Source: EURLEX
Language: en
Format: md

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 25.04.1997
COM(97) 174 final

COMMUNICATION FROM THE COMMISSION

TO THE COUNCIL AND THE EUROPEAN PARLIAMENT

_**Scientific and Technological Research - a Strategic Part**_
_**of the European Union's Development Cooperation with Developing Countries**_

**1.** **THE DEVELOPMENT PICTURE: RISING TO THE CHALLENGE** **4**

1.1 Immense challenges 4

1.2 **RTD** in the developing countries 5

**2.** **LESSONS LEARNT** **7**

2.1 Europe 7

2.2 Developing countries 9

2.3 Conclusions 10

**3. OBJECTIVES, PRINCIPLES AND SUBSTANCE OF AN OVERALL**

**STRATEGY** **11**

3.1 General principles 11

3.2 Substance of the strategy 12

3.3 Defining the partners' roles 12

**4. IMPLEMENTATION: INSTRUMENTS AND AREAS OF WORK** **14**

4.1 Two complementary instruments that should pull together 14

4.2 Areas of work 1 <»

**5. GREATER CONSISTENCY AND COMPLEMENTARITY THANKS TO**

**EFFECTIVE COORDINATION** **17**

5.1 Consistency between Community policies 18

5.2 Complementarity with the Member States 18

5.3 Political dialogue on RTD with the South 19

#### **_z/3_**

Introduction

The importance of research in helping the developing countries to meet both the global
challenge of trade liberalisation and their own specific development problems were
highlighted at the meeting of development ministers on 1st June 1995. The Council and
the Member States asked the Commission to draw up proposals on ways to step up
Community aid for developing countries in the research and technology development
(RTD) sector.

In November 1995, research ministers approved a Commission communication on the
prospects for international cooperation on RTD, which acknowledged the need to
improve coordination between development aid and research policy. [1] A communication
dealing with the specific objectives of scientific cooperation with the developing
countries was promised.

This communication is the response to these two demands.

Before drawing up any proposals, the Commission embarked on an evaluation of its
official development assistance (ODA) activities relating to RTD, and undertook a
strategic review of the whole area of science and technology for development.

To better assess its own approach and compare it with that of the Member States, the
Commission hosted a meeting with Member State experts on 3 and 4 December 1996 to
discuss development and international scientific cooperation.

It also took into consideration the proposals and recommendations of the symposium on
international RTD cooperation held on 19 November 1996, which it organized with the
European Parliament, and of the Conference "Research Partnerships for Sustainable
Development" it organized with the Dutch presidency, held in Leiden (NL) from 11 to
13 March 1997.

1 Perspectives for international cooperation in research and technological development, COM(95) 489.
N.B. RDT cooperation including research activities, technological development and demonstration.

**1.** **THE DEVELOPMENT PICTURE: RISING** **TO** **THE** CHALLENGE

Developing countries constitute a non-homogenous group with varying economic
conditions. Even those which enjoy rapid economic growth in certain sectors,
remain confronted by problems of sustainable development and chronic poverty.,
These countries, especially the least developed among them, are faced with serious
difficulties, some of which stem from their own specific constraints and some of
which are world-wide phenomena.

**1.1** **Immense challenges**
The developing countries are facing three main type of challenges.

(i) Problems of society, which mainly concern the participation of civil
society in decision-making and the choices affecting it. The access citizens
have to information and knowledge conditions progress towards democracy
and the rule of law, themselves crucial for the emergence of a modern
economy and society, which is one of the overall objectives of the
Community's development policy.

(ii) Those concerning the capacity of these countries to improve people's
standards of living in terms of food, health, housing and education. These
are legitimate basic needs and satisfying them is a world-wide challenge
because there cannot be progress in managing the global environment nor in
political stability while more than half the world's population is living
precariously and unable to manage sustainably the resources it uses.

Major international conferences, from Rio to the World Food Summit, have
looked at the global challenges posed by these problems and outlined
policies to tackle them. For the EU, the aims of poverty-alleviation and
supporting sustainable development are a contribution to this effort.

(iii) Those concerning the ability of developing countries to seize the new
opportunities arising from the globalization of trade and the move towards
more transparent economic competition, not only in the agriculture and
agro-industry sector, but also in other relevant sectors.

