Source: EURLEX
Language: en
Format: md

**COMMISSION OF THE EUROPEAN COMMUNITIES**

**Brussels, 18.10.1995**
**COM(95)489** **final**

**COMMUNICATION FROM THE COMMISSION**

**PERSPECTIVES FOR INTERNATIONAL** **COOPERATION**

**IN** **RESEARCH AND TECHNOLOGICAL DEVELOPMENT**

CONTENTS:

SUMMARY Ill

**1.** **Introduction** **1**

**2.** **Changes and challenges** 2
2.1. The new international context 2
2.2. Changes in the conditions of RTD 3
2.3. Global problems of the 21st century 4

**3.** **Objectives, guiding principles and goals** 5
3.1 Guiding principles 5
3.2 Specific goals 5

**4.** **Instruments available** **8**

**5.** **Priorities for a proximity policy** **9**

**6.** **Eight Actions** 9

6.1 The research-industry dialogue 9

6.2 Strengthening the external dimension in RTD policy 9

6.3 Promotion of RTD cooperation in global initiatives 10

6.4 Priorities adapted to the needs of the least advanced countries 10

6.5 Better communication with third countries 10

6.6 The use of other European Union funds for RTD 10

6.7 A new Mediterranean initiative 10

6.8 Support for the pre-accession phase for Central and Eastern Europe 10

**1<\**

ANNEX: 11

INTERNATIONAL COOPERATION IN RTD:

THE COMPLEMENTARITY OF APPROACHES AND THE POLICIES TOWARDS REGIONS

**I.** **Approaches** 11

A. Global approach: Increasing competitiveness through S&T cooperation 11

B. Regional approach: Means for targeted improvements in S&T 12

C. Bilateral approach: Shaping particular S&T relations 12

D. The multilateral approach: Selected S&T participation 13

E. Coherence and complementarity with other EU policies 13

F. Coordination with Member States and other European Cooperation Fora 14

G. Monitoring and evaluation 15

**II.** **The Union's perspectives for S&T cooperation with its partners** 15

A. Europe and her neighbours 15
A.l. Central Europe and the Baltic states 16
A.2. New Independent States 17
A.3. The Mediterranean Partner Countries . 18

B. Highly industrialized countries 19

C. Developing countries 20

D. Emerging economies - NICs 21

E. International organizations and intergovernmental associations 22

ABBREVIATIONS 23

_**lb**_

**SUMMARY**

This Communication of the Commission outlines the general orientation for international
science cooperation policies for the years to come. The last Communication on this subject
was issued in 1990. Since that time important developments have taken place. These include:

    - the Community's new framework established with the Treaty on European Union,

    - the developments in international relations, and

    - the changing conditions of research policies in the international context.

The rapid geo-political changes of the past can be summarized by the disappearance of
previous divisions characterized by the collapse of communism and the rapid industrial
emergence of several developing countries. In this situation, the EU has an increased
responsibility to ensure a stable environment in a wider Europe. Science cooperation, in this
respect, is one important element. It will, in particular, help upgrade the economic potential
for the mutual benefit of all partners.

The decentralisation of research activities is facilitated by the new technologies, and increases
the possibility of meaningful long distance cooperation. With the trade liberalisation, the
pressure for competitiveness is growing. Europeans fear losses towards low wage economies
which could have severe consequences for employment. Emerging markets, on the other hand,
offer new opportunities. Thus, the key task for future policies in international RTD is to
establish a beneficial balance between cooperation and competition. Worldwide cooperation
in S&T, sharing risks and efforts, is also necessary to meet the great challenges of the 21st
century.

The overall goals and principles, the European Union should pursue in international
cooperation in science and technological development are:

- **strengthen European competitiveness and develop technologies for future markets**

***** **develop partnership in S&T with the neighbours of the** EU

- share **responsibility and conduct RTD on major problems of the 21 century**
***** **promote RTD to foster sustainable economic growth for developing countries**
***** **share S&T information and contribute to large scale and frontier science and**
**technology**

These goals are to be achieved by following complementary approaches for RTD cooperation:

- a global **approach** for individual FP participation to advance the EU's competitiveness

- a **regional** approach as means for targeted improvements in S&T in selected regions,

 - a bilateral approach to shape science and technology relations with particular countries,

 - a **multilateral approach** for Community science and technology endeavour at world level.

