning in Switzerland and in the Communities; 

exchanges of views on the prospects for and development of cooperation; 

timely exchanges of information on the implementation of the research programmes 
and projects in Switzerland and in the Communities and on the results of the work 
undertaken under this Agreement; 

joint meetings; 

visits and exchanges of researchers, engineers and technicians; 

regular contacts and follow-up between programme or project leaders in Switzerland 
and in the Communities; 

g) 

participation of experts in seminars, symposia and workshops. 

Article 3 

Adjustment 

Cooperation  may  be  adapted  and  developed  at  any  time  by  mutual  agreement  between  the 
Parties. 

Article 4 

Intellectual property rights and obligations 

1. 

2. 

Subject  to  Annex  A  and  applicable  law,  legal  entities  established  in  Switzerland 
participating in the Communities' 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 legal entities established 
in  the  Communities.  This  provision  shall  not  apply  to  the  results  obtained  from 
projects started before the entry into force of this Agreement. 

Subject to Annex A and applicable law, legal entities established in the Communities 
taking part in Swiss research programmes and/or projects, as provided for in Article 
2(3), shall, as regards ownership, exploitation and dissemination of information and 
intellectual  property  arising  from  such  participation,  have  the  same  rights  and 
obligations  as  legal  entities  established  in  Switzerland  participating  in  the 
programmes and/or projects in question. 

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Article 5 

Financial provisions 

1. 

2. 

Commitments  entered  into  by  the  Communities  prior  to  the  entry  into  force  of  this 
Agreement – as well as the payments which result from these - shall give rise to no 
contribution on the part of Switzerland. Switzerland's financial contribution deriving 
from  participation  in  the  implementation  of  the  Sixth  EC  and  Euratom  Framework 
Programmes  shall  be  established  in  proportion  to  and  in  addition  to  the  amount 
allocated  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 the programmes and activities covered by this Agreement. 

The proportionality factor governing Switzerland's contribution to the Sixth EC and 
Euratom Framework Programmes,  except  the Fusion Programme,  shall be  obtained 
by  establishing  the  ratio  between  Switzerland's  gross  domestic  product,  at  market 
prices,  and  the  sum  of  gross  domestic  products,  at  market  prices,  of  the  Member 
States of the European Union. Switzerland’s contribution to the Fusion Programme 
shall continue to be calculated on the basis of the corresponding agreement. 

This ratio shall be calculated on the basis of the latest statistical data from Eurostat 
available at the time of publication of the preliminary draft budget of the European 
Union for the same year. 

3. 

The rules governing Switzerland's financial contribution are set out in Annex B. 

Article 6 

Switzerland/Communities Research Committee 

1. 

The  "Switzerland/Communities  Research  Committee"  set  up  in  the  Framework 
Agreement  shall  review,  evaluate  and  ensure  the  proper  implementation  of  this 
Agreement.  Any  issues  arising  from  the  implementation  or  interpretation  of  this 
Agreement shall be referred to this Committee. 

2. 

The Committee may decide to amend the references to Community acts in Annex C. 

Article 7 

Participation 

1. 

Without  prejudice  to  the  provisions  of  Article  4,  legal  entities  established  in 
Switzerland participating in the Sixth EC and Euratom Framework Programmes shall 
have  the  same  contractual  rights  and  obligations  as  entities  established  in  the 
Communities. 

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2. 

3. 

4. 

For legal entities established in Switzerland, the terms and conditions applicable for 
the submission and evaluation of proposals and those for the granting and conclusion 
of  contracts  under  the  Communities'  programmes  shall  be  the  same  as  those 
applicable  to  contracts  concluded  under  the  same  programmes  with  legal  entities 
established in the Communities. 

An  appropriate  number  of  Swiss  experts  shall  be  taken  into  consideration  in  the 
selection of evaluators or referees under the Communities' research and technological 
development programmes. 

Without prejudice to the provisions of Article 1(3), Article 2(3) and Article 4(2) or to 
existing  regulations  and  rules  of  procedure,  legal  entities  established  in  the 
Communities  may  participate  under  equivalent  terms  and  conditions  to  Swiss 
partners in programmes and/or projects of the Swiss research programmes specified 
in Article 2(3). The Swiss authorities may make participation in a project by one or 
more legal entities established in the Communities subject to joint participation by at 
least one Swiss entity. 

Article 8 

Mobility 

Each  Party  hereby  undertakes,  in  accordance  with  existing  regulations  and  agreements  in 
force,  to  guarantee  the  entry  and  stay  of  researchers  and  -  as  far  as  indispensable  for 
successful  accomplishment  of  the  activity  concerned  -  of  a  limited  number  of  research 
personnel participating, in Switzerland and in the Communities, in the activities  covered  by 
this Agreement. 

Article 9 

Revision and future collaboration 

1. 

Should the Communities revise or extend their research programmes, this Agreement 
may  be  revised  or  extended  under  mutually  agreed  conditions.  The  Parties  shall 
exchange information and views concerning any such revision or extension, as well 
as on any matters which affect directly or indirectly Switzerland's cooperation in the 
fields  covered  by  the  Sixth  EC  and  Euratom  Framework  Programmes.  Switzerland 
shall be notified of the exact content of the revised or extended programmes within 
two  weeks  of  their  adoption  by  the  Communities.  In  case  of  such  revision  or 
extension of the research programmes, Switzerland may terminate this Agreement by 
giving six months' notice. The Parties shall give notice of any intention to terminate 
or  to  extend  this  Agreement  within  three  months  after  the  adoption  of  the 
Communities' decision. 

2. 