Globalization is also affecting knowledge and technological know-how. If
these countries are to gain easy and speedy access to various sources of
scientific and technological information, they will have to greatly increase
investment to allow them to make the necessary technological advances. It
is widely acknowledged that countries without access to know-how and
unable to master these constantly evolving technologies will lose out in the
course of globalization. [2 ]

IS AD, Midrands (SouUi Africa), May 1996.

1.2 RTD in the developing countries

For all countries RTD is an ever more crucial tool of economic, social and
cultural development, nourishing as it does a spirit of scientific inquiry and a
culture of innovation that societies need to understand and master change.
Economists recognise that a growing comparative advantage accrues to
societies which are knowledge-based, and that others risk rapid
marginalisation..

Most developing countries, especially the poorest among them, have lagged
so far behind in this field that they cannot hope to join tomorrow's world
without considerable scientific and technological investment. There do
exist, however, niches of scientific excellence on which they can draw.
Further more, local economic actors have an increased awareness of the
demands of globalization and of the necessity of developing technological
partners in order to take part in the ongoing process.

_1.2.1 RTD investment not up to the challenge_
The low interest and even suspicion, harboured by many developing country
governments about science and technology, plus the burden of debt and
structural adjustment constraints, have combined to push RTD to the bottom
of their list of priorities. In many countries investment has remained
structurally weak and has in some cases declined over the last decade.

The figures speak for themselves. The share of GDP allocated to RTD
ranges from 2.8% in Japan and the US to next to nothing in some countries
in the South. On average, developing countries (other than emerging
economies) devote 0.5% of GDP to it. [3]      

The EU spends an average of 2% and, with a view to convergence, is aiming
to bring about a rapid increase in the countries devoting less than this

average.

The figures for human resources are even more striking. The EU has 40
researchers/R&D personnel per 10,000 of the active population, whereas the
number is 0.5 for the developing world, excluding Asia. [4] Furthermore,
researchers who remain at, or return, home often find themselves without
the means to do high quality research.

Box 1: human RTD potential in different countries

In 1991 the figures for researchers/R&D personnel per 10,000, activé j
persons were: 7$ in Japan, 69 in the US, 40 _m_ the EU a between _2_ and _6_
(estimated) in India and China and less than 0.5 in the (non-Asian)
developing world.

3 Sources: MERIT, EUR 5897 EN Report and UNESCO 1994 Year Book.
4 India and China are investing in training and have ratios of 4 to 6/10 000.

RTD investment in the South also comes largely (exclusively in the case of
the least-developed countries) from the public purse, which, because public
spending in most of these countries is low and unpredictable, reduces its
effectiveness and long-term impact.

In many developing countries research has not been sufficient to make a real
contribution to understanding, solving or predicting of economic, social or
political problems, or above all to help anticipate obstacles.

However, there are capacities which can provide economic relay
mechanisms, and also developing country partners with comparative
advantages to exploit them.

**/.** _**2.2**_ _**Insufficient**_ _**capacity for speedy**_ _**improvement**_
Research capacity in the South is insufficient to tackle a wide range of
problems and has remained confined to a few sectors (often as not
agriculture) and a few disciplines (biological and physical sciences). Even
in these cases, efforts are often too fragmented and too isolated to make any
real impact. However, certain countries (China, India and South Africa, for
example) or regional groupings in Asia and Latin America are exceptions.

It is worth highlighting the main weaknesses without going into excessive
detail.

The first is the lacuna in the field of economics and social and political
sciences, something which is also true of countries with an otherwise
considerable RTD potential. This lack reduces these countries' capacity to
diagnose problems, formulate future scenarios and establish the public
debate which is indispensable for any participatory and democratic process.

A second major deficiency is in the engineering sciences leading to shortage
of engineers and technicians and, more generally, to a limited technological
culture, which in turn causes continuing dependence on external assistance.
The provision of opportunities for appropriate forms of cooperation can
contribute to limiting this deficiency, as certain recently established bilateral
cooperation activities have shown.

These first two weaknesses are closely linked to the often dramatic situation
of many universities in Southern countries.

Furthermore, ignoring or even rejecting traditional forms of knowledge in
the scientific approach taken has often led to opposition between the old
ways and modern technology, the new replacing the old instead of
complementing it. The cause, partially at least, is a cooperation that has
focused on a "science transfer" approach rather than "aid for science".