### **_ic_**

**These approaches are strengthened** **by:** **coherence** **and** **complementarity with other EU policies,**
**an increased coordination with Member States and**
**a close monitoring and evaluation of the evolution of the success of these approaches.**

**There will be particular emphasis on short and medium term actions:**

**1.** **Increasing industrial involvement in international science and technology cooperation.**
**2.** **Strengthening the external dimension in RTD policy**
**3.** **Promoting cooperation in global initiatives**
**4.** **Responding to needs of least advanced countries**
**5. Strengthening the role of the Community delegations in the international RTD cooperation.**
**6. Using external EU funds for RTD**
**7.** **Additional** **funding - for the Mediterranean region from the revised 4th FP, and**
**8.for Central and Eastern Europe to support the pre-adhesion phase, as well as to encourage**
**nuclear safety research, from the revised 4th FP and the EURATOM** **FP«** **resources.**

## **_U_**

**P E R S P E C T I V E S** **F O R** **I N T E R N A T I O N A L** **C O O P E R A T I O N**

IN RESEARCH, TECHNOLOGICAL DEVELOPMENT

1. Introduction

The European Union's international scientific relations have developed considerably in recent
years as part of a rapid response to extensive external pressure resulting from major upheavals
affecting its geographical environment, the globalisation of the economy and the emerging
information society.

International research and technology cooperation policy in general, is first and foremost an
integral part of the Union's research and technological development policy. It must therefore
seek to strengthen the competitiveness of the European economy, and its position in
international trade, and help to create jobs within the Union. To this end, it must play a full
part in supporting the ability of firms in the Union to innovate, strengthen the Union's
scientific and technical base and develop European possibilities to monitor technology
opportunities with third countries. On the other hand, as it is the custom in cooperation
policies, it must take full account of the needs and priorities of the cooperating partners. The
international RTD cooperation policy will therefore be conceived for the mutual benefit of
both parties.

As immediate responses outside the 3rd Framework Programme (FP) the European Union
with strong support of the European Parliament had launched new ad-hoc activities' of
research and technology cooperation with partners in Central and Eastern Europe, in
developing countries and in emerging economies. They altogether were integrated as a specific
international cooperation programme (INCO) of the 4th Framework Programme. Moreover,
a selective opening of other specific research programmes was decided [2] and bilateral
cooperation agreements in Science and Technology were concluded. At the same time,
scientific and technological cooperation developed into an important factor within the different
instruments of external policy. While it is premature to have a detailed stocktaking of
cooperation activities, given that the activities of the 4th Framework Programme are only
beginning, there is a need to map out a clear and precise framework for action in the years
ahead.

Research and technological development investments today are increasingly exploited in a
wider international context. The activities of international cooperation within the 4th
Framework Programme have therefore been extended and diversified. However, the financial
resources for international cooperation in the 4th Framework Programme, have been
substantially reduced compared to previous years [3] . This paradoxal situation demands strategic
choices: efficient management, coherence and complementary with other EU funds and
increased coordination with the policies of the individual Member States.

PECO, COPERNICUS, INTAS, see: COM (94) 420 final

Partners from Central and Eastern Europe may participate in all specilic programmes of the 4 FP,
partners from other third countries in those programmes or parts of programmes open for
cooperation according to the rules of participation defined in Council Decision 94/763/EC,
Central and Eastern Europe for approx. 50% and Developing countries for approx. one third

**2.** **Changes and challenges**

2.1. The new international context

Since the last Commission communication to the Council on this subject [4], the international
situation has changed considerably with important consequences for the European Unions's
international scientific cooperation policy. These changes provide both challenges and
opportunities for the EU's international R&D policies.

The first change concerns the European continent itself, with the **disappearance of the**
**Eastern** **bloc.**

The countries of Central and Eastern Europe and the Baltic states have regained their
sovereignty and have **set** up democratic institutions, while the Yugoslav Federation has
disintegrated and new independent States have emerged from the former Soviet Union. These
upheavals have had **a major** impact on the European Union, and its scientific cooperation
policy.

First of all, because **many** of the States in question are turning towards the EU. Their trading
patterns have already been redirected to a large extent from the east to the west. In order to
meet the expectations of **the** associated countries, the Community has already developed a preaccession strategy. Scientific and technical cooperation with the EU is one of the components
of this move towards integration and can operate to the mutual advantage of both parties.

Secondly, because the **scale** of the changes in these countries, with a speedy transition from
a controlled economy to **a** market economy, has inevitably affected their research potential
which increasingly **is** redirected towards the new industrial demands.

Thirdly, the scale of **the** pollution problems with which they are faced, with scant resources,
is gradually becoming clear. These problems may directly affect the European Union, whether
as a result of the **pollution of** seas, groundwater, rivers or air, or the risks entailed by a certain
type of nuclear **power plants.**

The second **change** concerns **the Mediterranean basin.**

The signing of the peace agreement between Israel and the PLO has reduced the risks of
military conflict in **the Middle** East, but virtually all the southern and eastern Mediterranean
countries are confronted with difficulties. As the Essen European Council has established,
bringing about peace, stability and prosperity in the Mediterranean region is one of the
European Union's first priority. Some of the region's problems have a direct impact on its
inhabitants and their activities, as e.g.waterpollution. The increased aridity in the region has
contributed to the problems: the lack of water has become urgent and must be addressed by
enlarged research efforts. The Union, neither can ignore the indirect consequences of the
contradiction between population growth and economic difficulties, in terms of immigration

pressure.