Should  the  Communities  adopt  new  multiannual  Framework  Programmes  for 
research  and  technological  development,  this  Agreement  may  be  renewed  or 
renegotiated under conditions agreed mutually between the Parties. The Parties shall 

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exchange  information  and  views  on  the  preparation  of  such  programmes  or  other 
current and future research activities through the Switzerland/Communities Research 
Committee. 

Article 10 

Relation to other international agreements 

The provisions of this Agreement shall apply without prejudice to the advantages envisaged 
by other international agreements binding one of the Parties and reserved exclusively for legal 
entities established on the territory of that Party. 

Article 11 

Territorial scope 

This  Agreement  shall  apply,  on  the  one  hand,  to  the  territories  in  which  the  Treaties 
establishing the Communities are applied and under the conditions laid down in those Treaties 
and, on the other, to the territory of Switzerland. 

Article 12 

Annexes 

Annexes A, B and C form an integral part of this Agreement. 

Article 13 

Amendment and termination 

1. 

2. 

3. 

4. 

This  Agreement  shall  be  concluded  for  the  duration  of  the  Sixth  EC  and  Euratom 
Framework Programmes. 

This  Agreement  may  be  amended  only  in writing  by common consent between the 
Parties. The procedure for entry into force of the amendments shall be the same as 
the procedure applicable to this Agreement. 

Each Party may terminate this Agreement at any time, subject to six months' written 
notice. 

Projects  and  activities  in  progress  at  the  time  of  termination  and/or  expiry  of  this 
Agreement  shall  continue  until  their  completion  under  the  conditions  laid  down  in 
this Agreement. The Parties shall settle by common consent any other consequences 
of termination. 

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Article 14 

Entry into force and provisional application 

1. 

2. 

This Agreement shall be ratified or concluded by the Parties in accordance with their 
respective  rules.  It  shall  enter  into  force  on  the  date  of  the  final  notification  of 
completion  of  the  procedures  necessary  to  this  end  and  shall  come  into  effect  on 
1 January 2004. 

Should the procedures for ratification or conclusion of the signed Agreement not be 
completed  in  2003,  the  Parties  shall  apply  this  Agreement  provisionally  from 
1 January 2004 until its entry into force. 

Should one of the Parties inform the other that it will not conclude the Agreement, it 
is hereby agreed that: 

– 

– 

– 

the Communities shall reimburse to Switzerland its contribution to the general 
budget of the European Union as specified in Article 2(2); 

however,  the  funds  committed  by  the  Communities  for  participation  by  legal 
entities  established 
the 
reimbursements  provided  for  in  Article  2(1),  shall  be  deducted  by  the 
Communities from the abovementioned reimbursement; 

indirect  action, 

in  Switzerland 

including 

in 

projects  and  activities  started  during  this  provisional  application  and  still  in 
progress  at  the  time  of  the  abovementioned  notification  shall  continue  until 
their completion under the conditions laid down in this Agreement. 

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

Done at 

For the European Communities 

For the Swiss Confederation 

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ANNEX A 

PRINCIPLES FOR THE ALLOCATION OF INTELLECTUAL PROPERTY RIGHTS 

I. 

SCOPE 

For the purposes  of  this Agreement, "intellectual  property"  shall  have  the  meaning  given  in 
Article 2 of the Convention establishing the World Intellectual Property Organisation, signed 
at Stockholm on 14 July 1967. 

For  the  purposes  of  this  Agreement,  "knowledge"  means  the  results,  including  information, 
whether  or  not  they  can  be  protected,  as  well  as  copyrights  or  rights  pertaining  to  such 
information,  following  applications  for,  or  the  issue  of,  patents,  designs,  plant  varieties, 
supplementary protection certificates or similar forms of protection. 

II. 

INTELLECTUAL PROPERTY RIGHTS OF LEGAL ENTITIES OF THE PARTIES 

1. 

2. 

Each Party shall ensure that the intellectual property rights of the legal entities of the 
other  Party  participating  in  the  activities  undertaken  under  this  Agreement  and  the 
rights  and  obligations  resulting  from  such  participation  are  treated  in  a  manner 
compatible  with  the  relevant  international  conventions  applicable  to  the  Parties, 
notably the TRIPS Agreement (Agreement on Trade-Related Aspects of Intellectual 
Property  Rights  administered  by  the  World  Trade  Organisation),  the  Berne 
Convention (Paris Act 1971) and the Paris Convention (Stockholm Act 1967). 

Legal  entities  established  in  Switzerland  participating  in  indirect  action  under  the 
Sixth  EC  and  Euratom  Framework  Programmes  shall  have  intellectual  property 
rights and obligations under the conditions set out in Regulation (EC) No 2321/2002 
in  Council  Regulation 
of 
No 2322/2002  (Euratom)14  and  in  the  contract  concluded  with  the  Communities,  in 
accordance with paragraph 1. 

the  European  Parliament  and  of 

the  Council,13 

Where  Switzerland  participates  in  indirect  action  under  the  Sixth  EC  Framework 
Programme, implemented in accordance with Article 169 of the Treaty establishing 
the  European  Community,  Switzerland  shall  have  the  same  intellectual  property 
rights  and  obligations  as  the  Member  States  participating  therein,  as  set  out  in  the 
relevant decision of the European Parliament and of the Council and in the contract 
concluded with the European Community, in accordance with paragraph 1. 

3. 

Legal entities established in a European Union Member State participating in Swiss 
research programmes and/or projects shall have the same intellectual property rights 
and  obligations  as  legal  entities  established  in  Switzerland  participating  in  these 
research programmes or projects, in accordance with paragraph 1. 

13 
14 

OJ L 355, 30.12.2002, p. 23. 
OJ L 355, 30.12.2002, p. 35. 

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III. 