Even in the more advanced developing countries, there is a division between
research and industry, which diminishes the economic impact of scientific
findings.

RTD investment in economic and social sectors for the purpose of
responding to and anticipating developments through detailed planning is all
too rare. Urbanization is an example of this failure to anticipate events.

2. LESSONS OF THE PAST

**2.1** **Europe**

The Community's contribution to RTD has been made, on the one hand,
under the international cooperation component of the research and
technological development framework programme and, on the other,
through ODA. The conception and implementation of the two, however,
have tended to remain quite separate.

_2.1.1_ _Significant scientific cooperation confined to_ _a_ _few areas_
Since 1982, the implementation of scientific cooperation with the
developing countries in the Framework Programme has been mainly
implemented as a thematic approach (STD [5] followed by INCO-DC [6] )
addressing all developing countries in the same time. They did, however,
only cover those development issues common to all: sustainable
management of natural resources, agriculture and health.

**BOX** 3

**111111111111111111111** **M** **i.;** **111111,**
STD 2
(1987-91)

STD 3
(1991-94)

STD 2 STD 3 INCO-DC (1994-98)
(1987-91) (1991-94)
### • ^ H H I ECU 42 m ECU 85 m ECU 125 m ECU 247 m

### M ijii n 1.1.1,1.41 i l a H il WAWAW u 1.6 1.9 1.9

Agri Health Agri Health Agri Health Nacres. Agri Health Other
**P I I » » ! !** 75 25 70 ' 30 65 35 30 30 30 10

partial(*)

1940: 2527 2030 1068

|||a&&éf 411 339 297 132

**l l . l . l l l l l l l l l l l l l l l l l l l l l l l l l l l l**
§llili»ttfeer
_{mm_

DC EU

DC

EU
nd.

DC EU

585 305

303

327 787

303 327 787 585 305 303

(*) 1st of three calls for proposals

Until 1994 this programme was supplemented, for non-ACP countries and
outside the Framework Programme, by the International Scientific
Cooperation initiative (ISC), which offered a more individualized approach,
and covered themes other than those concerning development. For the
period 1991-1994, the amount spent on this initiative represented a
Community contribution of 103 million ECU.

Science and Technology for Development.
International Cooperation with the Developing Countries.

The evaluations made of these various actions have been largely favourable,
emphasizing the relevance of the themes chosen and the extensive
mobilization of research teams in the EU and partner countries in the South.

From the developing countries' point of view, they highlight the fact that
these programmes have kept the best research teams in the developing world
in contact with the international scientific community. The scientific gains
have been substantial and they have often made a real contribution to
understanding and solving the development problems of the countries and
regions concerned.

From the EU's point of view, the programme has offered European
scientists the chance to work on problems linked to biological and physical
environments different to those in Europe, so broadening their professional
experience. In turn, this has built-up knowledge of development problems
that is needed to improve sectoral development policies.

The verdict is thus satisfactory and continuation of this work meets the
needs of both the EU and the developing countries. However, some
shortcomings have been identified.

The main one is the lack of any strategic framework for this work. As a
result, in the EU there is little synergy between scientific cooperation actions
and development aid projects. In the developing countries the programme
has had a low profile and limited legitimacy arising from difficulties in
really involving their political leaders in prior consultations on objectives,
priorities, selection criteria, monitoring and evaluation.

Other weaknesses concern the frequent asymmetry in the partnership, to the
detriment of the partners in the South; the fact that cooperation is confined
to three areas, mainly for budget reasons (2% of the Community research
budget); the difficulty of establishing clear geographical priorities;
insufficient private-sector involvement (especially industry) and
dissemination of the findings linked in part to inadequate opportunities and
modalities in the Framework Programme.

The disappearance of the flexible formula provided by ISC, which also
offered fellowships, has undoubtedly heightened the dissatisfaction felt by
the emerging countries in particular. It has not been compensated by the
opening to these countries of certain specific programmes (action 1 of the
4th Framework Programme) because even the most technologically
advanced among them were unable in reality to take part in the absence of
proper preparation for such participation.

_2.1.2_ _Official development assistance, without adequate long term vision_
_has given insufficient attention to RTD_
The amount of Community ODA invested in RTD has remained very low
and operations have been disparate in nature with no common thread.

