Proposal for a Decision of the Council and of the Commission on the signature and provisional application 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: 2007-06-01
Institutions: European Commission
Subjects: EU programme, EU research policy, Switzerland, cooperation agreement (EU), ratification of an agreement, scientific cooperation, technical cooperation

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 1.6.2007 
COM(2007) 305 final 

2007/0106(CNS) 

Proposal for a 

DECISION OF THE COUNCIL AND OF THE COMMISSION 

on the signature and provisional application 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 

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 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

The  Commission  proposes  to  continue  the  scientific  and  technological  cooperation 
with  Switzerland  by  signing  and  concluding  the  draft  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 (Agreement), which is attached to the proposed Decisions of the Council and the 
Commission. 

The  association  of  Switzerland  to  the  Communities’  Framework  Programmes  for 
Research and  Development (FP) was launched by  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  of  21  June  1999.1  Due  to  the  late  entry  into  force  of  the  agreement  on  1  June 
2002, the full association of Switzerland to FP 5 could not be achieved. 

The agreement of 1999 was renewed for the participation of Switzerland in FP 6. The 
renewed agreement was signed on 16 January 2004 and concluded by a joint decision 
of  the  Council  and  the  Commission  (2006/365/EC/Euratom)  of  15  May  2006.  The 
agreement entered into force on 16 May 2006.2 This time the provisional application 
of  the  agreement,  which  started  upon  signature  with  legal  effect  as  of  1  January 
2004,  made  it  possible  that  Swiss  research  entities  could  fully  participate  in  the 
specific programmes and actions throughout the entire operation of FP 6. 
The  agreement  of  16  January  20043  associated  Switzerland  to  the  specific 
programmes of the Sixth (EC and Euratom) Framework Programmes. Article 9(2) of 
this  agreement  provided  for  a  renewal  of  the  agreement  should  the  Communities 
adopt new Framework Programmes. 

On 30 March 2006 the Swiss Confederation officially requested the Commission to 
renew the abovementioned agreement with a view to being associated to the 7th (EC 
and Euratom) Framework Programmes for Research and Development (FP7). 

It is in the interest of the Communities to renew the agreement of 2004 in order to 
associate  the  Swiss  Confederation  to  FP7  and  thus  to  allow  a  continuation  of  the 
successful  scientific  and  technological  cooperation  between  the  parties  and  the 
further integration of Switzerland into the European Research Area. 

Consequently,  on  3  October  2006  the  Commission  proposed  that  the  Council 
authorise it to negotiate the renewal of the agreement with a view to associating the 
Swiss  Confederation  to  FP7.  On  18  December  2006  the  Council  authorised  the 
Commission to  negotiate a renewal  of the agreement, including the possibility of a 
provisional application so as to allow legal entities from the Swiss Confederation to 
participate with the status of entities established in an Associated Country in the first 
calls for proposal under the FP7. 

The renewal of the agreement was negotiated in line with the negotiating directives 
annexed  to  the  Council  decision  of  18  December  2006.  These  negotiations  were 
completed on 27 February 2007, when the representatives of the two parties initialled 
the annexed draft Agreement. 

OJ L 114, 30.4.2002, p 468. 
OJ L 32, 5.2.2004, p. 22, OJ L 135, 23.5.2006, p. 13. 
OJ L 32, 5.2.2004, p. 23. 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

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2 
3 

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9. 

10. 

The  draft  Agreement  is  based  on  the  principles  of  mutual  benefit,  reciprocal 
opportunities for participating in each party's programmes and activities in the areas 
covered  by  the  Agreement,  non-discrimination,  effective  protection  of  intellectual 
property and equitable sharing of intellectual property rights. 

In  the  context  of  the  renewal  of  the  Agreement  on  Scientific  and  Technical 
Cooperation  associating  Switzerland  with  the  Framework  Programmes,  the  draft 
Agreement is based on the principles laid down in its predecessor, particularly with 
regard  to  Switzerland's  contribution  to  the  budget  of  the  FP.  However,  it  has  been 
adapted to the specific features of the 7th Framework Programmes: 

In  particular,  it  provides  for  the  possible  participation  of  Switzerland  in  the  legal 
structures created under Articles 169 and 171 of the EC Treaty subject to the rules 
(Council  and  EP  decisions  and  Council  regulations)  that  will  be  adopted  for  the 
establishment  of  these  legal  structures  and  provided  that  these  rules  will  become 
applicable in Switzerland. The agreement foresees that the Switzerland/Communities 
Research Committee in which, according to the Framework Agreement on Scientific 
and  Technological  cooperation  of  1987, 
the 
Communities, shall decide on the applicability of these rules in Switzerland.  

the  Commission 

represents 

Furthermore,  the  agreement  foresees  that  the  Switzerland/Communities  Research 
Committee may identify on request the regions of Switzerland that fulfil the criteria 
set out in Article 5(1) of Council Regulation (EC) No 1083/20064 and may therefore 
be  eligible  regions  benefiting  from  research  actions  under  the  Work  Programme 
"Research Potential" under the specific "Capacities" programme. Following the entry 
into  force  of  FP7,  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 2007 
and  should  apply  provisionally  from  that  date  on,  subject  to  conclusion  at  a  later 
date. 