INTELLECTUAL PROPERTY RIGHTS OF THE PARTIES 

1. 

a) 

b) 

2. 

a) 

b) 

3. 

a) 

b) 

c) 

Unless  otherwise  agreed  between  the  Parties,  the  following  rules  shall  apply  to  the 
knowledge  generated  by  the  Parties  in  the  course  of  the  activities  undertaken  in 
accordance with Article 2(4) of this Agreement: 

The  Party  generating  the  knowledge  has  ownership  of  it.  When  their  respective 
shares in the work cannot be determined, the Parties shall co-own the knowledge. 

The  Party  holding  ownership  shall  grant  the  other  Party  rights  of  access  to  the 
knowledge with a view to the activities referred to in Article 2(4) of this Agreement. 
No charge shall be made for granting rights of access to the knowledge. 

Unless  otherwise  agreed  between  the  Parties,  the  following  rules  shall  apply  to 
scientific literature from the Parties: 

Where a Party publishes data, information and technical or scientific results arising 
from the activities undertaken under this Agreement in journals, articles, reports and 
books,  including  audiovisual  works  and  software,  a  worldwide,  non-exclusive, 
irrevocable  royalty-free  licence  to  translate,  adapt,  transmit  and  publicly  distribute 
the works in question shall be granted to the other Party. 

All  copies  of  copyrighted  data  and  information  to  be  publicly  distributed  and 
prepared under this section shall indicate the names of the author or authors, unless 
an  author  expressly  declines  to  be  named.  Copies  shall  also  bear  a  clearly  visible 
acknowledgement of the cooperative support of the Parties. 

Unless  otherwise  agreed  between  the  Parties,  the  following  rules  shall  apply  to 
undisclosed information of the Parties: 

At the time of submission to the other Party of information relating to the activities 
undertaken under this Agreement, each Party shall identify the information which it 
wishes to remain undisclosed. 

For the specific purposes of application of this Agreement, the receiving Party may, 
on its own responsibility, communicate undisclosed information to bodies or persons 
under its authority. 

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

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d) 

e) 

Non-documentary  undisclosed  or  other  confidential  information  provided  in 
seminars or other meetings of the representatives of the Parties arranged under this 
Agreement,  or  information  arising  from  the  attachment  of  staff,  use  of  facilities  or 
indirect action must remain confidential, where the recipient of such undisclosed or 
other  confidential  or  privileged  information  was  made  aware  of  the  confidential 
character  of  the  information  before  it  was  communicated,  in  accordance  with 
paragraph 3(a). 

Each Party shall ensure that undisclosed information which it acquires in accordance 
with paragraphs 3(a) and 3(d) shall be controlled as provided for in this Agreement. 
If one of the Parties becomes aware that it will be, or may be expected to become, 
unable to meet the non-dissemination provisions of paragraphs 3(a) and 3(d), it shall 
immediately inform the other Party. The Parties shall thereafter consult to define an 
appropriate course of action. 

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FINANCIAL RULES GOVERNING THE CONTRIBUTION OF SWITZERLAND 

ANNEX B 

I. 

1. 

a) 

b) 

2. 

REFERRED TO IN ARTICLE 5 OF THIS AGREEMENT 

DETERMINATION OF FINANCIAL PARTICIPATION 

The  Commission  shall  communicate 
together  with  relevant 
background  material  as  soon  as  possible  and  at  the  latest  on  1  September  of  each 
year: 

to  Switzerland 

the  amounts  in  commitment  appropriations  in  the  statement  of  expenditure  of  the 
preliminary draft budget of the European Union corresponding to the two Framework 
Programmes; 

the estimated amount of the contributions derived from the preliminary draft budget, 
corresponding 
two  Framework 
Programmes. 

the  participation  of  Switzerland 

the 

in 

to 

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  Switzerland  the  abovementioned  amounts  in  the  statement  of 
expenditure corresponding to the participation of Switzerland. 

II.  PAYMENT PROCEDURES 

1. 

By  no  later  than  15 June  and  15 November  of  each  financial  year  the  Commission 
shall issue a call for funds to Switzerland corresponding to its contribution under this 
Agreement. These calls for funds shall provide respectively for the payment of: 

– 

– 

six twelfths of Switzerland's contribution not later than 20 July, and 

six twelfths of its contribution not later than 15 December. 

However,  in  the  last  year  of  the  two  Framework  Programmes,  the  full  amount  of 
Switzerland's contribution shall be paid by no later than 20 July. 

2. 

The contributions of Switzerland shall be expressed and paid in euros. 

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17 

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3. 

4. 

Switzerland  shall  pay  its  contribution  under  this  Agreement  according  to  the 
schedule  in  paragraph  1.  Any  delay  in  payment  shall  give  rise  to  the  payment  of 
interest  at  a  rate  equal  to  the  one-month  inter-bank  offered  rate  (EURIBOR)  as  on 
page 248 of Telerate. This rate may 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 indicated in paragraph 1. 

Travel costs incurred by Swiss representatives and experts for the purposes of taking 
part in the work of the research committees and those involved in the implementation 
of  the  two  Framework  Programmes  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 Communities. 

III.  CONDITIONS FOR IMPLEMENTATION 

1. 

2. 

The  financial  contribution  of  Switzerland  to  the  two  Framework  Programmes  in 
accordance  with  Article  5  of  this  Agreement  shall  normally  remain  unchanged  for 
the financial year in question. 

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 regularise the accounts with respect to the participation of Switzerland, 
taking  into  consideration  modifications  which  have  taken  place,  either  by  transfer, 
cancellations,  carry-overs,  or  by  supplementary  and  amending  budgets  during  the 
financial year. This regularisation shall occur at the time of the first payment for the 
year n+1. However, the final such regularisation shall occur not later than July of the 
fourth year following the end of the two Framework Programmes. 