Communication **from the** Commission to (he Council "Cooperation in Science and Technology with
Third Countries" COM (90)256 final, Brussels, 13 June 1990

It is in the interest of the Union to reinforce its scientific cooperation aimed at helping the
Southern Mediterranean countries to control their development and thus, albeit modestly, help
to stabilize the region.

Third change: **the diversification in the Third World**

Recent times have also seen the take-off of new industrial countries in Asia and the economic

revival of several Latin American nations. Most of these countries are thus in a situation
characterized by remarkable industrial and commercial dynamism combined with persistently
large social, environmental and health backlogs.

It has become essential for European industry to get involved in RTD cooperation with these
countries. It needs to penetrate these new markets as early as the research and technological
development stage, and to this end should seize all the new opportunities resulting from the
opening-up of the R&D framework programmes to involve these countries in research
partnerships.

However, these changes simply serve to underline the marginalisation of other Third world
countries.

The economic difficulties, and the malnutrition and drought problems have been compounded
by the development of new or re-emerging pandemics. Although the situation on the spot is
often difficult, targeted scientific cooperation with these countries is still more necessary than
ever as these countries have shown themselves increasingly capable of using RTD approaches.

One imperative will be to provide for the participation of the least developed countries in the
emerging global information society, thus to prevent the risk of increasing the gap to
advanced economies.

To summarize the quintessence of the international changes: The vanishing of the communist
Eastern Bloc and the economic improvements of several developing countries, widely
diversified the former concept of 'Third World', and it led to the dissolution of the world
division in three 'blocs. Diversification also increased within countries: economically less
developed countries are setting up high tech research facilities seeking international
cooperation, while still in need of basic development support.

2.2. Changes in the conditions of research and technological development

In the globalizing economy the cycles of technological innovation are shortening. The pressure
for competitiveness increases as world trade liberalisation especially through GATT/ WTO [5 ]

gains momentum. Emerging economies with lower wage levels are competing today for
industrial locations with highly industrialized countries. The economic performance of nations
and their position in the world rankings are accordingly shifting. In particular, European
industry and advanced services are in danger of losing their relative competitiveness, with
severe consequences for employment. On the other hand, new emerging markets in other
regions offer new opportunities.

One result of negotiation in these fora is the possibility of granting, under defined conditions,

assistance for research activities.

In the first place, there is a new approach to cooperation with other industrialized countries,
based on reciprocal access to each other's research efforts. The bilateral agreements so far
reached with Australia and Canada create new opportunities for EU industry and contribute
to the strengthening of its R&D base.

Secondly, as science and technology is often the motor of the innovation process, many
countries with growing economies are investing more in S&T. Thus, centres of excellence
have developed all around the world. Although the concentration of relevant RTD centres
within the so-called triad is still predominant, there is a growing tendency towards a wider
dispersion and decentralisation of S&T infrastructure.

This tendency for increased decentralisation and the proliferation of information was
facilitated by the increased application of information and communication technologies. Much
of what was possible before only by physical cooperation in organized research centres can
today be achieved by information exchanges from different locations through computer
networking. The development of the information society advances the possibility of fruitful
long distance cooperation.

How to benefit from the cooperation with commercial competitors from other regions and
how to profit for the improvement of the EU employment situation? The crucial question at
this moment is for international RTD: how to find the best balance between cooperation and
competition?

2.3. Global problems of the 21st century

Some of the important problems of global nature which will remain on the agenda for the 21 st
century are environmental problems [6], such as global climate change, desertification,
earthquake damage prevention, air and water pollution, maintenance of biodiversity, nuclear
safeguards and increasing UV radiation, etc. Research on threats to the environment is often
linked to new industrial approaches. For example, RTD on clean transport technologies and
on policies for guiding transport demands could contribute to the enhancement of the
competitiveness of European industry for the growing international markets while at the same
time improving the global environment. Research cooperation can very often constitute a first
stepping stone for industrial cooperation.

The trend towards an increasing global cooperation in S&T is due to the general necessity to
share costs, technical and human resources and the risks of major RTD innovations for the
21st century. Areas of joint cooperation in "mega-sciences" include biotechnology,
astronomy, deep-earth drilling, space, particle-physics and radiation sources.

Compare the Agenda 21 and other follow-up activities of the UNCED Conference in Rio which
include substantial research tasks to which the EC subscribed.

**3.** **Objectives,** **guiding principles and goals**

RTD activities at Community level are undertaken according to Article 130f of the EC Treaty
with the objectives

    - to strengthen the international competitiveness of the Communities' industry and

    - to support other EU policies.

These quite general goals provide the frame for the international cooperation in S&T with
third countries. International cooperation, if it is to be successful and sustainable and be able
to bring wider benefits, must first and foremost be in the mutual interest of the RTD partners,
bringing benefits to them in scientific and technical terms.