11. 

Finally,  the  representatives  of  the  two  parties  agreed  to  attach  a  Final  Act  to  the 
agreement  which  contains  the  following  joint  and  unilateral  declarations  from  the 
two parties: 

– 

– 

– 

– 

Joint declaration of the Contracting Parties on a close dialogue in view of the 
implementation  of  new  structures  implementing  Articles  169  and  171  of  the 
EC Treaty 

Declaration of the Council on Swiss attendance of committees 

Declaration of the Communities on treatment of EU researchers in Switzerland 
under this Agreement 

Declaration of the Government of Switzerland 

12. 

The  proposed  decision  on  signature  and  provisional  application  of  the  Agreement 
shall  also  establish  the  structures  necessary  for  an  effective  operation  of  the 
Agreement  right  from  the  beginning.  Therefore,  Article  3  of  the  proposed  decision 
the 
contains  also  an  authorisation 
Switzerland/Communities Research Committee the position of the Communities on 
decisions  according  to  Article  2  (1)  on  the  applicability  in  Switzerland  of  the  rules 
for the establishment of the legal structures created under Articles 169 and 171 of the 

the  Commission 

to  adopt 

for 

in 

4 

OJ L 210, 31.7.2006, p.25.  

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13. 

EC  Treaty  and  on  decisions  according  to  Article  6  (2)  of  the  Agreement  on  the 
identification of regions with research potential. 

The  proposed  decision  on  the  conclusion  of  the  Agreement  states  in  Article  3  that 
this  agreement  shall  not  be  renewed  in  case  that  one  of  the  agreements  concluded 
between  the  EC  and  Switzerland  on  21  June  1999  covering  seven  specific  policy 
areas  is  terminated.  In  negotiating  and  concluding  these  agreements  the  EC  made 
clear that all the seven areas were linked.5 Since Switzerland will decide in 2009 on 
the continuation of the agreement on the free movement of persons, which is part of 
the package, the original linkage between all policy areas covered by this package of 
agreements should be reinstated. 

5 

Decision  of  the  Council,  and  of  the  Commission  as  regards  the  agreement  on  scientific  and  technical 
cooperation,  of  4  April  2002  on  the  conclusion  of  seven  Agreements  with  the  Swiss  Confederation 
(2002/306/EC,  Euratom),  OJ  L  114,  30.4.2002,  p.  1  and  Commission  Communication  on  the  future 
relations with Switzerland, COM (93)486 final, 1 October 1993. 

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Proposal for a 

DECISION OF THE COUNCIL AND OF THE COMMISSION 

on the signature and provisional application 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, 

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  Agreement  as  of  1  January  2007. 
Provisional application would enable Swiss entities to participate in the first calls for 
proposals under the Seventh Framework Programme. 

The negotiations resulted in the attached agreement initialled on 27 February 2007. 

It  is  necessary  to  sign  the  Agreement  negotiated  by  the  Commission  in  view  of  its 
possible conclusion at a later date. 

HAVE DECIDED AS FOLLOWS: 

Article 1 

1. 

2. 

Subject to conclusion at a later date, the President of the Council is hereby authorised 
to designate the person empowered to sign, on behalf of the European Community, 
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 and the Final Act. 

Subject  to  conclusion  at  a  later  date,  the  President  of  the  Commission  is  hereby 
authorised  to  designate  the  person  empowered  to  sign,  on  behalf  of  the  European 
Atomic  Energy  Community,  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 and the 
Final Act. 

3. 

The text of the Agreement is annexed to this Decision.  

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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, shall be applied provisionally. 

Article 2 

Article 3 

1. 

2. 

The  Commission  shall  adopt  the  position  of  the  Communities  to  be  taken  in  the 
Switzerland/Communities  Research  Committee  established  by  the  Framework 
Agreement  on  Scientific  and  Technical  Co-operation  between  the  European 
Communities  and  the  Swiss  Confederation6  with  regard  to  decisions  according  to 
Article 2 (1) of the Agreement on the applicability in Switzerland of the rules for the 
establishment  of  the  legal  structures  created  under  Articles  169  and  171  of  the  EC 
Treaty. 

The  Commission  shall  adopt  the  position  of  the  Communities  to  be  taken  in  the 
Switzerland/Communities  Research  Committee  established  by  the  Framework 
Agreement  on  Scientific  and  Technical  Co-operation  between  the  European 
Communities  and  the  Swiss  Confederation  with  regard  to  decisions  according  to 
Article 6 (2) and 6 (3) of the Agreement identifying regions of Switzerland that may 
be  eligible  regions  benefiting  from  research  actions  under  the  Work  Programme 
“Research Potential” under the specific “Capacities” programme. 

The Decision shall be published in the Official Journal. 

Done at Brussels, […] 

Article 4 

For the Council 
The President 

6 

OJ L 313 of 22.11. 1985 

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2007/0106(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) 

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  ……….in 
Brussels, subject to its conclusion at a later date. 

(3) 

The Agreement should be approved, 

HAVE DECIDED AS FOLLOWS: 

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 Community7. 

Article 1 

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. 