Payment by Switzerland shall be credited to the European Communities' programmes 
as budget receipts allocated to the appropriate budget line in the statement of revenue 
of the general budget of the European Union. 

IV.  PROVISION OF INFORMATION 

1. 

2. 

At the latest on 31 May of each financial year (n + 1), the statement of appropriations 
for the two Framework Programmes, related to the previous financial year (n), shall 
be prepared and transmitted to Switzerland for information, according to the format 
of the Commission's revenue and expenditure account. 

The  Commission  shall  communicate  to  Switzerland  all  other  general  financial  data 
relating  to  the  implementation  of  the  two  Framework  Programmes  which  is  made 
available to the associated States. 

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ANNEX C 

FINANCIAL CONTROL OF SWISS PARTICIPANTS 

IN THE COMMUNITY PROGRAMMES COVERED BY THIS AGREEMENT 

I. 

DIRECT COMMUNICATION 

The  Commission  shall  communicate  directly  with  the  participants  in  the  Sixth  EC  and 
Euratom  Framework  Programmes  established  in  Switzerland  and  with  their  subcontractors. 
They  may  submit  directly  to  the  Commission  all  relevant  information  and  documentation 
which they are required to submit on the basis of the instruments referred to in this Agreement 
and of the contracts concluded to implement them. 

II.  AUDITS 

1. 

2. 

3. 

4. 

5. 

In accordance with Regulations (EC, Euratom) No 1605/2002 of 25 June 2002 and 
(EC, Euratom) No 2342/2002 of 23 December 2002 and with the other rules referred 
to  in  this  Agreement,  the  contracts  concluded  with  participants  in  the  programme 
established  in  Switzerland  may  provide  for  scientific,  financial,  technological  or 
other  audits to be conducted at any  time on the  premises  of the participants  and of 
their  subcontractors  by  Commission  agents  or  by  other  persons  mandated  by  the 
Commission. 

Commission  agents  and  other  persons  mandated  by  the  Commission  shall  have 
appropriate access to sites, works and documents and to all the information required 
in  order  to  carry  out  such  audits,  including  in  electronic  form.  This  right  of  access 
shall  be  stated  explicitly  in  the  contracts  concluded  to  implement  the  instruments 
referred to in this Agreement. 

The European Court of Auditors shall have the same rights as the Commission. 

The  audits  may  be  conducted  after  the  Sixth  EC  and  Euratom  Framework 
Programmes  or  this  Agreement  expire,  on  the  terms  laid  down  in  the  contracts  in 
question. 

The Swiss Federal Audit Office shall be informed in advance of the audits conducted 
on Swiss territory. Such notification shall not be a legal precondition for carrying out 
such audits. 

III.  ON-THE-SPOT INSPECTIONS 

1. 

2. 

Within  the  framework  of  this  Agreement,  the  Commission  (OLAF)  shall  be 
authorised  to  carry  out  on-the-spot  checks  and  inspections  on  Swiss  territory,  in 
accordance with the terms and conditions laid down in Council Regulation (Euratom, 
EC) No 2185/96 of 11 November 1996. 

On-the-spot  checks  and  inspections  shall  be  prepared  and  conducted  by  the 
Commission in close collaboration with the Swiss Federal Audit Office or with the 
other  competent  Swiss  authorities  designated  by  the  Swiss  Federal  Audit  Office, 
which  shall  be  notified  in  good  time  of  the  object,  purpose  and  legal  basis  of  the 

EN 

19 

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3. 

4. 

5. 

checks and inspections, so that they can provide all the requisite help. To that end, 
officials of the competent Swiss authorities may participate in on-the-spot checks and 
inspections. 

If  the  Swiss  competent  authorities  concerned  so  wish,  the  on-the-spot  checks  and 
inspections may be carried out jointly by the Commission and the Swiss competent 
authorities. 

Where the participants in the Sixth EC and Euratom Framework Programmes resist 
an on-the-spot check or inspection, the Swiss authorities, acting in accordance with 
national  rules,  shall  give  Commission  inspectors  such  assistance  as  they  need  to 
allow them to discharge their duty in carrying out an on-the-spot check or inspection. 

The Commission shall report as soon as possible to the Swiss Federal Audit Office 
any  fact  or  suspicion  relating  to  an  irregularity  which  has  come  to  its  notice  in  the 
course of the on-the-spot check or inspection. In any event the Commission shall be 
required  to  inform  the  abovementioned  authority  of  the  result  of  such  checks  and 
inspections. 

IV.  INFORMATION AND CONSULTATION 

1. 

2. 

For the purposes of proper implementation of this Annex, the competent Swiss and 
Community  authorities  shall  regularly  exchange  information  and,  at  the  request  of 
one of the Parties, shall conduct consultations. 

The competent Swiss authorities shall inform the Commission without delay of any 
fact  or  suspicion  which  has  come  to  their  notice  relating  to  an  irregularity  in 
connection  with  the  conclusion  and  implementation  of  the  contracts  concluded  in 
application of the instruments referred to in this Agreement. 

V.  CONFIDENTIALITY 

Information  communicated  or  acquired  in  any  form  under  this  Annex  shall  be  covered  by 
professional  secrecy  and  protected  in  the  same  way  as  similar  information  is  protected  by 
Swiss  law  and  by  the  corresponding  provisions  applicable  to  the  Community  institutions. 
Such  information  may  not  be  communicated  to  persons  other  than  those  within  the 
Community institutions or in the Member States or Switzerland whose functions require them 
to  know  it  nor  may  it  be  used  for  purposes  other  than  to  ensure  effective  protection  of  the 
Parties' financial interests. 