3.1 Guiding principles

The first principle is that of **subsidiarity.** The Community's international scientific
cooperation policy is not intended to replace that of the Member States. It must seek to enable
Europe to respond in a coordinated fashion to the pressure for cooperation from third
countries, or to the requirements of the international situation, on the basis of cooperation
between Member States.

The second principle is that of **consistency** with Community policies. An integral part of the
Community's scientific and technical research policy, international scientific cooperation must
be in step with the Union's external policy objectives.

The third principle is that of **efficiency,** so as to avoid dispersion of efforts and the spreading
of financial resources too thinly, and to guarantee the continuity of the measures carried out.

3.2 Specific goals

In order to apply these principles, the following more specific purposes for international
scientific cooperation emerge:

1. To strengthen European competitiveness, the scientific and technological knowledge
base must profit from cooperation with partners from foreign S&T backgrounds.
Admitting foreign partners into the European model of RTD cooperation and providing
for participation of European research centres in third country RTD, facilitates not
only access to S&T results obtained elsewhere but also admission of jointly developed
technologies to foreign markets. New opportunities arise as S&T consortia prepare
future industrial and economic partnerships.

2. The coming period should strengthen the European region in the growing worldwide
competition and enhance cohesion, not only between the present Members States. The
EU intends to assist the associated countries of central Europe and the Baltic region
to reach a competitive level. In order to foster a wider cohesion in the region, the New
Independent States and the Mediterranean neighbours, within and also next to Europe,
will be encouraged to participate with their specific needs and interests in European
RTD activities.

3. In support of other EU policies, S&T must contribute to solving problems of a global
nature and meet the challenges of the next decades. Joint efforts will make efficient

use of the human, technical and financial resources. Priority themes of multilateral
cooperation are derived from the goals of achieving a worldwide sustainable
development, a cleaner and healthier environment and more equitable societies in
peaceful relations. Emphasis is laid on environmental issues, population growth, health
problems of a cross-national nature, clean water supply, a sustainable use of energy
sources, and transport and communication ( including the information society).

4. Improved access of developing countries to R&D and its results is becoming more
important than ever as it is recognised as an instrument to accelerate development.
Increasingly, S&T facilities in those countries enable them to carry out research work
on their own needs, beneficial to the stimulation of their economies. Trained R&D
personnel can thus stay in their own country while cooperating with EU institutions.
In the long run, cooperative RTD will strengthen relations and will lead to a more
equitable partnership whilst contributing to geo-political stability.

S&T cooperation thus underpins other policies of the European Union such as external
relations (common foreign and security; common commercial policy; development
cooperation policy) and economic cooperation policy with third countries.

5. Another essential objective of international RTD cooperation is to provide the
international dimension to the European RTD communities. Contacts and exchange
with other scientists is essential for the Union's RTD, both in strategic fields and on
global issues. It is important to promote access to groups and associations engaged in
new developments, thus linking high level RTD.

To summarize, the specific goals the EU will pursue in international RTD cooperation:

- **strengthen European competitiveness and develop technologies for future markets**

***** **develop** **partnership** **in S&T with the neighbours of the EU**

***** **share responsibility and conduct RTD on major problems of the 21 century**

***** **promote RTD to foster sustainable economic growth for developing countries**

***** **share S&T information and contribute to large scale and frontier** _**science and**_
**technology**

_**Examples of RTD activities in international cooperation:**_

_* A project with Central and_ _Eastern_ _European Countries (CEEC) on earthquake_
_probability investigates the Pannonian region where 4 first generation soviet nuclear_
_powerplants of the are_ _located._ _Research_ _partners from I, HU, CZ, RO, SI and the UK_
_cooperate in this geological investigation._

_* In the frame of the International Science and Technology Centre_ _(ISTC)_ _a project is_
_launched to make use of high-temperature rocket technology to decompose and_
_neutralize supertoxic_ _materials._ _The_ _project provides the opportunity for nearly 70_
_former military scientists and engineers to redirect their skills to new industrial_
_exploitable tasks. Financed in_ _equal_ _parts by the EU, USA and_ _Japan,_ _research_
_partners: the Russian Federation and Germany_

_* Within the AVICENNE_ _initiative,_ _which is targeted to the 12 non-EU_ _Mediterranean_
_countries specifically on issues in water_ _management,_ _health and_ _renewable_ _resources,_
_a project is focused on the binding of industrial_ _water_ _pollutants with combinants of_
_regional availability to achieve a safe_ _dumping_ _procedures and protect the scarce_
_water_ _resources._ _Research_ _partners from Cyprus,_ _Egypt,_ _GR, and UK are_ _involved._