Box 3: some findings of an inventory of RTD activities under the European
Development Fund

An inventory of the _6th_ and 7th EDFs identified 166 research projects, or development projects with an
RTD component, that accoaut&l for spetidw^ _tâ_ ECU 13$ ifcMoicu _Ot_ these» 57 _vme tegfawl_ (50%
research) and 109 national (ïô% research projects and the rest projects with an RTD component).

The sectoral breakdown is:

          - Eçgionai, National
Agriculture 21, _4&,_ _."_
livestock 10 ' ' _,_ _9_ _. •_
###### **Forestry 5 * - Wy \- \ ' . . -**

uatnral resources,
FisJbejtïôS 8 - 4 .,
Other sectors (mining, industry, health and institution building) account for the retraining 19 projects,
Thte sectoral approach developed for transport _im_ revealed « need for M B input, _v,<M<&_ _mli_ &e done I»
&ture +
Hie aiaia fadings are:

- «0% of projects are designed io offer "immediate solutions'* (îniproved plant varieties, etc.) without
_my_ cotnponent to Smild _up_ focal research capacity;
— most projects call _GO._ external scientific expertise;
-+ fewer thai* 5% of agricultural researdi project coyer ecottoiafe aspects,

There has also been a marked tendency to look for short-term, "technical"
answers to specific problems ("consultancy firm approach") without placing
the actions undertaken in an institutional research context. The evaluation

also points to the heavy dependence on external scientific and technical
expertise, which does not allow local research capacity to build up.

Although significant regional programmes for agricultural research have
been mounted under the EDF and interesting programmes such as ALFA
(university cooperation in Latin America) and MED-CAMPUS
(Mediterranean) have been created, ODA has not given RTD the attention it
merits as a strategic element of sustainable development. Technology
transfers have been preferred over aid to generate technological innovation
locally.

To sum up, despite individual projects of high quality, especially in
agricultural research, the evaluation of RTD projects has highlighted a lack
of overall strategy. However, the place given to research in the new
Community food security policy is a welcome recent development.

2.2 Developing countries

Over the last thirty years the newly industrializing countries of Asia have
steadily both increased and diversified their financing of RTD so that it now
stands at some 1.8% of GDP. The developing world as a whole could only
manage a rise from 0.35% to 0.50% on average, and some sub-Saharan
countries even fell back.

**Box 4: contrasting trends in different groups of countries**

**Annual growth in RTD** **spending**
**itt** **three** **key sectors** **over** **(he period** **1983-90**

_**University research**_
### Hi v

**+13**%**

##### • M i

**dynamic** **Asian** **+23,6%**

**j&evetooing** _**W8BSËL**_
**countries**

**+14*1%**

*** * J %**

Box 4 illustrates the coherent effort undertaken by the Dynamic Asian
economies for creating knowledge continua on which they base their
technological development. The differences in these figures highlight the
existence of two development strategies, one based on innovation and the
other merely exploiting existing means.

Specialized research centres have seen their operating budgets slashed to
levels at which they can no longer function properly. Some national
agricultural research centres, for instance, have no operating budget other
than external project aid, which means that their "cycles" of work are
governed successive project cycles, with periods of practically no activity in
between.

Universities are undoubtedly in the most critical state, their research role
dwindling in importance, which also weakens their educational role.
Instead, training of researchers is sought in the universities of the developed
world, which widens the gap still further.

The civil society starting to emerge in the developing countries, has only
rarely been involved in the choice of research priorities, with the result that
the priorities are perceived as "academic" and without obvious practical use.
Furthermore, the way in which results are disseminated, has made only a
very limited contribution to the development of any "national" technological
culture.

Recently, there have been some positive experiences, often based on actions
involving both South-South regional cooperation and North-South
cooperation in combination. Notably, at the international level in
agricultural research, with the emergence of a global research system or the
regional experiences acquired from cooperation undertaken by the EU and
by certain Members states.

2.3 Conclusions

The main lessons learnt are:

**10**

      - Most activities suffered from a low political profile and a lack of dialogue
on sectoral policy upstream of the action. From this situation there
results, in part, an absence of adequate methodology for allowing a real
association of researchers and entrepreneurs with RTD in developing
countries.