VI.  ADMINISTRATIVE MEASURES AND PENALTIES 

Without prejudice to application of Swiss criminal law, administrative measures and penalties 
may  be  imposed  by  the  Commission  in  accordance  with  Regulations  (EC,  Euratom) 
No 1605/2002 of 25 June 2002 and (EC, Euratom) No 2342/2002 of 23 December 2002 and 
with Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection 
of the European Communities' financial interests. 

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VII.  RECOVERY AND ENFORCEMENT 

Decisions  taken  by  the  Commission  under  the  Sixth  EC  Framework  Programme  within  the 
scope  of  this  Agreement  which  impose  a  pecuniary  obligation  on  persons  other  than  States 
shall  be  enforceable  in  Switzerland.  The  enforcement  order  shall  be  issued,  without  any 
further  checks  other  than  verification  of  the  authenticity  of  the  act,  by  the  authorities 
designated  by  the  Swiss  government,  which  shall  inform  the  Commission  thereof. 
Enforcement shall take place in accordance with the Swiss rules of procedure. The legality of 
the  enforcement  decision  is  subject  to  control  by  the  Court  of  Justice  of  the  European 
Communities. 

Judgments  given  by  the  Court  of  Justice  of  the  European  Communities  pursuant  to  an 
arbitration clause in a contract under the Sixth EC and Euratom Framework Programmes shall 
be enforceable on the same terms. 

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ANNEX D 

DRAFT EXCHANGE OF LETTERS 

EUROPEAN COMMISSION 
RESEARCH DIRECTORATE-GENERAL 

The Director-General 

Brussels, 
RTD/AM/IB D(2004) 

Ambassador of the Swiss Confederation 

Ref.:  S&T Association Agreement between the EU and the Swiss Confederation 
Subj.:  Adaptation of the Agreement following enlargement of the EU on 1.5.2004 

Your Excellency, 

Following the enlargement of the European Union to 25 Member States on 1 May 2004, we 
need to adapt our legal texts (agreements etc.) to ensure conformity with the Accession Treaty 
and the legislation deriving therefrom, applicable after the accession date. 

The  Agreement  on  Scientific  and  Technological  Cooperation  associating  Switzerland  in  the 
Sixth  Framework  Programmes,  signed  on  16  January  2004  for  EU-15  and  EURATOM-15, 
will thus be concluded by EU-25 and EURATOM-25. 

It  is  therefore,  our  common  understanding  that  the  term  “European  Community”  in  the 
existing  texts  of  the  Agreement  will  be  understood  as  referring  to  the  25  Member  States  as 
from  1.5.2004.  Legally  speaking,  the  Agreement  will  not  include  the  New  Member  States’ 
languages as authentic, but it will be binding upon the new Member States. 

Since  Regulations  No.1  determining  the  languages  to  be  used  by  the  EU  oblige  the 
Community  to  draft  documents  of  general  application  in  20  official  languages,  the  Council 
has  decided  that  the  new  Member  States’  languages  are  also  authentic  without  formal 
amendment  of  the  Agreement.  This  procedure  needs  to  be  formalised  by  an  exchange  of 
letters, officially registered in the Council’s “Bureau des Accords”. 
Could you please confirm to me your approval of this “common understanding” as agreed by 
the authorities of your country, thereby legalising this procedure. 
I  would  appreciate  having  this  confirmation  at  your  earliest  convenience  to  allow  us  to 
proceed further. 

I would like to thank you for your understanding and am looking forward to receiving your 
position on the above subject of common interest. 

Yours faithfully,  

Achilleas Mitsos  

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LEGISLATIVE FINANCIAL STATEMENT 

1.  NAME OF THE PROPOSAL: 

Proposal for a Decision of the Council and of the Commission on the signature on behalf of the 
European  Community  and  the  European  Atomic  Energy  Community  of  the  Agreement  on 
Scientific  And  Technological  Cooperation  between  the  European  Communities  of  the  one  part 
and the Swiss Confederation of the other part 

2.  ABM/ABB FRAMEWORK 

Policy area(s) concerned and associated activity/activities: 

08.81 Policy strategy and coordination for DG RTD 

3.  BUDGET LINES 

3.1. Budget  lines  (operational  lines  and  related  technical  and  administrative  assistance  lines 

(ex-BA lines)) including headings: 

–  Participation  in  indirect  action  by  Swiss  entities,  as  well  as  costs  in  connection  with  the 
implementation  of  the  Agreement  (workshops,  seminars,  meetings)  will  be  charged  to  the 
specific  budget  lines  for  the  specific  programmes  of  the  Framework  Programmes  of  the 
European Community and of the European Atomic Energy Community (xx 01.05.03). 

–  Swiss participation  

Chapter  60  (revenue),  Articles  10.02.05,  10.03.04,  02.03.03,  06.06.04,  08.12.03,  09.04.04, 
11.05.02 (expenditure) (Title 3). 
Switzerland's contribution to the Framework Programmes’ budget will be proportionate to its 
GDP compared with that of the Union (see point 2.5), with the exception of its contribution to 
the budget of the priority thematic area of research "Controlled thermonuclear fusion" in the 
Euratom  Framework  Programme,  where  its  contribution  will  be  proportionate  to  its  GDP 
compared with the sum of its GDP plus that of the Union. It will be allocated to the various 
specific programmes of the Framework Programme in proportion to their budgets. 

