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16. 7. 90 Official Journal of the European Communities No C 174/85

Proposal for a Council Decision adopting a specific programme of research and technological
development in the field of human capital and mobility (1990 to 1994)

_COM(90)_ _165_ _final — SYN 170_

_(Submitted by the Commission on 3 May 1990)_

(90/C 174/13)

THE COUNCIL OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty establishing the European
Economic Community, and in particular Article 130q
(2) thereof,

Having regard to the proposal from the Commission,

In cooperation with the European Parliament,

Having regard to the opinion of the Economic and
Social Committee,

Whereas, by Decision 90/221/Euratom, EEC( [1] ), the
Council adopted a third framework programme for
Community activities in the field of research and technological development (1990 to 1994), specifying _inter_
_alia_ the activities to be pursued for the management of
intellectual resources (human capital and mobility);
whereas this Decision should be taken in the light of
the grounds set out in the preamble to that Decision;

Whereas Article 130k of the Treaty stipulates that the
framework programme is to be implemented through
specific programmes developed within each activity;

Whereas the Joint Research Centre shall contribute
through its own programme to the implementation of
the aforesaid activities;

Whereas an estimate should be made of the amount of
Community financial resources needed to carry out this
specific programme; whereas the definitive amounts
will be fixed by the budgetary authority in line with
the financial perspectives covering the period 1988 to
1992 included in the Interinstitutional Agreement of
29 June 1988 ( [2] ) and with any future financial perspectives covering the period 1993 to 1994;

Whereas, pursuant to Article 4 of and Annex I to
Decision 90/221/Euratom, EEC, the amount deemed
necessary for the whole framework programme includes
an amount of ECU 57 million for the centralized dissemination and exploitation of results, to be divided up
in proportion to the amount envisaged for each activity;
whereas in view of the importance of this specific
programme within the 'Human capital and mobility'

(M OJNoL117,8. 5. 1990, p. 28.
( [2] ) OJ No L 185, 15. 7. 1988, p. 33.

action the estimate of the financial resources needed by
this programme is to be reduced by ECU 930 000,
which amount is to be allocated to the centralized
activities, in order to comply with the second sentence
of Article 130p (2) of the Treaty;

Whereas this programme must be implemented by the
Commission; whereas to help accomplish this, the
Member States are bound, pursuant to Article 5 of the
Treaty, to facilitate the achievement of its tasks where
necessary, notably within a committee;

Whereas among the specific programmes arising from
the third Framework Programme, this programme is
characterized by dealing essentially with the human
resources available for R&TD activities and the
enhancement of the European scientific and technological community; whereas this goal can be achieved effectively by activities intended to supplement the training
of young researchers at a postdoctoral level;

Whereas a suitable application of the subsidiarity principle in this field implies the extending of training
received by young researchers in their own country by
enabling them, through traineeships made available by
the Community, to develop a research activity in a
centre of excellence situated in another Member State;

Whereas, in order to increase and improve the supply
of host opportunities, it would appear useful also to
provide for networks of associated centres of excellence
and for possibilities for access to major installations;

Whereas the JRC with its laboratories and installations
can effectively be included among those organizations
capable of playing an important role in the training
of young researchers; whereas the third Framework
Programme provides ECU 25 million intended for
activities by which the JRC will contribute to this

programme;

Whereas it is appropriate to adopt decentralized
methods of selecting candidates thereby closely associating centres of excellence with the implementation of
this action;

Whereas the Scientific and Technical Research Committee (Crest) has been consulted,

No C 174/86 Official Journal of the European Communities 16. 7. 90

HAS ADOPTED THIS DECISION:

_Article 1_

A specific research and technological development programme for the European Economic Community in the
field of human capital and mobility, as defined in Annex
I, is hereby adopted for a period of five years as from
1 January 1990.

_Article 2_

1. The Community funds estimated as necessary for
the execution of the programme under this decision
amount to ECU 518 million. This amount includes ECU
493 million for the execution of the activities approved
by the present Decision, and ECU 25 million for the
activities which the JRC will contibute to the programme and which will be subject of a separate decision
of the Council.