Article 2 

7 

For the text of the Agreement, see OJ L xxxx. 

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Article 3 

1. 

2. 

This  Agreement  is  related  to  the  seven  agreements  signed  with  Switzerland  on  21 
June 1999 and concluded by Council Decision of 4 April 2002. 

It shall not be renewed in case the agreements referred to in Paragraph 1 have been 
terminated. 

Done at Brussels, […] 

For the Council 
The President 

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ANNEX  

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 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 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 the 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  matter  in  order  to  make 
better use of resources and to avoid unnecessary duplication; 

WHEREAS  Switzerland  and  the  Communities  are  currently  implementing  research 
programmes in fields of common interest; 

WHEREAS  the  Communities  and  Switzerland  have  an  interest  in  cooperating  on  these 
programmes to their mutual benefit; 

CONSIDERING the interest of the Parties in encouraging the mutual access of their research 
entities to research and technological development activities in Switzerland, on the one hand, 
and 
technological 
development, on the other; 

the  Communities'  Framework  Programmes  for  research  and 

to 

WHEREAS  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’); 

WHEREAS 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’); 

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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; 

WHEREAS on 16 January 2004 the Communities and Switzerland signed an Agreement on 
Scientific  and  Technological  Cooperation8,  which  was  provisionally  applied  since  1  of 
January 2004 and which entered into force on 16 of May 2006; 

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

WHEREAS  the  Seventh  Framework  Programme  of  the  European  Community  for  research, 
technological  development  and  demonstration  activities  (2007  to  2013)  (hereinafter  referred 
to as the ‘Seventh EC Framework Programme’) was adopted by Decision No 1982/2006/EC9 
and Regulation (EC) No 1906/200610 of the European Parliament and of the Council, and by 
Council  Decisions  2006/971/EC11,  2006/972/EC12,  2006/973  EC13,  2006/974  EC14  and 
2006/975  EC15  and  the  Seventh  Framework  Programme  of  the  European  Atomic  Energy 
Community  (Euratom)  for  nuclear  research  and  training  activities  (2007  to  2011),  also 
contributing to the creation of the European Research Area was adopted by Council Decision 
2006/970/Euratom16,  Council  Regulation  (Euratom)  No  1908/200617  and  Council  Decisions 
2006/976/Euratom18 and 2006/977/Euratom19 (hereinafter referred to as the ‘Seventh EC and 
Euratom Framework Programmes’); 

WHEREAS 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 Swiss participation in the implementation of the whole of 
the Seventh 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 Seventh EC and Euratom Framework Programmes. 

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. 

OJ L 32, 05.02.2004, p. 22. 
OJ L 412, 30.12.2006, p. 1. 
OJ L 391, 30.12.2006, p.1. 
OJ L 400, 30.12.2006, p. 86. 
OJ L 400, 30.12.2006, p. 243. 
OJ L 400, 30.12.2006, p. 272. 
OJ L 400 30.12.2006, p. 299. 
OJ L 400, 30.12.2006, p.368. 
OJ L 400, 30.12.2006, p. 60. 
OJ L 400, 30.12.2006, p. 1. 
OJ L 400, 30.12.2006, p. 404. 
OJ L 400, 30.12.2006, p. 434. 

1. 

2. 

8 
9 
10 
11 
12 
13 
14 
15 
16 
17 
18 
19 

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3. 

4. 

Legal entities established in the Communities, including the Joint Research Centre, 
may  participate  in  research  programmes  and/or  projects  in  Switzerland  on  themes 
equivalent to those of the programmes of the Seventh 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  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  organisations,  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. 

4. 

Participation  of  legal  entities  established  in  Switzerland  in  all  specific  programmes 
adopted under the Seventh 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. 

In case the Community makes provisions for the implementation of Articles 169 and 
171  of  the  Treaty  establishing  the  European  Community  Switzerland  shall  be 
allowed to participate in the legal structures created under these provisions subject to 
the  rules  that  will  be  adopted  for  the  establishment  of  these  legal  structures  and 
in  Switzerland.  The 
rules  will  become  applicable 
provided 
Switzerland/Communities  Research  Committee  shall  decide  on  the  applicability  of 
these rules in Switzerland. 

these 

that 

Legal entities established in Switzerland shall be eligible for participation in indirect 
actions  based  on  Articles  169  and  171  of  the  Treaty  establishing  the  European 
Community. 

Financial contribution by Switzerland to the budgets of the programmes adopted for 
the  implementation  of  the  Seventh  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 Seventh 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  management  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. 

In  addition  to  timely  provision  of  information  and  documentation  concerning  the 
implementation of the Seventh 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: 

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(a) 

regular  exchanges  of  views  on  research  policy  guidelines  and  priorities  and 
plans in Switzerland and in the Communities; 

(b) 

exchanges of views on the prospects and development of cooperation; 

(c) 

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; 

(d) 

joint meetings; 

(e) 

(f) 

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 by experts in seminars, symposia and workshops. 

Article 3 

Adaptation 

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

1. 

2. 

1. 

Article 4 

Intellectual property rights and obligations 

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 provisional application 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. 