      - ODA operations:

        - with rare exceptions neither the donors nor the countries themselves
had any clear vision of the key role that RTD could play in supporting
sustainable development policy and consequently the level of
investment allocated to it was quite inadequate;

        - the failure to consider institutional aspects reduced the impact of
dispersed actions;

      - Scientific cooperation:

        - despite some excellent work, the lack of an appropriate political
framework, an unequal partnership disadvantaging the South, the
absence of specific mechanisms for valorising results and the limited
number of research areas have muted its impact on development.

The new strategy must take on board these lessons and define a coherent
overall framework to articulate its various elements and coordinate the

actions undertaken.

3. OBJECTIVES, PRINCIPLES AND SUBSTANCE OF AN OVERALL STRATEGY

The complexity, scale and urgency of the challenges of development call for new
solutions that can only be found through a major research effort.

The overall objective is to use RTD for development as a strategic tool to help the
developing countries, within an acceptable timescale and at a reasonable cost,
narrow the growing technological gap between themselves and the industrialised
countries that is marginalising them in world trade.

To do this, a proper strategy of support for RTD has to be drawn up which allows
the coordinated mobilisation of efforts of the European Union and the developing
countries themselves.

3.1 General principles

The strategy will be based on the following principles:

Partnership will be the guiding principle of the whole strategy for both the
joint definition of priorities and the implementation of EU actions. This
principle is especially important in RTD because of the need to enter into
long-term reciprocal undertakings.

Differentiation is a principle that complements partnership, the aim being
to take account of the diversity of needs and cooperation arrangements in
individual countries and regions resulting from their economic, social and
cultural circumstances. It is already enshrined in the new international

**11**

scientific cooperation policy [7] and is a new element in the thinking on
"post-Lomé" cooperation set out in the Green Paper.

This principle should help to increase the efficiency of RTD cooperation, to
give it more legitimacy and political profile. It should also guarantee that, as
well as the general objective assigned to RTD cooperation, a specific
objective should be carefully defined for each of the instruments concerned.

**An integrated approach to solving specific problems,** based on
clarification of the respective roles of the production of scientific
knowledge, on the one hand, and the generation or transfer of technologies,
on the other. It will entail a great deal of interdisciplinary collaboration and
close liaison with those involved in civil society and various socio-economic

groups.

3.2 Substance of the strategy

Development of an RTD policy will call for coordinated action on three
different fronts:

(i) **institutional:** the formulation of RTD policies as well as the
taking of legislative and regulatory decisions necessary for
creating a propitious environment for the development and impact
of RTD, especially those aimed at facilitating the involvement of
the private sector. Action here is a prerequisite for any type of
support since it affects effectiveness and viability other activities;

(ii) research capacity: this refers, in particular, to the infrastructure,
human resources, etc. needed to meet the needs of society and the
economy, and constitutes a new priority since it will be the basis
for the partnership that will take the place of "scientific and
technical assistance".

(iii) **scientific and technical** cooperation: this provides contact with
the outside world and is necessary to ensure access to external
knowledge bases and for strengthening scientific excellence.
Current reflections on technological innovation should lead to the
development of appropriate methodologies for "market-oriented"
cooperation.

Because of the interaction between all parts of this strategy, coordination is
vital, to ensure coherence.

3.3 Defining the roles of the various actors

To make this partnership work, the role of those involved at various levels
and at different stages needs to be spelled out clearly.

[COM(95 489] Perspectives for international research and technological development cooperation.

**12**

_3.3.1_ _Public authorities in the developing countries_
Their main role is to formulate and' implement a domestic policy to
encourage investment in technology (i.e. regulations concerning intellectual
property rights, telecommunications, etc.) and to plan and finance efforts in
the public sector, preferably in association with private investments when
this is viable. As the regulatory framework falls into place, regional
cooperation will be facilitated.

The EU will have to adapt its own position on these issues and specify the
conditions attached to its interventions under the Lomé Convention, and the
ALA and MEDA Regulations.

States are also involved in RTD themselves; this role is more significant in
the least-developed countries, where publicly financed research has a
proportionately more important role than in more developed countries.

Public efforts should focus on strategic research, science-related training and
encouraging interaction between public and private research and relations
with users under mobilizing national programmes. The choices made should
be consistent with a long-term financing commitment.

_3.3.2_ _European_ _donors_
On the basis of these common principles, the EU will enter into dialogue
with its partners in the South with the aim of achieving agreement on the
principles and priorities for action.