2. From the above sum of ECU 493 million, an
amount of ECU 4 930 000 is drawn for the centralized
action of dissemination and exploitation. The funds
thus reduced to ECU 488 070 000 include staff cost,
which may amount to a maximum of 2 %.

3. An indicative allocation of funds is set out in Annex

II.

4. If the Council takes a decision in implementation
of Article 1 (4) of Decision 90/221/Euratom, EEC, this
decision shall be adapted to take account of the aforementioned Decision.

5. The budgetary authority shall lay down the available appropriations for each financial year.

_Article 3_

Rules for the implementation of the programme are set
out in Annex III.

_Article 4_

The rate of the Community financial contribution shall
be laid down in accordance with Annex IV to Decision
90/221/Euratom, EEC.

_Article 5_

1. During 1992 the Commission shall review the programme and address a report on the results of the
review to the Council and the European Parliament,
together with proposals for any necessary changes.

2. At the end of the programme the Commission shall
assess the results obtained. It shall address a report
thereon to the Council and the European Parliament.

3. The reports shall be drawn up having regard to the
objectives set out in Annex I to this Decision and
in accordance with Article 2 (4) of Decision 90/221/
Euratom, EEC.

_Article 6_

1. The Commission shall assure the implementation
of the programme. It shall be assisted by an advisory
committee, hereinafter referred to as 'the Committee',
composed of representatives of the Member States and
chaired by a representative of the Commission.

2. A work programme shall be drawn up, and updated
where necessary, setting out the detailed objectives and
the measures to be taken, as well as the financial
arrangements to be made for them. The Commission
shall prepare calls for proposals on the basis of the
work programme.

_Article 7_

1. In the cases referred to in Article 8(1), the representative of the Commission shall submit to the Committee
a draft of the measures to be taken. The Committee
shall deliver its opinion on the draft within a time limit
which the chairman may lay down according to the
urgency of the matter. If necessary by taking a vote.

2. The opinion shall be recorded in the minutes; in
addition, each Member State shall have the right to ask
for its position to be recorded in the minutes.

3. The Commission shall take the utmost account of
the opinion delivered by the Committee. It shall inform
the Committee of the manner in which its opinion has
been taken into account.

_Article 8_

1. The procedure laid down in Article 7 shall apply
to:

— the preparation and updating of the work programmes referred to in Article 6 (2),

— the evaluation of proposals referred to in point 4 of
Annex III,

— the measures to be undertaken to evaluate the pro
gramme.

2. The Commission may consult the Committee on
any matter within the scope of the programme.

3. The Commission shall inform the Committee with

regard to:
— the progress of the programme,

16. 7. 90 Official Journal of the European Communities No C 174/87

— draft calls for proposals referred to in Article 6 (2), cerned, the Commission shall be authorized to nego,, .                              - -, r tiate, in accordance with Article 130n of the Treaty,
— accompanying measures referred to in point 2 of international agreements laying down the terms of such
Annex 111. cooperation.

Decisions on the conclusion of such agreements shall
be adopted in accordance with the procedure referred
_Article 9_ to in Article 130q (2) of the Treaty.

Where cooperation with third countries and international organizations aiming at achieving the objec- _Article lu_
tives of this programme requires legal undertakings
between the Community and the third parties con- This Decision is addressed to the Member States.

_ANNEX I_

Scientific and technical objectives and content

This specific programme fully reflects the approach embodied in the third Framework Programme in terms
of the scientific and technical goals and the underlying aims which it pursues.

Paragraph 6 of Annex II to the Framework Programme forms an integral part of the present specific

programme.

Unlike other specific programmes this programme does not pursue sectoral objectives through targeted
research; its goal is to increase qualitatively and quantitatively the human resources in research and
technological development across the board so as to satisfy the expected needs of the Member States in the
coming years. This goal will be pursued by increasing the mobility of researchers, especially those at the
postdoctoral or equivalent level, across the most advanced research centres in Europe.