Article 5 

Financial provisions 

Commitments entered into by the Communities under the Seventh EC and Euratom 
Framework Programmes prior to the provisional application 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  Seventh  EC  and  Euratom  Framework 
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 the programmes and activities covered by this Agreement.  

2. 

The  proportionality  factor  governing  Switzerland's  contribution  to  the  Seventh  EC 
and  Euratom  Framework  Programmes,  except  the  Fusion  Programme,  shall  be 

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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.  The  Swiss  contribution  to  the  Fusion 
Programme  shall  continue  to  be  calculated  on  the  basis  of  the  corresponding 
agreement. These ratios 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. 

2. 

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. 

The Committee  may  identify  on request of Switzerland regions  of  Switzerland  that 
fulfil the criteria set out in Article 5(1) of Council Regulation (EC) No 1083/200620 
and  may  therefore  be  eligible  regions  benefiting  from  research  actions  under  the 
Work Programme "Research Potential" under the specific "Capacities" programme. 

3. 

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

Article 7 

Participation 

1. 

2. 

3. 

4. 

5. 

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

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  grant  agreements  and/or  contracts  under  the  Communities'  programmes  shall  be 
the same as those applicable for grant agreements and/or contracts concluded under 
the same programmes with legal entities established in the Communities. 

Legal entities established in Switzerland shall be eligible for loans the EIB makes in 
support of research objectives set out under the Seventh EC Framework Programme. 

An  adequate  number  of  Swiss  experts  shall  be  taken  into  consideration  in  the 
selection of evaluators or referees under the Communities' research and technological 
development  programmes  taking  into  account  the  skills  and  knowledge  appropriate 
to the tasks assigned to them. 

Without prejudice to the provisions of Article 1(3), Article 2(3) and Article 4(2) and 
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 mentioned 
in Article 2(3). The Swiss authorities may make participation in a project by one or 

20 

OJ L 210, 31.07. 2006, p.25.  

EN 

   EN 

 
 
                                                 
more legal entities established in the Communities subject to joint participation by at 
least one Swiss entity. 

Article 8 

Mobility 

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

1. 

2. 

1. 

2. 

Article 9 

Revision and future collaboration 

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 Seventh 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. 

Should  the  Communities  adopt  new  multi-annual  Framework  Programmes  for 
research  and  technological  development,  this  Agreement  may  be  renewed  or 
renegotiated under conditions agreed mutually between the Parties. The Parties shall 
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 
only for legal entities established on the territory of that Party. 

A  legal  entity  established  in  another  country  associated  to  the  Seventh  EC 
Framework Programme (Associated Country) enjoys the same rights and obligations 
under  this  Agreement  as  legal  entities  that  are  established  in  a  Member  State 
provided that the Associated Country in which the entity is established has agreed to 
award legal entities from Switzerland the same rights and obligations. 

Article 11 

Territorial application 

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. 

EN 

   EN 

 
 
Article 12 

Annexes 

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

Article 13 

Amendment and termination 

1. 

2. 

3. 

4. 

1. 

2. 

This  Agreement  shall  apply  for  the  duration  of  the  Seventh  EC  and  Euratom 
Framework Programmes. 

This  Agreement  may  be  amended  only  in writing  by common consent between the 
Parties. This 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. 

Article 14 

Entry into force and provisional application 

This Agreement shall be ratified or concluded by the Parties in accordance with their 
respective  rules.  It  shall  enter  into  force  on  the  dates  of  the  final  notification  of 
completion of the procedures necessary to this end. It shall be provisionally applied 
as of 1 January 2007. 

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

– 

– 

– 

the Communities shall reimburse to Switzerland its contribution to the general 
budget of the European Union, as provided for in Article 2(2), 

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

indirect  actions, 

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  Bulgarian,  Czech,  Danish, 
Dutch,  English,  Estonian,  Finnish,  French,  German,  Greek,  Hungarian,  Italian, 
Latvian,  Lithuanian,  Maltese,  Polish,  Portuguese,  Romanian,  Slovak,  Slovene, 
Spanish and Swedish languages, each of those texts being equally authentic. 

EN 

   EN 

 
 
PRINCIPLES ON THE ALLOCATION OF INTELLECTUAL PROPERTY RIGHTS 

ANNEX A 

I. SCOPE 

For the purposes of this Agreement, ‘intellectual property’ shall have the meaning defined 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 THE LEGAL ENTITIES OF THE PARTIES 

1. 

2. 

3. 

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  actions  under  the 
Seventh  EC  and  Euratom  Framework  Programmes  shall  have  intellectual  property 
rights and obligations under the conditions set out in Regulation (EC) No 2321/2002 
modified by Regulation (EC) No 1906/2006 of 18 December, 2006 of the European 
Parliament  and  of  the  Council,  in  Council  Regulation  (Euratom)  No  2322/2002, 
modified by Council Regulation (Euratom) No 1908/2006 of 18 December, 2006 and 
in the grant agreement and/or contract concluded with the European Community, in 
accordance with point 1. Where Switzerland participates in indirect actions under the 
Seventh  EC  Framework  Programme,  implemented  in  accordance  with  Article  169 
and  Article  171  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 provisions. 

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 point 1. 

III. INTELLECTUAL PROPERTY RIGHTS OF THE PARTIES 

1. 