3.2. Duration of the action and of the financial impact: 

1 January 2004 to 31 December 2006. Renewal arrangements are laid down in Article 9 of the 
Agreement. 

3.3. Budgetary characteristics (add rows if necessary): 

Budget 
line 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

EN 

23 

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xx.01.05.03 

NCE  

NDA15 

NO 

YES 

YES 

No 3 

4.  SUMMARY OF RESOURCES 

4.1. Financial resources 

4.1.1.  Summary of commitment appropriations (CA) and payment appropriations (PA) 

EUR million (to 3 decimal places) 

Year n 

n + 1 

n + 2 

n + 3 

n + 4 

n  +  5 
and 
later 

Total 

Section 
No 

Expenditure type 

Operational expenditure 16 

Commitment 
appropriations (CA) 

8.1 

a 

appropriations 

Payment 
(PA) 
Administrative expenditure included in reference amount 17 

b 

Technical 
& 
administrative  assistance 
(NDA) 

8.2.4 

c 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT 

Commitment 
appropriations 

Payment appropriations 

a+c 

b+c 

Administrative expenditure not included in reference amount 18 

Human 
associated 
(NDA) 

resources 

and 
expenditure 

8.2.5 

d 

15 
16 
17 
18 

Non-differentiated appropriations. 
Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within article xx 01 04 of Title xx. 
Expenditure within chapter xx 01 other than articles xx 01 04 or xx 01 05 

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costs, 
Administrative 
other 
human 
than 
resources  and  associated 
costs,  not 
in 
reference amount (NDA) 

included 

8.2.6 

e 

    Total indicative financial cost of action 

TOTAL  CA 
including 
cost of human resources 

TOTAL  PA 
including 
cost of human resources 

Co-financing details 

a+c
+d+
e 

b+c
+d+
e 

If the proposal involves co-financing by Member States, or other bodies (please specify which), 
an  estimate  of  the  level  of  this  co-financing  should  be  indicated  in  the  table  below  (additional 
lines may be added if different bodies are foreseen for the provision of the co-financing): 

EUR million (to 3 decimal places) 

Year 
n 

n + 1 

n + 2 

n + 3 

n + 4 

n  +  5 
and 
later 

Total 

Co-financing body 

…………………… 

f 

TOTAL  CA  including 
co-financing 

a+c+d
+e+f 

4.1.2.  Compatibility with financial programming 

X 

Proposal is compatible with existing financial programming. 

(cid:133) 

(cid:133) 

Proposal  will  entail  reprogramming  of  the  relevant  heading  in  the  financial 
perspective. 

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional 
Agreement 19 (flexibility instrument or revision of the financial perspective). 

4.1.3.  Financial impact on revenue 

(cid:133) 

Proposal has no financial implications on revenue 

19 

See points 19 and 24 of the Interinstitutional agreement. 

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X 

Proposal has financial impact – the effect on revenue is as follows: 

NB:  All  details  and  observations  relating  to  the  method  of  calculating  the  effect  on 
revenue are shown in a separate annex. 

Budget line 

Revenue 

EUR million (to one decimal place) 

Situation following action 

[Year 
n] 

[Year 
n] 

[Year 
n] 

[Year 
n] 

[Year 
n] 

[Year 
n]20 

Prior to
action 
[Year 
n-1] 

xx.01.05.03 

a) Revenue in absolute terms   

b) Change in revenue 

 ∆ 

133.5 139.4 143.5  

4.2. Human resources FTE (including officials, temporary and external staff) – see details 

under point 8.2.1. 

Annual requirements 

2004 

Total 
number 
human resources 

of 

1 

2005 

1 

2006 

1 

Use of existing human resources. The Commission is not requesting additional staff to manage 
the agreement. 

5.  CHARACTERISTICS AND OBJECTIVES 

Details of the context of the proposal are required in the Explanatory Memorandum. This 
section  of  the  Legislative  Financial  Statement  should  include  the  following  specific 
additional information: 

5.1. Need to be met in the short or long term 

This  legislative  proposal  is  the  last  stage  before  the  ratification  of  the  agreement  aimed  at 
fully associating Switzerland in the activities of the Sixth Framework Programme. 

5.2. Value-added of Community involvement and coherence of the proposal with other 

financial instruments and possible synergy 

Community  funding  is  indispensable  as  the  planned  cooperation  forms  part  of  the 
implementation of the Framework Programmes, including the budget section: participation by 
Switzerland  in  the  specific  programmes  and  administrative  expenditure  by  the  Community 

20 

Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years. 

EN 

26 

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side (missions by experts and EU officials; organisation of workshops, seminars and meetings 
in the European Community and Switzerland). 

5.3. Objectives, expected results and related indicators of the proposal in the context of the 

ABM framework 

The Agreement should enable Switzerland and the Community to derive mutual benefit from the 
scientific  and  technical  progress  achieved  through  their  reciprocal  research  programmes,  with 
participation  by  the  Swiss  scientific  community  and  industry  in  programmes  under  the 
Framework RTD Programmes of the European Communities and non-subsidised participation in 
Swiss publicly financed research activities by entities established in the Community. 

Beneficiaries  in  the  European  Community  and  Switzerland  will  be  the  scientific  community, 
industry and the population generally, thanks to the direct and indirect impact of cooperation. 

5.4. Method of implementation (indicative) 

X Centralised management 

X 

directly by the Commission 

(cid:133)  

indirectly by delegation to: 

  (cid:133)  

Executive Agencies, 

  (cid:133) 
of the Financial Regulation, 

bodies set up by the Communities, as referred to in Art. 185 

  (cid:133)      national  public-sector  bodies/bodies  with  a  public-service 
mission. 