More specifically, the aim is to train, through participation in high level research, about 5 000 researchers
over the five years of the programme. A close collaboration with the other Community general training
programmes and more specifically those developed by the TFHR through the Comett and Eurotecnet
programmes is assured.

Fellowships will be granted to promising young researchers enabling them to spend a period (normally two
years) in high level research centres in Community countries different from their own. In order to promote a
balanced geographical distribution of human resources, in particular cases, fellowhips may be prolonged by
one year, to allow the researchers concerned to return to their home country and there begin to exploit their
acquired skills.

A proper hosting system for fellows in high level research centres, including the Joint Research Centre of the
European Community, in networks of excellence and in special installations will be developed through the
direct involvement of scientists, technologists and research institutions.

In order to strengthen this training system, the action carried out under the Science programme will be
pursued in coordination with present new activities.

Development of a high level decentralized research training system

High level research centres, laboratories and institutions with a recognized capacity to provide an added
value to the training of guest researchers will be identified and chosen, according to the procedures outlined
in Annex III.

The chosen centres, laboratories or institutions will indicate the areas of research where they would accept
trainees, the number of trainees acceptable, and the criteria they would adopt for selecting candidates and
for monitoring their progress.

The centres, laboratories or institutions will be chosen on the basis of their scientific and technological
excellence, on the relevance of their programmes to Community policy, on their capacity to attract good
candidates and on their managerial capacity.

No C 174/88 Official Journal of the European Communities 16. 7. 90

When the novelty or complexity of a research area so requires, networks of centres of excellence linking
several centres, laboratories or institutions with complementary capacity and established in different Member
States will be created and given the task of selecting, hosting and training researchers from various Member
States, through participation in their joint research programmes.

The networks of centres of excellence will be chosen for participation in the training programmes on the
basis of the originality of their approach, scientific excellence, relevance of topic and demonstrated added
value deriving from their linkage. The chosen networks of centres of excellence will select, host and train a
defined number of researchers from various Community Member States.

Training in advanced research requiring access to unique research facilities will be pursued. Organizations
managing such facilities will be chosen on the basis of the quality, novelty, and uniqueness of the research
programme and installations to which the trainees would have access, as well as on the number and quality
of expected trainees. Special contributions to adapt, upgrade and operate the large installations for the benefit
of guest researchers can be considered in addition to the support needed to cover the stipends of the trainees
and the management costs.

Selection of the researchers participating in the training programme

According to the subsidiarity principle, efforts will concentrate on that period of a researcher's life when
participation in the research work of a high level centre abroad, or in a European network of centres of
excellence or access to a unique facility is most effective. This generally corresponds to the post-doctoral
stage. In implementing this principle the difference in the terminology and significance of academic titles and
practices in the different Member States will be taken into account. Candidates would apply for a fellowship
and be selected according to the procedures described in Annex III.

Criteria for selection will include: the curriculum vitae of the candidate, the scientific or technological interest
of the intended programme, the relevance of the chosen area, the impact on cohesion and the relative
availability of posts in the host establishment requested by the candidates.

Research areas covered by die training programme

The training programme will cover a very broad range of topics in accordance with its horizontal nature. It
will include strategic research and oriented research related to the research areas foreseen in the first five
activities mentioned in Article I of the Framework Programme as specified in its Annex II.

Coherence between the training programme and the activities carried out in the corresponding 14 specific
programmes will be assured.

Fundamental research in the exact and natural sciences, including mathematics: in agreement with the open
nature of the programme the topics to be covered will not be defined _a priori._ However, particular attention
will be given to novel emerging multidisciplinary approaches and to approaches leading to a very broad
spectrum of applications such as the science of complex non-linear systems, the structure of condensed
matter, plasmas, the interaction between extremely intense radiation and matter, molecular recognition and
self-assembling structures.

Interfaces between basic science and technological applications; including by way of example engineering
science, systems approaches, molecular and super molecular engineering, catalysis and membranes.

Networks of centres of excellence linking fundamental and applied research centres will be preferred for this
multidisciplinary approach.