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: 

(a) 

(b) 

the Party generating the knowledge shall have ownership thereof. Where 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. 

EN 

   EN 

 
 
2. 

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

(a)  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; 

(b) 

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. 

3. 

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

(a) 

(b) 

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; 

(c)  with the prior written consent of the Party providing undisclosed information, 
the  receiving  Party  may  disseminate  such  information  more  widely  than 
otherwise  permitted  by  subparagraph  (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; 

(d)  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  actions  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 subparagraph (a); 

(e) 

each  Party  shall  ensure  that  undisclosed  information  which  it  acquires  in 
accordance with subparagraphs (a) and (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 
subparagraphs  (a)  and  (d),  it  shall  immediately  inform  the  other  Party.  The 
Parties shall thereafter consult to define an appropriate course of action. 

EN 

   EN 

 
 
ANNEX B 

FINANCIAL RULES GOVERNING THE CONTRIBUTION OF SWITZERLAND 
REFERRED TO IN ARTICLE 5 OF THIS AGREEMENT 

I. DETERMINATION OF FINANCIAL PARTICIPATION 

1. 

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 

(a) 

(b) 

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  to  the  participation  of  Switzerland  in  the  two 
Framework Programmes. Nonetheless, in order to facilitate internal budgetary 
procedures,  the  Commission  services  shall  provide  corresponding  indicative 
figures at the latest on 31 May of each year. 

2. 

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

II. PAYMENT PROCEDURES 

1. 

2. 

3. 

4. 

The Commission shall issue, in June and November of each financial year, 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  for  each  call  for  funds  and  not  later  than  30  days  after 
receipt  of  the  corresponding  call  for  funds.  However,  in  the  last  year  of  the  two 
Framework Programmes, the full amount of Switzerland's contribution shall be paid 
not later than 30 days after the receipt of the call for funds. 

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

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  shall  be  increased  by  1,5  percentage  point  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 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. 

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. 

EN 

   EN 

 
 
2. 

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  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 heading in 
the statement of revenue of the general budget of the European Union. 

IV. 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  statistics  and  all  other  general 
financial  data  relating  to  the  implementation  of  the  two  Framework  Programmes 
which is made available to the Member States. 

EN 

   EN 

 
 
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  Seventh  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 grant agreements and/or contracts concluded to implement them. 

II. AUDITS 

1. 

2. 

3. 

4. 

5. 

In  accordance  with  Council  Regulation  (EC,  Euratom)  No  1605/2002  of  25  June 
2002,  amended  by  Council  Regulation  (EC,  Euratom)  No  1995/200621  and 
Commission  Regulation  (EC,  Euratom)  No  2342/2002  amended  by  Commission 
Regulation  (EC  Euratom)  1248/200622  of  7  August  2006  and  with  the  other  rules 
referred to in this Agreement, the grant agreements and/or 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  grant  agreements  and/or  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  Seventh  EC  and  Euratom  Framework 
Programmes  or  this  Agreement  expire,  on  the  terms  laid  down  in  the  grant 
agreements and/or 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 CHECKS 

1. 

2. 

21 
22 
23 

EN 

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  2185/9623  and  Regulation  (EC)  No  1073/1999  of  the  European  Parliament 
and the Council. 

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 

OJ L390, 30.12.2006, p.1. 
OJ L227, 19.8.2006, p.3. 
OJ L292, 15.11.1996, p. 2. 

   EN 

 
 
                                                 
3. 

4. 

5. 

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

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

Where  the  participants  in  the  Seventh  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  grant  agreements  and/or 
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,  amended  by  Regulation  (EC,  Euratom)  No  1995/2006,  and  (EC,  Euratom)  No 
2342/2002, amended by Regulation (EC, Euratom) No 1248/2006 of 7 August 2006, and with 
Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the 
European Communities' financial interests 24. 

VII. RECOVERY AND ENFORCEMENT 

Decisions taken by the Commission under the Seventh 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 control than verification of the authenticity of the act, by the authorities designated by 

24 

OJ L 312, 23.12.1995, p.1. 

EN 

   EN 

 
 
                                                 
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  shall  be  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 Seventh EC and Euratom Framework Programmes 
shall be enforceable on the same terms. 

EN 

   EN 

 
 
The Plenipotentiaries 

of the EUROPEAN COMMUNITY 

and 

of the SWISS CONFEDERATION, 

meeting  at  .....  on  .......  for  the  signature  of  the  Agreement  on  Scientific  and  Technological 
Cooperation between the European Community and the European Atomic Energy Community 
on the one hand, and the Swiss Confederation on the other hand, have adopted the following 
Joint Declaration, which is attached to this Final Act: 

Joint  Declaration  of  the  Contracting  Parties  on  a  close  dialogue  in  view  of  new  structures 
implementing Articles 169 and 171 of the EC Treaty. 

They have also noted the following Declarations, which are attached to this Final Act: 

Declaration of the Council on Swiss attendance of committees. 

Declaration of the Communities on the treatment of EU researchers under this agreement in 
Switzerland. 

Done at .............................. 