(cid:133) Shared or decentralised management 

(cid:133)  with Member States 

(cid:133)  with third countries 

(cid:133) Joint management with international organisations (please specify) 

Comments: 

EN 

27 

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6.  MONITORING AND EVALUATION 

6.1. Monitoring system 

The  Commission  departments  will  regularly  evaluate  all  the  actions  carried  out  under  the 
cooperation agreement, which will also be subject to a joint annual evaluation by the Community 
and Switzerland. This evaluation will cover: 

(a) 

Performance indicators 

–  number  of  proposals  put  forward  by  Switzerland  per  specific  programme  compared 

with the number of proposals selected for funding under the programme; 

–  number  of  proposals  put  forward  by  Switzerland  compared  with  the  number  of 

proposals selected for funding under the Framework Programmes; 

–  number  of  proposals  put  forward  under  the  specific  programmes  of  the  Framework 
Programmes compared with the relative share (1%) of Switzerland's participation in 
those programmes; 

–  number  of  Swiss  proposals  selected  for  funding  in  the  specific  programmes  of  the 
Framework  Programme  compared  with  Switzerland's  relative  participation  in  those 
programmes. 

(b) 

Gathering of information: 

On the basis of data from the specific programmes of the Framework Programmes. 

(c) 

Overall evaluation: 

At the end of the Sixth Framework Programmes, the Commission will evaluate all the 
cooperation actions covered by the Agreement. 

6.2. Evaluation 

6.2.1.  Ex-ante evaluation 

A study on the impact of the agreement associating Switzerland in the Fifth Framework 
Programmes was carried out in order to evaluate the merits of its association in FP6. 

6.2.2.  Measures taken following an intermediate/ex-post evaluation (lessons learned 

from similar experiences in the past) 

The relevant partners on both sides will be informed about the practical arrangements for 
taking  part  in  the  specific  programmes  under  the  Framework  Programmes.  The 
information  will  be  passed  on  in  accordance  with  the  recommendations  of  the  Joint 
Cooperation Committee. 

EN 

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6.2.3.  Terms and frequency of future evaluation 

The Parties to the Agreement will evaluate the application thereof annually in the meetings of the 
Joint Research Committee referred to in Article 6 thereof. Renewal of this Agreement will also 
be  submitted  for  assessment  by  each  of  the  Parties,  which  could  include  an  impact  assessment 
entrusted to third parties. 

7.  ANTI-FRAUD MEASURES 

When the implementation of the Framework Programmes calls for the use of external contractors 
or entails granting financial contributions to third parties, the Commission will carry out financial 
audits,  where  appropriate,  in  particular  if  it  has  reasons  to  doubt  the  realistic  nature  of  work 
performed or described in the activity reports. 

The  Community's  financial  audits  will  be  carried  out  either  by  its  own  staff  or  by  accounting 
experts approved according to the law of the audited party. The Community will choose the latter 
freely, while avoiding any risks of conflicts of interest which might be indicated to it by the party 
subject to the audit. 

In  addition,  the  Commission  will  make  sure,  in  carrying  out  the  research  activities,  that  the 
financial interests of the European Communities are protected by effective checks and, in case of 
detected irregularities, deterrent and proportionate measures and sanctions. 

In  order  to  achieve  this  aim,  rules  on  checks,  measures  and  sanctions,  with  reference  to 
Regulations  Nos  2988/95,  2185/96,  1073/99  and  1074/99,  will  be  incorporated  in  all  contracts 
used in the implementation of the Framework Programmes. 

In particular, the following points will have to be provided for in the contracts: 

– 

– 

– 

– 

the introduction of specific contractual clauses to protect the financial interests of the EC 
in carrying out checks and controls in relation to the work performed; 

the participation of administrative inspectors in the field of fraud-fighting, in accordance 
with Regulations Nos 2185/96, 1073/1999 and 1074/1999; 

the application of administrative sanctions for all intentional or negligent irregularities in 
the  implementation  of  the  contracts,  in  accordance  with  Framework  Regulation  No 
2988/95, including a black-listing mechanism; 

the fact that possible recovery orders in case of irregularities and fraud be enforceable 
according to Article 256 of the EC Treaty and Article 164 of the EAEC Treaty. 

In addition and as routine measures, a control programme in respect of scientific and budgetary 
aspects will be carried out by the DG Research staff responsible. Local inspections will be carried 
out by the European Court of Auditors. 

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29 

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Finally,  Annex  C  to  the  draft  Agreement  provides  for  recognition  by  Switzerland  of  the 
Community's right to conduct on-the-spot inspections on the premises of Swiss entities receiving 
funds  from  the  Framework  Programmes,  together  with  recognition  of  the  enforceability  of 
recovery  orders  issued  on  the  basis  of  Article  256  of  the  EC  Treaty,  the  enforceability  of 
judgments  of  the  Court  of  Justice  of  the  European  Communities  and  arrangements  for 
cooperation between the Swiss and Community authorities. 

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30 

   EN 

 
8.  DETAILS OF RESOURCES 

8.1. Objectives of the proposal in terms of their financial cost 

of 
(Headings 
Objectives,  actions 
and outputs should 
be provided) 

Type 
of 
output 

Av. 
cost 

Year             

Year                n+1  Year                n+2  Year                n+3  Year                n+4 

n 

No. 
outputs 

No. 
outputs 

Tota
l 
cost 

No. 
outputs 

Tota
l 
cost 

No. 
outputs 

Tota
l 
cost 

Year n+5 and 
later 

TOTAL 

No. 
outputs 

No. 
outputs 

Tota
l 
cost 

Tota
l 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

OPERATIONAL 
OBJECTIVE  No.1 
21……… 

   Action 
1………………. 

         - Output 1 

         - Output 2 

Action 
2………………. 

         - Output 1 

Sub-total  Objective 
1 

OPERATIONAL 
OBJECTIVE  No.2  
1……… 

   Action 
1………………. 