Human and social sciences: this action will concern essentially training in research relevant for the promotion
of European competitiveness and performance, in particular economics, as well as the interaction between
science, technology and society.

Problems such as the understanding and acceptance of science and technology by the public and the increasing
interaction between natural science, mathematics and the human and social sciences will also be covered.

16. 7. 90 Official Journal of the European Communities No C 174/89

Scientific and technological management

Decentralization and direct involvement of the scientific community will be key principles in implementing
the programme.

The centres, laboratories, institutions, European networks of centres of excellence and large installations
chosen on the basis of the criteria outlined above will be responsible not only for the selection of the
candidates but also for the monitoring of their progress.

The Commission will be responsible for the overall management and monitoring of progress for the whole

programme.

ANNEX _II_

Indicative allocation of expenditures

Because of the horizontal nature of the actions covered by this specific programme, no breakdown by
scientific and technological area or by means of implementation is proposed.

The funding will be made available as required to finance actions and accompanying measures as outlined
in Annex HI.

_ANNEX_ _111_

Rules for implementing the programme
and activities for dissemination and exploitation of the results

1. The Commission shall implement the programme on the basis of the content described in Annex I.

2. The rules for implementing the programme, referred to in Article 3, comprise training actions and
accompanying measures.

The training actions shall be the subject of contracts, primarily for postdoctoral training, through the
distribution of fellowships and the financial support for access to the facilities of host organizations and
participation in their research.

The accompanying measures shall consist in putting to use the resources permitting good technical
execution, management and evaluation of the programme, and adequate dissemination and accessibility
of the results of the training actions, and coordination, and increasing awareness of the participants in
the programme.

3. Participants in the actions will comprise two categories:

(i) individual recipients of training grants;

(ii) institutions acting as hosts to grant recipients.

The individual grant recipients defined in (i) must be natural persons established in the Community. The
institutions defined in (ii) must be legal entities established in the Community (*), such as research
laboratories of industrial firms.

Natural or legal persons established in countries which have concluded cooperation agreements on
scientific and technical research with the Community may, on the principle of mutual benefit, participate
in the actions undertaken in the framework of this programme. Such contracting parties will not benefit
from Community financing. They will contribute to the general administrative costs.

(') For the purposes of this progamme, the European Organization for Nuclear Research (CERN), based in Geneva but with the
major part of its installations on Community territory, may be a participant in the contracts.

No C 174/90 Official Journal of the European Communities 16. 7. 90

4. The participants in the training actions shall be chosen on the basis of an annual procedure aimed at
matching host organizations with applicant researchers.

The procedure shall comprise two successive calls for proposals as cited in Article 6 (2), which will be
published in the _Official Journal of the European_ _Communities._

The first call shall be addressed to those centres of excellence willing to host researchers. It shall be
addressed to three categories of host organization:

(i) individual centres of excellence;

(ii) centres of excellence grouped to form intra-European networks linked for the purposes of a scientific
and technical theme or a scientific and technical project;

(iii) centres of excellence offering large-scale, unique research facilities.

The selection of proposals from host organizations shall be made by the Commission following consultation with the advisory committee cited in Article 6 (1).

The second call for proposals shall be primarily addressed to young researchers at a postdoctoral level to
fill positions made available following the first call outlined above in a country different from that of the
trainee. The selection shall be decentralized and carried out by the centres of excellence concerned.

The Commission's contribution shall in general represent 100% of the marginal costs of the action
(including the full fellowship costs).

In the cases outlined in (ii) and (iii) above, the Commission may provide support for adaptation of the
host organizations [1] capacity to receive extra researchers through, for example, modifications to research
equipment, traval between centres, exchange of materials, etc.

The terms given to the recipients of Community training grants shall be equal for all (allowances, mobility
expenses, social insurance), irrespective of the category of host organization.

5. The dissemination of the results of the training actions shall be carried out within the specific programme
as well as through the centralized action of dissemination and exploitation, pursuant to the Decision
referred to in the third subparagraph of Article 4 of Decision 90/221/Euratom, EEC.