_* A medical research project with_ _Venezuela_ _aims to develop a better thrombosis_
_medication by analyzing (he molecular structure oj the saliva of a particular Latin_
_American species of bats. It contains a_ _certain_ _protein,_ _named 'draculine' which_
_hinders blood_ _coagulation_ _for_ _hours._ _Pharmacological_ _partners from NL, FR and_
_Venezuela_ _cooperate on the isolation of the protein._

 - _A second follow up project on Computer Integrated Manufacturing_ _(SECIM)_ _will_
_improve the activities of joint venture companies in_ _China,_ _which_ _are_ _facing difficulties_
_implementing Advanced_ _Techniques._ _Partners are European car industries and_
_suppliers of electronic_ _devices,_ _Chinese_ _Technical_ _Institutes,_ _automotive_ _joint-ventures_
_as well as textile industries._

_* Following two decades of_ _increased_ _aridity in the countries of the_ _Sahel_ _a research_
_project on the study of the adaption of local_ _nutritious_ _plants to dry circumstances is_
_conducted,_ _including the acclimatization of foreign (e.g. beans from Latin American)_
_plants to improve the nutrition base in the_ _region._ _Research_ _partners from several_
_African countries including the CERAAS (Regional Center for Studies on the_
_Improvement of Adaption to Aridity),_ _Brazil,_ _BE, FR and PT_ _cooperate_ _on the issue._

_* Under the European Scientific Fellowship Programme 73_ _research_ _fellows from the_
_Member States will take up their work in_ _1996_ _for up to_ _18_ _month in Japanese and_
_Korean_ _laborotories._ _Most of the projects are primarily basic research but they have a_
_strong_ _industrial_ _potential and they are linked to particular concerns._

4. The instruments available

The Union now has a number of specific instruments for scientific cooperation, the most
prominent being: activity 2 of the framework programme and the opening-up of the specific
programmes as well as a network of agreements with third countries covering RTD
cooperation. However, it is necessary, in the light of experience, to clarify recourse to the
other, very diverse, approaches to scientific cooperation (see Annex).

The Community is active in promoting RTD international cooperation through bilateral
agreements with third countries. Some of these agreements dealing with overall relations with
third countries have specific provisions providing for cooperation in RTD; there are also adhoc agreements on RTD cooperation. These agreements should tend to promote cooperation
through facilitating reciprocal access to RTD programmes and projects and to RTD results,
and providing for adequate intellectual property rights protection. In addition, the Community
can promote, or participate in, specific RTD programmes involving several countries and
aimed at dealing with priority global needs.

A coordinated use of various Community resources for these policy actions will be desirable
to this end.

The PHARE and TACIS programmes already provide support for projects with important
science and technology components which contribute to economic reconstruction and
development. At the same time, the second action under the 4th Framework Programme is
available to support the participation of PHARE countries in Community programmes. There
is also the possibility for PHARE to provide support for infrastructure in connection with
participation in such programmes in the context of additional protocols to the Europe
agreements.

In addition to the opening up of Community programmes to the Associated countries in
central and eastern Europe, the Union should look favourably on requests from national
coordinators in the PHARE and TACIS beneficiary countries to approve projects which
contribute to economic reconstruction and development and which have significant science
and technology components. The objectives and procedures of MEDA, the European
Development Fund, and the Union's assistance programmes for Asia and Latin America
provide for support to such programmes at the request of beneficiary countries within the
agreed framework for cooperation planning.

It is also necessary to mobilize the Community's human resources. Some of the Commission
delegations in third countries could reinforce their scientific expertise, whether from the
permanent staff or recruited locally, to carry out scientific monitoring and provide the Union
with analyses of research developments abroad. This forward analysis function would make
a contribution both for European research itself and for the development of international
cooperation. It should be noted that, with its research personnel, the Union has at its disposal
genuine expertise which might be redeployed.

**5.** **Priorities for a proximity policy**

It is essential to develop cooperation with the associated Central and Eastern European and
Baltic countries in order to bring them closer to the Union through gradual economic
integration.

Nuclear problems are particularly acute in this region. For institutional reasons, an extension
of scientific cooperation in this crucial area, entailing increased financial resources,
presupposes the availability of funds as a result of the supplementary financing for the
Euratom framework programme to be decided upon in 1996.

As these countries develop, bilateral agreements may be concluded to involve them in some
of the Community's specific programmes.

Scientific cooperation should also underpin the Union's Mediterranean policy
(Euro-Mediterranean partnership). Dialogue between the Union, the Member States and the
Mediterranean partner countries should make it possible to identify joint research objectives
based on problems common to the region: management of natural resources (problems
concerning water resources), marine pollution, action to combat desertification, and
agriculture, rural development and urban growth, for example.

The new MEDA regulation specifically provides for support to "integrated development of
human resources, notably in education and vocational training, as well as impoving the
potential for scientific and technological research.