For the European Communities: 

For the Swiss Confederation: 

EN 

   EN 

 
 
JOINT DECLARATION OF THE CONTRACTING PARTIES ON A CLOSE 
DIALOGUE IN VIEW OF NEW STRUCTURES IMPLEMENTING ARTICLES 169 
AND 171 OF THE EC TREATY 

The two Parties declare that, with a view to ensuring the proper implementation of Article 2.1 
of  this  Agreement,  the  Swiss  Confederation  will  be  timely  informed  as  appropriate  about 
preparatory works regarding structures based on Articles 169 and/or 171 of the EC Treaty to 
be implemented under the 7th Framework Programmes. 

EN 

   EN 

 
 
DECLARATION OF THE COUNCIL 

ON SWISS ATTENDANCE OF COMMITTEES 

The Council agrees that Switzerland's representatives may, insofar as the items concern them, 
attend meetings as observers of 

– 

– 

all Committees set up under the Seventh EC and Euratom Framework programmes 
including the Scientific and Technical Research Committee (CREST) 

the Board of Governors of the Joint Research Centre. 

Switzerland's representatives shall not be present when these committees vote. 

EN 

   EN 

 
 
DECLARATION OF THE COMMUNITIES 

ON TREATMENT OF EU RESEARCHERS IN SWITZERLAND UNDER  

THIS AGREEMENT 

The Communities expect that Switzerland to the extent that it applies a maximum threshold to 
the  number  of  residence  permits  available  for  nationals  of  any  of  the  Member  States  of  the 
European Union, the residence permits issued for participating researchers shall not count for 
the calculation of this maximum threshold. The Communities further expect that researchers 
participating in projects and are employed by the Joint Research Centres of the Communities 
may  equally  benefit  from  Article  12(3)  of  the  Cooperation  agreement  between  the  Euratom 
and  the  Swiss  Confederation  in  the  field  of  controlled  thermonuclear  fusion  and  plasma 
physics (OJ L 242/1 of 4.9.1978). 

EN 

   EN 

 
 
DECLARATION OF THE GOVERNMENT OF SWITZERLAND 

The  government  of  Switzerland  considers  that  the  declaration  of  the  Communities  on 
treatment of EU researchers in Switzerland under this agreement shall be without prejudice 
to  the  rights  and  obligations  of  the  Contracting  Parties  under  the  Agreement  and  under  the 
Swiss legal order. 

EN 

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Draft 

LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL 

Proposal for a decision of the Council and of the Commission on the signature and conclusion 
on behalf of the European Community and of 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 strategy and coordination of the Directorates-General RTD, JRC, ENTR, INFSO and 
TREN. 

3. 

3.1 

– 

3. 

BUDGET LINES 

Budget  lines  (operational  lines  and  related  technical  and  administrative  assistance 
lines (ex- B.A lines) including headings: 

Participation in indirect action by Swiss entities, as well as costs in connection with 
the implementation of  the Agreement (travelling expenses of European experts and 
of  Commission  officials  on  mission,  workshops,  seminars  and  meetings)  will  be 
charged  to  the  specific  budget  headings  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  6013  (Title  6,  revenue),  Articles  10.02.02,  10.03.02,  02.04.03,  06.06.04, 
08.21.04, 09.04.02, (Expenditure). 

Switzerland's  contribution 
proportionate to its GDP compared with that of the Union (see annex). 

the  Framework  Programmes  budget  will  be 

to 

3.2. 

Duration of the action and of the financial impact: 

From  1  January  2007  for  the  duration  of  the  Seventh  EC  and  Euratom  Framework 
Programmes as laid down in Article 13 of the Agreement . 

3.3. 

Budgetary characteristics (add rows if necessary): 

Budget 
line 

Expenditure type 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

xx01.05.03 

Non-
comp 

Non-
diff25 

NO 

YES 

YES 

No 3 

25 

Non-differentiated appropriations. 

EN 

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4. 

4.1 

SUMMARY OF RESOURCES 

Financial Resources 

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

(PA) 

EUR million (to 3 decimal places) 

2007 

2008 

2009 

2010 

2011 

.2012 

2013 

Total 

Expenditure type 

Section 
no. 

 Operational expenditure26 

Commitment 
Appropriations (CA) 

8.1 

Payment  Appropriations 
(PA) 

a 

b 

Administrative expenditure within reference amount27 

Technical 
administrative 
assistance (NDA) 

& 

0,157 

0,157 

0,157 

0,157 

0,157 

0,157 

0,157 

1,099 

8.2.4 

c 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT 

Commitment 
Appropriations 

Payment 
Appropriations 

a
+
c 

b
+
c 

0,157 

0,157 

0,157 

0,157 

0,157 

0,157 

0,157 

1,099 

0,157 

0,157 

0,157 

0,157 

0,157 

0,157 

0,157 

1,099 

Administrative expenditure not included in reference amount28 

Human  resources  and 
associated  expenditure 
(NDA) 

than 

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

8.2.5 

d 

0,058
5 

0,058
5 

0,058
5 

0,058
5 

0,058
5 

0,058
5 

0,058
5 

0,4095 

0 

0 

0 

0 

0 

0 

0 

8.2.6 

e 

 Total indicative financial cost of intervention 

TOTAL  CA 
cost 
Resources 

of 

TOTAL  PA 
cost 
of 
Resources 

including 
Human 

including 
Human 

a+c
+d+
e 

b+c
+d+
e 

0,2155 

0,215
5 

0,215
5 

0,215
5 

0,215
5 

0,215
5 

0,215
5 

1,508
5 

0,2155 

0,215
5 

0,215
5 

0,215
5 

0,215
5 

0,215
5 

0,215
5 

1,508
5 

26 
27 
28 

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. 