         - Output 1 

21 

As described under Section 5.3 

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31 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Sub-total  Objective 
2 

OPERATIONAL 
OBJECTIVE No n  1 

Sub-total  objective 
n  1 

TOTAL COST 

EN 

32 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
8.2. Administrative expenditure 

8.2.1.  Number and type of human resources 

Types of 
post 

Staff to be assigned to management of the action using existing and/or additional 
resources (number of posts/FTEs) 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 

A*/AD 

B*, 
C*/AST 

Officials 
or 
temporary 
staff22 
(XX 01 
01) 

Staff  financed23  by 
art. XX 01 02 

staff24 
Other 
financed  by  art.  XX 
01 04/05 

TOTAL 

8.2.2.  Description of tasks deriving from the action 

Management  of  the  agreement  will  entail  frequent  missions  by  EU  experts  and  officials  to 
Switzerland 

8.2.3.  Sources of human resources (statutory) 

 (When more than one source is stated, please indicate the number of posts originating from each 
of the sources) 

X 

Posts currently allocated to the management of the programme to be replaced or 
extended 

  (cid:133) 

Posts pre-allocated within the APS/PDB exercise for year n 

(cid:133) 

(cid:133) 

(cid:133) 

Posts to be requested in the next APS/PDB procedure 

Posts  to  be  redeployed  using  existing  resources  within  the  managing  service 
(internal redeployment) 

Posts  required  for  year  n  although  not  foreseen  in  the  APS/PDB  exercise  of  the 
year in question 

22 
23 
24 

Cost of which is NOT covered by the reference amount 
Cost of which is NOT covered by the reference amount 
Cost of which is included within the reference amount 

EN 

33 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.4.  Other administrative expenditure included in reference amount (XX 01 04/05 – 

Expenditure on administrative management) 

Budget line 

(number and heading) 

Year 
n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n+5  

and 
later 

TOTAL 

EUR million (to 3 decimal places) 

Technical 

1 
and 
assistance (including related staff costs) 

administrative 

     Executive agencies25 

     Other 

technical  and  administrative 

assistance 

                  - intra muros  

                  - extra muros 

   Total  technical  and  administrative 
assistance 

8.2.5.  Financial cost of human resources and associated costs not included in the 

reference amount 

EUR million (to 3 decimal places) 

Type of human resources 

Year n 

Year n+1  Year n+2  Year n+3  Year n+4 

Year n+5 

and later 

Officials and temporary staff (XX 01 01) 

financed  by  Art  XX  01  02 

Staff 
(auxiliary, END, contract staff, etc.) 

(specify budget line) 

Total cost of Human Resources and 
associated costs (NOT in reference 
amount) 

25 

Reference  should  be  made  to  the  specific  legislative  financial  statement  for  the  Executive  Agency(ies) 
concerned. 

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34 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Calculation– Officials and temporary agents 

 Reference should be made to Point 8.2.1, if applicable 

Calculation– Staff financed under Art. XX 01 02 

 Reference should be made to Point 8.2.1, if applicable 

8.2.6 Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places) 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n 

Year 
n+5 

and 
later 

TOTAL 

     XX 01 02 11 01 – Missions 

     XX 01 02 11 02 – Meetings & Conferences 

     XX 01 02 11 03 – Committees26  

     XX 01 02 11 04 – Studies & consultations 

     XX 01 02 11 05 - Information systems 

 2  Total other management expenditure 

(XX 01 02 11) 

3 

Other 

expenditure 

administrative 
including reference to budget line) 

nature 

of 

an 
(specify 

Total administrative expenditure, other 
than human resources and associated 
costs (NOT included in reference 
amount) 

Calculation - Other administrative expenditure not included in reference amount 

26  

Specify the type of committee and the group to which it belongs. 

EN 

35 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Annex 

Method of calculating the effect on revenue 

Switzerland's  contribution  to  the  EC  and  Euratom  Framework  Programmes  will  be 
proportionate to the ratio between its GDP and that of the Union, with the exception 
of its contribution to the budget of the priority thematic area of research "Controlled 
thermonuclear fusion" in the Euratom Framework Programme, where its contribution 
will be proportionate to the ratio between its GDP and the sum of its GDP and that of 
the Union. This distinction laid down in Article 5(2) of the Agreement is maintained. 

Estimated  contribution  to  6th  FPs  based  on  2001  GDP  (EUROSTAT,  statistics  in 
focus - theme 2: 

GDP 2001 

(Mio €) 

GDP EUR 15 

8.859.870,929 

GDP Switzerland 

274.662,029 

Ratio (hors “Fusion”) 

3.100 % 

Ratio “Fusion” 

3.007 % 

Estimated Contribution 

(€million) 

Contribution 
EC + Euratom 
except Fusion) 

Budget: 

(Fusion) 

Contribution 
(Fusion) 

Total 
estimated 
contribution 

Year 

Budget: 
Budget (EC 
+ Euratom 
except 
Fusion) 

2004 

4.156,7 

2005 

4.344,6 

2006 

4.476,0 

128,9 

134,7 

138,7 

153,3 

155,4 

159,0 

467,7 

4,6 

4,7 

4,8 

14,1 

133,5 

139,4 

143,5 

416,4 

Total 

12.977,3 

402,3 

–  Enlarging  the  budget  to  EUR 25  will  have  an  effect  both  on  calculation  of  the 
proportionality  factor  and  on  the  total  budgets  for  2004  to  2006  (adaptation  of  the  Sixth 
Framework Programme). 

–  The proportionality factors for 2005 and 2006 will also be adjusted in line with GDP trends 

at the time of publication of each preliminary draft budget. 

–  Only  operating  expenditure  is  counted  in  the  case  of  the  Fusion  Programme.  The 
corresponding  administrative  expenditure  is  not  charged  action  by  action,  but  for  the 
Euratom Framework Programme as a whole, in accordance with the ABB structure. 

EN 

36 

   EN