**6.** **Eight Actions**

The Commission presents its thinking for the different groups of countries more specifically
in the Annex. The Council and the European Parliament are invited to comment on the
suggestions. Detailed papers concerning specific areas of international cooperation have
already been submitted or will be submitted in future. [7] The outcome of the debate and the
practical experience of cooperation which will be acquired during the implementation of the
current framework programmes will contribute to the preparation of the fifth framework

programme.

In the immediate future, the Commission intends to pursue eight lines of action:

6.1 The research-industry dialogue
Industrial involvement in international RTD cooperation projects should be increased.

6.2 Strengthening the external dimension in RTD policy

A policy in favour of providing increased mutual access to RTD programmes and
projects and to RTD results, providing for adequate intellectual property rights
protection, and paving the way for the launch of RTD projects of common interest,

COM(95)190 Final "Prospects for cooperation in science and technology with the new independent
States" and SEC(95)8I4: Strengthening development research potential: a priority for the European
Union.

should be pursued. This policy can be carried out through a more systematic inclusion
of specific RTD provision in bilateral cooperation agreements with third countries and
through specific agreements on RTD cooperation.

6.3 Promotion of RTD cooperation in specific projects

The Community should be active in promoting, or participating in, RTD programmes
or projects involving third countries, aimed at dealing with specific needs of a global
nature, and having an interest to European industry and research centres.

6.4 Priorities adapted to the needs of the least advanced countries

A dialogue between the European Union, the Member States and the least advanced
countries is proposed

to implement the Council declaration on the reinforcement of the research
potential in developing countries (1 June 1995),

to follow-up the objectives of the European initiatives on agricultural research
for development.

6.5 Better communication with third countries

The European Union delegations abroad should be more concerned by RTD
developments in the country in question. In certain countries delegations should aim
to strengthen their scientific expertise.

6.6 The use of other European Union funds for RTD
The European Union will use the opportunities offered by PHARE, TACIS, MEDA,
the EDF and assistance programmes for Asia and Latin America to support the
participation of partners from third countries in projects involving research and
technological development, upon the request of the competent authorities and within
the objectives, priorities and procedures laid down under these programmes.

6.7 A new Mediterranean initiative

Specific calls for proposals for the Mediterranean countries could be envisaged. This
would require additional funds from the revised resources for the fourth framework

programme.

6.8 Support for the pre-accession phase for Central and Eastern Europe
If the supplementary financing for the fourth framework programme is decided upon
in 1996, parts could be used to support the pre-accession phase. Priority should be
given to making it easier for partners from the associated Central and Eastern
European and Baltic countries to participate in specific programmes under the fourth
framework programme in specific areas.

Part of the supplementary financing for the Euratom framework programme could be
used to provide financial support for third country partners in the field of nuclear
safety.

ANNEX

INTERNATIONAL COOPERATION IN RTD:

THE COMPLEMENTARITY OF APPROACHES AND THE POLICIES TOWARDS REGIONS

I. Approaches

In order to achieve the goals laid out in chapter 3.2 a variety of approaches can be taken.
Each of which usually serves more than one objective, as individual goals are also sustained
by different approaches. The complementarity of means and methods shapes the overall
approach of international RTD cooperation policy.

A. Global approach: Increasing competitiveness through S&T cooperation

In order to respond to the liberalisation of markets and to increased global competition, S&T
cooperation is an efficient way to keep up the pace of technological and socio-economic
advance. Within the EU, the increasing funds for the FPs demonstrated a growing appreciation
of the cooperative RTD model for private and public research institutions. This European
model of research cooperation has been widened by opening selected specific programmes to
third country partners worldwide. Partners from third countries may participate in individual
projects according to the rules of participation defined in Council Decision 94/763/EC [8], in
particular, when desirable for the pursuit of the programme. Such participation must not
undermine the Community's position in respect of negotiations aiming at an international
Agreement based on principles, inter alia, of reciprocity.

The new opportunity for collaboration with individual S&T partners from third countries does
not intend to produce effects for specific countries or for a region. The access allows for
partners who are able to contribute valuable knowledge to European consortia and who seek
their own advantage in cooperating with European partners. In contrast to the regional
approach described below, this approach is in general not supported by any financial means
from the FP.

Wider S&T cooperation outside the EU, however, involves the risk of losing control over the
exploitation of the results. Special attention, therefore, will be paid to the transfer of results
and the utilization of knowledge and intellectual property rights [9] resulting from the
participation of third parties. In respect of non-negotiated participation (under the "open
Article 8"), the rules set out in the Model Contract will govern the ownership, transfer and
utilisation of results. International cooperation in RTD must also not allow the bypass of any
European norms, standards or ethical considerations. Mechanisms of implementation must be
safeguarded, including the access to research facilities, to locations or natural resources of
scientific interest. Free movement of scientists must be guaranteed.