EN 

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Co-financing details 

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) 

Co-financing body 

2007

2008

2009

2010 2011

2012  2013  Total 

…………………… 

f 

TOTAL  CA  including 
co-financing 

a+c+d
+e+f 

4.1.2  Compatibility with Financial Programming 

x 

(cid:133) 

(cid:133) 

Proposal is compatible with existing financial programming. 

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

Proposal  may  require  application  of  the  provisions  of  the  Inter-institutional 
the  financial 
Agreement29  (i.e.  flexibility 
perspective). 

instrument  or  revision  of 

4.1.3  Financial impact on Revenue 

(cid:133) 

Proposal has no financial implications on revenue 

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

x 
Estimated contribution to 7th FPs based on EUROSTAT, "Statistics in focus" – theme 
2: 

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

N.B.: 

– 

– 

– 

The  calculation  is  based  on  the  2007  preliminary  draft  budget  for  EUR27, 
pending  adoption  of  the  definitive  budget  for  2007  and  revision  of  the  legal 
bases.  

The proportionality factors for the years 2008 to 2013 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. 

29 

See points 19 and 24 of the Inter-institutional agreement. 

EN 

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EUR million (to three decimal places) 

   Situation following action 

  2007

2008 

2009 

2010 

2011 

2012 

2013 

Total 

  150,7  163,261  176,653  194,128  216,335  235,587  254,677  1.391,382 

Prior to 
action [Year 
n-1] 

Budget 
line 

Revenue* 

a)  Revenue 
absolute terms 

in 

0 

601.3 

b)  Change 
revenue 

in 

*estimated revenue 

(Please specify each revenue budget line involved, adding the appropriate number 
of rows to the table if there is an effect on more than one budget line.) 

4.2 

Human Resources FTE (including officials, temporary and external staff) – see detail 
under point 8.2.1. 

Annual requirements 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

Total 

Total 
number 
human resources 

of 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

0.5 

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 
complementary information: 

5.1. 

Needs to be met in the short or long term: 

This decision will allow Switzerland, as an associated country, to be associated to the 
7th  framework  programmes  and  to  participate  in  research  activities  at  Community 
level.  

5.2 

Value-added  of  Community  involvement  and  coherence  of  the  proposal  with  other 
financial instruments and possible synergy: 

Community funding is a pre-requisite for encouraging and facilitating Switzerland’s 
participation in the research framework programmes.  

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

5.3 
ABM framework 

The Association Agreement should enable Switzerland and the Community to derive 
mutual benefit through reciprocal access to their research programmes. 

EN 

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(cid:31)
 
   
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
5.4. Method of Implementation (indicative) 

Show below the method(s)30 chosen for the implementation of the action. 

X Centralised Management 

× 

(cid:133) 

Directly by the Commission 

Indirectly by delegation to: 

(cid:133)  Executive Agencies 

(cid:133)  Bodies set up by the Community as referred to in Art. 185 of 

the Financial Regulation 

(cid:133)  National  public-sector  bodies/bodies  with  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) 

Relevant comments: 

MONITORING AND EVALUATION 

Monitoring system 

Performance indicators 

6. 

6.1. 

(a) 

– 

– 

– 

number of proposals put forward by Switzerland compared with the number of 
proposals  selected  for  funding  both  for  each  specific  programme  and  for  the 
Framework Programmes as a whole; 

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

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

(b) 

Gathering of information: 

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

(c) 

Overall evaluation: 

At  the  end  of  the  7th  Framework  Programmes  the  Commission  will  evaluate  all 
cooperation activities covered by the Agreement. 

6.2 

Evaluation 

30 

If  more  than  one  method  is  indicated  please  provide  additional  details  in  the  "Relevant  comments" 
section of this point. 

EN 

   EN 

 
 
                                                 
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. 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.  

In  order  to  protect  the  financial  interests  of  the  European  Communities,  rules  on  checks, 
measures  and  sanctions,  with  reference  to  Regulation  Nos.  2988/95,  2185/96,  1073/99  and 
1074/99,  will  be  incorporated  in  all  grant  agreements  and/or  contracts  used  in  the 
implementation 
Programmes. 
In particular, the following points will have to be provided for in the grant agreements and/or 
contracts: 

Framework 

the 

of 

– 

– 

– 

– 

the introduction of specific contractual clauses to protect the financial interests of the 
European  Community  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 No 2185/96, 1073/99 and 1074/99; 

the  application  of  administrative  sanctions  for  all 
intentional  or  negligent 
irregularities  in  the  implementation  of  the  grant  agreements  and/or  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. 

Local inspections will be carried out by the European Court of Auditors. 