The Commission should focus on (cf. chap. 4 below):

- establishing or strengthening the basis of political dialogue on RTD, in
liaison with Member States;

- support for institutional reforms at both national and regional levels
(facilitating cooperation and the establishment of priorities, for example);

- stepping up scientific cooperation and technological innovation at
national, regional and international levels;

- better coordination of the EU's positions in the relevant international fora
(WHO, UNCTAD, the World Bank, the Consultative Group on
International Agricultural Research (CGIAR), the Global Forum on
agricultural research, etc.).

In the spirit of strengthening complementarity, the Member States could
focus, as they often already do, on bilateral cooperation actions concerning
scientific and technical capacity building which tackle national scientific and
technological requirements.

_3.3.3_ _Civil society and_ _the_ _private sector_
All actors in civil society and the private sector, whether producers or
consumers of knowledge and technology, should play an active part in the
establishment of priorities and the implementation of research actions. As
from now they should also provide, directly or indirectly, a larger share of

**13**

RTD financing, and organize themselves for the purpose of identifying their
problems and needs.

In Europe, the mobilization of public and private expertise should be
encouraged with a view to developing innovatory forms of scientific and
technological partnerships on the basis of jointly agreed EU-developing
country priorities. A prerequisite for this is that the potential partners get
organized to coordinate cooperation possibilities. Examples of such
coordination are the SHARED initiatives in the field of health research, and
ECART and NATURA covering higher education and agricultural research. [8 ]

**4.** **IMPLEMENTATION: INSTRUMENTS AND AREAS** **OF** **WORK**

The proposed strategy constitutes a qualitative leap forward in comparison to
previous practices and is based on the principle of scientific and technological
"mainstreaming", the aim of which is to take account of scientific and technical
aspects in the preparation of cooperation programmes, which, if done
systematically, will radically change attitudes to RTD among both donors and
recipients.

**4.1** **Two complementary instruments that should** **pull** together

Two instruments exist for Community cooperation with developing
countries in the field of RTD:

      - economic and technical assistance operations to achieve external policy
objectives that are implemented under a number of different financial
instruments (the Lomé Convention, the ALA and MEDA Regulations,
etc.) that are specific to particular regions;

      - international scientific cooperation actions in pursuit of Community
research objectives which are managed under the RTD framework

programme.

These operations should correspond to the specific objectives of each
instrument and also be consistent in terms of general principles with the
overall strategic objective.

_4.1.1_ _Enhancing the role of RTD in EU economic and social cooperation_
RTD should now assume a much more important place in EU cooperation,
to be achieved in two ways:

      - substantial financial support for institution building and strengthening
research capacities (including rehabilitation of universities);

      - "mainstreaming", meaning that an RTD component is included in focal
sectors of programming and which could be lead to a proportion of the

SHARED = Scientists for Health and Research for Development.
ECART = European Consortium for Agricultural Research for the Tropics.
NATURA = Network of European Agricultural Universities and Scientific Complexes Related with
Agricultural Development.

**14**

funds (possibly 3% to 5%) being devoted to science and technology
actions.

The adoption of these objectives will send a strong signal to the developing
countries and encourage them to enter into dialogue on RTD.

Actions for supporting RTD capacities will vary in nature depending on the
country or region concerned. The Community will be particularly interested
in regional actions since it has suitable financial instruments and
acknowledged experience at that level.

Differing priorities may emerge from the policy dialogues with different
regions as a result of the level of development of the countries concerned
and the EU's objectives. Some areas, however, would seem to be of
common interest to all countries.

_4.1.2_ _Consolidation and diversification of science and_ _technology_
_cooperation with the developing countries_
S&T cooperation with the developing countries comes under the
international scientific cooperation policy and as such must be of mutual
interest. It should also underpin development and economic cooperation
with these countries and be an integral part of the new strategy.

The Fifth Framework Programme, currently being drawn up, should contain
a specific action covering themes relating to development issues, enabling
scientists of Europe and the developing world to work together on true
research projects, and associating young scientists by an appropriate
fellowship mechanism. The programme should be drawn up taking account
of the lessons learnt and in accordance with the objectives and principles of
the new overall strategy. This will give it a legitimacy and profile that have
been limited up to now.

The strengthening of the institutional framework and research capacities in
the South will help to bring about a more balanced and enduring partnership.

Concertation with the public authorities and civil society will ensure better
identification of regional priorities and strengthen the impact and use made
of the results.