Article 2 and 3 of Council Decision 94/763/EC of 21 November 1994, O.J. L306, 30 Nov. 1994
and article 8 of certain specific programme decisions.
Joint declaration of Commission and Council concerning intellectual property rights applicable to
S+T cooperation with third countries of 26 July 1992.

In order to benefit better from the international dimension, specific programmes should make
active use of global cooperation. It is, however, necessary to monitor closely the effects of
cooperation on the goals of the programme. If the global opening proves successful, the
opening of further programmes should be envisaged. If not, the approach must be reassessed.
The present selection of specific programmes open for cooperation with third country partners
worldwide does not follow from coherent policy. Some of these decision even seem
contradictory (for instance, to open the information technology and the communication
technology programmes, and to keep the telematics and the industrial technologies and
materials programmes closed). The opening of programmes should therefore be reviewed in
the 5th Framework Programme and should follow a coherent decision-making process.

B. Regional approach: Means for targeted improvements in S&T

The regional approach of the EU international RTD cooperation policy addresses groups of
countries and establishes RTD cooperation on targeted issues of particular regional interest.
Regions arc defined geographically and/or by economic indicators or by other shared
characteristics. Priorities of mutual interest are identified, together with the representatives of
the countries in the region concerned. Actions undertaken by INCO, the programme which
implements activity 2 of the Framework Programme, concentrate in this context on subjects
which are not covered or not sufficiently specified for regional purposes by the other
programmes of the FP.

The regional approach also provides financial support for partners from third countries in
targeted RTD actions as defined under the INCO programme. Funds may also be granted to
facilitate participation in joint research projects of the other specific programmes.

Cooperation funds for RTD can operate efficiently if RTD structures of partner countries are
viable and they are able to make use of the cooperative R&T results for their further
development. RTD projects must integrate end-users of results, such as industries or
administrations, and take into account socio-economic conditions when specific research
strategies are envisaged.

C. Bilateral approach: Shaping particular S&T relations

The EU may establish relationships with individual countries through the conclusion of
bilateral agreements. There are three kinds of agreements:

 - general commercial and economic cooperation agreements, including a section on
cooperation in S&T, which aim at facilitating cooperation in a general sense;

 - RTD cooperation agreements facilitating reciprocal access to specific programmes on
a project by project basis; [10 ]

 - RTD cooperation agreements associating a third country with full financial support to
one, several or all specific programmes of a Framework Programme and providing for
the corresponding contribution to the Community budget."

**10**

**II**

Art. 2, para, lc (ii), of Council Decision 94/763 EC of 21 Nov., Official Journal L306, 30 Nov.

1994

Art. 2 of the above Decision

**12**

The agreements specify ways and means of cooperation and Intellectual Property Rights (IPR)
rules. In particular they should ensure comparable access of European RTD participants to
corresponding programmes of the third country. Before engaging in new negotiations the
potential mutual benefit and impact of an agreement should be evaluated against the already
existing RTD cooperation possibilities.

D. The multilateral approach: Selected S&T participation

Extending the frontiers of scientific and technological knowledge requires increasingly
centralised facilities or networks which exceed the ability of a single country or region. It is
therefore important for the EU to cooperate at a multilateral level with competent partners
either on independent projects, (for example ITER, HUGO, HSFP), to provide a coherent
European coordination in worldwide research efforts, (e.g. ENRICH), or within the framework
of international organisations covering a broader spectrum (e.g. with WFIO, IAEA).

The Task Forces on industrial RTD cooperation launched recently by the Commission
combine different EU efforts and concentrate them on specific requirements of the future
society (clean car, vaccines, etc..) These initiatives will have to assess the competition
challenges on a world scale as well as the broader market opportunities. Concerning, for
example, the development of the clean car, Japan and US have taken similar actions. Contacts
and regular exchanges could be established with such initiatives. Moreover, such cooperation
might be intensified, with adequate precautions, when of added value for know-how or for
knowledge of foreign markets.

Regular exchange of views, at the highest level (e.g.Carnegie Group) or within the framework
of international organisations (eg. OECD) is of great importance. The Commission will
stimulate the coordination of the Member States' position within such organisations, e.g.
CREST to coordinate MS positions ahead of major OECD meetings.

E. Coherence and complementarity with other EU policies

Instruments of external policies (i.e. PHARE, TACIS, MEDA, FED, Asia and Latin America
regulations) contribute in the framework of their respective priorities and procedures to the
development of RTD infrastructure (research capacity building, including human capital and
educational infrastructure) in the beneficiary countries. RTD projects assist in the formulation
and in the realisation of those policies. Results resorting from research in malaria vaccines or
AIDS will have direct impact on the future perspectives of development policies. RTD
projects have also been funded in cooperation with partners from EU Member States. In order
to ensure optimal impact of these RTD investments, better coordination is needed between the
EU external policies and the research policy. Such a coordination will increase coherence and
compatibility between these instruments and the INCO programme in particular.