Finally,  Annex  C  to  the  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, the enforceability of judgments of the Court 
of Justice of the European Communities. 

EN 

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8. 

8.1 

DETAILS OF RESOURCES 

Objectives of the proposal in terms of their financial cost: 

NA 

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

Type of 
output 

Av. 
cost 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 and 
later 

TOTAL 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

OPERATIONAL OBJECTIVE No.131 

Action1…………. 
 - Output 1 
 - Output 2 
Action 2…………. 
 - Output 1 
Sub-total Objective 1 
OPERATIONAL OBJECTIVE No.2  
Action 1…………. 
 - Output 1 
Sub-total Objective 2 
OPERATIONAL OBJECTIVE No. n 
Sub-total Objective n 
TOTAL COST 

31 

As described under Section 5.3. 

EN 

34 

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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) 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

Total 

0,5 

0,5 

0,5 

0,5 

0,5 

0,5 

0,5 

Officials or 
temporary staff32 
(XX 01 01) 

A*/AD 

B*, 
C*/AST 

Staff  financed33  by  Art.  XX 
01 02 

0 

Other  staff  financed34  by  Art. 
XX 01 04/05 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

TOTAL 

0,5 

0,5 

0,5 

0,5 

0,5 

0,5 

0,5 

8.2.2  Description of tasks deriving from the action 

Management and implementation of the association of Switzerland to the Framework 
Programmes will entail regular missions by EC and Euratom and Swiss experts and 
officials. 

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 

(cid:133) 

(cid:133) 

(cid:133) 

(cid:133) 

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

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

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 

32 
33 
34 

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 

35 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.4  Other 

administrative 

expenditure 

included 

in 

reference 

amount 

(XX 01 04/05 – Expenditure on administrative management) 

2007 2008 2009 2010 2011 2012  2013  TOTAL

EUR million (to 3 decimal places) 

Budget line 
(number and heading) 

1.  Technical  and  administrative 
assistance  (including  related  staff 
costs) 

 Executive agencies35 

0 

0 

0 

0 

0 

0 

0 

technical  and  administrative 

Other 
assistance 

0,157  0,157  0,157  0,157  0,157  0,157  0,157  1,099 

 - intra muros 

 - extra muros 

Total  Technical  and  administrative 
assistance 

0,157  0,157  0,157  0,157  0,157  0,157  0,157  1,099 

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 

2007  2008  2009  2010  2011  2012  2013  Total

Officials  and  temporary  staff  (XX  01 
01) 

0,0585 

0,058
5 

0,058
5 

0,058
5 

0,058
5 

0,058
5 

0,058
5 

0,409
5 

Staff  financed  by  Art  XX  01  02 
(auxiliary, END, contract staff, etc.) 

(specify budget line) 

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

0 

0 

0 

0 

0 

0 

0 

0,0585 

0,058
5 

0,058
5 

0,058
5 

0,058
5 

0,058
5 

0,058
5 

0,409
5 

Calculation– Officials and Temporary agents 

Reference should be made to Point 8.2.1, if applicable 

Amount given on the basis of the annual cost of an official (all categories included) i.e.:  

117 000 euro/2 = 58500 

35 

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

EN 

36 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Calculation– Staff financed under Art. XX 01 02 - NA 

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) 

2007 2008  2009  2010  2011  2012 

2013 TOTAL

 XX 01 02 11 01 – Missions 

 XX 01 02 11 02 – Meetings & Conferences 

 XX 01 02 11 03 – Committees36 

 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 of an administrative 
nature  (specify  including  reference  to 
budget line) 

Total  Administrative  expenditure,  other 
than  human  resources  and  associated 
costs 
reference 
included 
amount) 

(NOT 

in 

0 

0 

0 

0 

0 

0 

0 

Calculation - Other administrative expenditure not included in reference amount 

Annex 
Method of calculating the effect on revenue 

Switzerland's  contribution  to  the  Seventh  EC  and  Euratom  Framework  Programmes  will  be 
proportionate to its GDP compared with the sum of its GDP plus that of the European Union. 
This ratio shall be calculated on the basis of the latest statistical data pertaining to the same 
year from the Statistical Office of the European Communities (Eurostat), available at the time 
of publication of the preliminary draft budget of the European Communities. The contribution 
of 2007 will be based on the GDPs of 2004.  

The  proportionality  factor  governing  Switzerland's  contribution  to  the  Seventh  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. The Swiss contribution to the Fusion Programme shall continue to be calculated on the 
basis of the corresponding agreement.  

36 

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

EN 

37 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
For 2007, the estimated contribution to the Seventh EC and Euratom Framework Programmes 
based on 2004 GDP (EUROSTAT, Statistics in Focus - Theme 2) is: 

GDP 2004 (Mio €) 

GDP EUR 27 

10.498.457,9 

GDP Switzerland 

288.852,7 

Ratio  

- without fusion 

- fusion 

2,751% 

2,678% 

Estimated Contribution (Mio €)  

Year 

Budget 

Total estimated contribution 

2007 

5.233,633  (EC  &  Euratom 
without Fusion) 

143,977 

6,764 

252,567 (Fusion) 

Total 

5.486,2 

150,741 

EN 

38 

   EN