To complement the thematic approach embracing all developing countries,
more flexibility is needed in cooperation so that the individual needs of
countries and regions are taken into account. Special arrangements will be
needed, particularly in respect of the emerging economies, to prepare and
facilitate their participation in the vertical thematic programmes of the 5th
Framework Programme. [9 ]

[COM(96) 344] Promoting RTD cooperation with the world's emerging economies (communication
for the Mediterranean currently being drafted).

**15**

The financial allocation for S&T cooperation with the developing countries
must be sufficient to accommodate this double-pronged approach and be
coherent with other instruments used to achieve the objectives of this overall
strategy.

**4.2** **Areas of work**

Application of the principle of partnership will entail joint decision-making
concerning the areas to be covered by the EU and its partners, taking into
account cultural differences. This means that the EU must clearly establish
its own priorities before entering into serious dialogue with its partners.

These priorities should be established by the EU, in accordance with the
following criteria:

      - the key political and cultural objectives, such as the provisions on
development cooperation of the Treaty on European Union;

      - the likelihood of speedy impact on development and/or on integration
into the world economy;

      - the existence of European scientific know-how that could be sustained or
developed through scientific cooperation;

      - commercial potential to be realised (communications technologies, some
spheres of industrial complementarity, etc.) and strengthening the
presence of economic actors in expanding and competitive markets;

       - the need to gain access to physical, biological or social environments that
is essential for the progress of knowledge and of use to Europe itself.

These criteria will help identify the right priorities to meet the challenges
faced.

Without being exhaustive, a number of priorities may be cited that satisfy
these criteria in the main sectors concerned by development cooperation,
implementation of which will involve one or both Community instruments.

**•** _**Management of natural resources and**_ _**agriculture,**_ _**fisheries and agro-**_
_industry._ These are areas where there are existing partnerships that can
be reinforced and where two major challenges have to be met: the
sustainability of development and food security. Adaptation to
local/regional (urban) demand and to the international market will be a
key objective of the actions chosen and might concern primarily:

            - at the institutional level, support for (sub)regional cooperation
mechanisms to be built up in the framework of the global system
of agricultural research for development; [10 ]

            - at the operational level, priority for supporting regional

programmes;

10 National agricultural research systems (NARS) have grouped themselves together in regional forums
(FARA for sub-Saharan Africa, LAC for Latin America and the Caribbean, APAARI for Asia and
the Pacific and AARINENA for North Africa and the Middle East). Two of these forums are related
to regional subregional associations: CORAF, ASARECA and SACCAR in Africa, and PROCCls for
Latin America.

**16**

            - at the operational level, priority for supporting regional

programmes;

            - for S&T cooperation, greater focus on subjects likely to have real
impact and mobilize the private sector.

        - _Health_ is a sector where aid is increasing. Biomedical research remains
urgent (less than _2%_ of research done concerns tropical diseases!) and
should be supplemented by fresh efforts on the public health front.

        - _Demography and population_ issues linked to urbanization and land-use
problems, as well as related problems such as transport and mobility,
must have greater prominence than in the past.

        - _Energy_ matters are crucial for any prospect of sustainable development in
the developing countries and must find its rightful place in development
cooperation.

        - _Information and communications_ must underpin any development policy
nowadays [11] . They play a central role in RTD in allowing the connection
of researchers to networks, and in reducing the effects of dispersion of
teams. Technology cooperation actions will derive from proposals made
pursuant to the draft communication on "the information society and
development".
Cooperation at a pre-competitive level in other technological and preindustrial domains (including information and communication technologies
and energy) will take place where there is mutual interest. Mechanisms for
Community cooperation should take into account the interests of European
industry, whose participation should be encouraged, in particular in regard
to countries or regions with strong growth. These mechanisms should fmd a
satisfactory balance between efficiency and visibility and its modalities
should be accordingly defined.

The Community should provide support to local research institutions and
on-the-spot training in research as a cross-cutting priority. Another is to
revive the role of universities as producers and transmitters of knowledge,
especially in the least-developed countries, where the situation is dramatic.
The conclusion of long-term contractual relationships between universities
of Europe and the developing world and their economic partners, on the one
hand, and contributing to strengthening South-South links between
universities, on the other, are of major political importance for the EU. They
allow the development of cultural links with the South while at the same
time controlling the number and duration of stays made by postgraduates
and trainee researchers in Europe. This can also contribute to maintaining
or re-settling doctoral students and researchers in their home countries after
training overseas.

**5.** **GREATER** **COHERENCE** **AND** **COMPLEMENTARITY** **THROUGH** **EFFECTIVE**

**COORDINATION**

The proposed strategy must be implemented in accordance with the provisions of
the Treaty in respect of coherence and complementarity.

**11** cf. COM "Information society and development" in preparation.

**17**

**5.1** **Coherence between Community policies**

By setting a common overall objective and complementary actions based on
priorities agreed with the countries concerned, the strategy provides a
coherent framework for both the external policies and the research policy
with the developing countries.

Its implementation will call for ongoing coordination between departments.
The Commission has already started to do this during implementation of the
fourth Framework Programme and preparations for the fifth by organizing
consultations between the departments involved on the international side.
These efforts have to be extended and put on a more permanent footing.

To be really effective, internal coordination will have to stepped up and
doubtless take on a more institutionalized form with clear terms of

reference. One possibility is a scientific "forward planning unit".

The recruitment of more RTD skills at Commission headquarters would
make for more efficient coordination.

**5.2** **Complementarity with the Member States**

The strategy is based on a complementarity of operations undertaken by the
Commission and the Member States, both internationally and in the
developing countries. This supposes that the Member States have also taken
action to increase coherence of the various RTD steps they are conducting
with developing countries.

The effectiveness and visibility of the EU will emerge strengthened from
this.

In this context, the European Initiative on Agricultural Research for
Development (EIARD) [12] is a coordination mechanism that, among other
things, has made the EU's contribution to CGIAR more visible (the
Commission and the Member States combined provide 40% of its budget)
and raised the European profile. This coordination effort must continue.

Mechanism of a similar type to coordinate the EU's international
contribution in other areas (e.g. health) should also be considered.

The complementarity vis-à-vis Southern countries starts with more
transparent and better structured exchanges of information. The INCO-POL
study is a good example. [13] The Commission proposes to set up this type of
coordination in some regions designated strategic by the Council.

12 There is a Communication [COM(97)126] reporting on this initiative
13 INCO-POL is a study financed by tlie Commission (and agreed by tlie Member States) to make an
inventory by region of the Member States' policies on aid for research.

**18**

**5.3** **Political dialogue on RTD with the South**

**The choice of** **such** **an integrated overall approach calls for political dialogue**
**with the developing countries, in coordination with the Member States, to**
**establish a framework for action at regional and national levels which is**
**coherent within the overall scope of European Union external relations.**

**The Commission proposes to help conduct this political dialogue, which**
**should** **establish** **a common coherent framework for Community RTD**
**activity and a basis for bringing about greater complementarity with the**
**Member States.**

**The experience of the** **Euro-Mediterranean** **scientific partnership, both in its**
**achievements and in its limits, provides a useful starting point which might**
**be adopted for other regions in the South.**

**19**

Conclusions

In view of the complexity, scale and urgency of the challenges facing us, the
Commission underlines the strategic role that RTD has to play in promoting
sustainable development in the developing countries and achieving the
Community's development cooperation objectives.

The lessons learnt show that only a comprehensive approach based on aid
for science can ensure a coherent and effective implementation of both
development and research policies.

The Commission regards the drafting of the fifth Framework-Programme,
and the debate opened by the Green Paper on the future of cooperation with
the ACP States, as two crucial opportunities for putting into practice what
has been learnt.

It proposes that RTD now be systematically taken into account in sectoral
approaches.

It underlines the need to consolidate specific scientific and technological
cooperation activities for development within the international cooperation
component of the Fifth Framework Programme to make them an integral
part of this strategy. In addition, it also underlines the interest in
implementing measures which permit improved access of "emerging
economies" countries to the Framework Programme,- -and to develop
scientific and technological cooperation actions which facilitate access of
European enterprises to rapidly growing markets

Finally, the Commission proposes that political dialogue in this strategic
sector be strengthened, in coordination with the Member States, with a view
to establishing a true partnership with the countries and regions concerned.

**20**

ISSN 0254-1475

## COM(97) 174 final

# **DOCUMENTS**

#### EN 11 15 Catalogue number : CB-CO-97-163-EN-C ISBN 92-78-18770-4

Office for Official Publications of the European Communities

L-2985 Luxembourg

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