13

The European Union will use the opportunities offered by PHARE, TACIS, MEDA, the EDF
and assistance programmes for Asia and Latin America to support the participation of partners
from third countries in projects involving research and technological development, up to 50 %
of the cost of the project participation [12], upon the request of the competent authorities and
within the objectives, priorities and procedures laid down under these programmes. Some
associated Central European states have already made such requests as regards the utilisation
of PHARE funds [13] .

In general, coordination will be ensured with all other EU policies relevant for international
RTD cooperation. In particular with competition policies, as publicly financed initiatives for
international RTD cooperation should not be in conflict with the state aid rules of the EC
Treaty, EEA, the European Agreements, WTO and other agreements, but also with
agriculture, environmental, energy and other policies.

Different types of coordination and complementarity with the other EU policies have been
implemented. Firstly, in the AVICENNE Initiative in which joint research actions were fully
financed by the Mediterranean funds; secondly, ISTC where the EC contribution is financed
from TACIS; a third type is CERAAS, in which a joint research project is supported through
the FP while the related infrastructures and training are funded under the Lomé Convention;
a fourth is the ACP-EU joint initiative, in which the research policy for fisheries for ACP
countries has been defined jointly and for which the two sources will be mobilised according
to the situation; a fifth is the International Agricultural Research support, funded from and
managed by the ALA regulation with scientific input from INCO. In all cases, the
interventions from these funds, targeted to research capacity strengthening in third countries,
improved the possibility and the efficiency of S&T cooperation.

Despite these examples, coordination still needs to be improved. To this end, appropriate
interservice groups will be established. In addition, the EU delegations abroad will be
requested to be more concerned by the country's developments in RTD and to play a more
active role.

F. Coordination with Member States and other European Cooperation Fora

Following the recent Communication "Research and Technological Development: Achieving
Coordination through Cooperation" [14], more emphasis has to be laid on fully exploiting
European potential through a more profound coordination with the Member States and their
international undertakings. The exchange of views between the Commission and the Member
States will therefore have to intensify, making use as fora of both CREST for general
questions and more specifically the INCO committee.

Thematic or issue related coordination actions will be undertaken connecting national

In conformity with the general principles of the 4th Framework Programme.
See conclusions of the presidency on the meeting of EU Research Ministers with the Research
Ministers of the associated Central European and Baltic States on 9th June 1995
COM (94) 438

14

initiatives and institutions with EU activities in order to synchronize objectives, complement
the acquired know-how and better utilise the invested funds. Two of this new action types
across different regions have already been launched: Agricultural research for developing
countries and the Euro-Mediterranean Scientific Area.

As a step towards improving the instrument of coordination, the Commission will prepare an
inventory on the international S&T cooperation policies of the individual Member States and
the associated countries.

G. Monitoring and evaluation

Finally, it will be necessary to monitor and evaluate the instruments used across the different
regions and across the approaches applied so as to assess the added value of international RTD
cooperation [15] . Special attention will be given to effects on the competitiveness of European
industry. Issues to be monitored as particular RTD conditions are the international dynamics
of trade and industry. The international technology observatory of the JRC/IPTS in Sevilla
will support this initiative.

RTD cooperation evolves dynamically. A country by country review will be undertaken using
indicators to distinguish between countries which should benefit from Community's financial
support to cooperation partners and those which should rely on their own resources. This
distinction is particularly relevant to the dynamic evolution of the emerging economies'
countries.

**II.** **The Union's** **perspectives** **for S&T cooperation with its partners**

In the following sections, groups of countries are presented separately, with regard to the
specific policy interest of the EU, the objectives or guiding principles pursued and the
approaches used.

The approach by geographic or economic regions is in line with the Union's external relations
policy. It encourages neighbouring third countries to cooperate in networks and obtain
economic added value from their neighbours in the same way as the Member States do from
the intra-Community RTD cooperation. It emphasises the Union's model of regional
integration and enables partners from a common background to benefit from the Union's
experience of a profitable and peaceful regional cooperation. In this sense a mutual benefit
for both the EU and its third country partners, is the essence of a dynamic RTD cooperation
perspective.

A. Europe and her neinhbours

The countries neighbouring the Union are of particular significance since they share many
problems and interests with the Union. With some of them, RTD cooperation is already at an
advanced stage since Western European non-member countries traditionally maintained strong
S&T cooperation links with the EU. Iceland, Liechtenstein and Norway are now fully
associated with the 4th FP through the Agreement on the European Economic Area (EEA).

elements arc already included in the "European Report on S&T Indicators", Luxembourg 1994.

15

The eventual relationship of Switzerland with the Framework Programme will depend upon
the outcome of negotiations underway. [16 ]

COST, as a traditional instrument of research coordination with the Member States and
European neighbours on issues, themes or disciplines not covered by the FP, has grown
extensively. Consideration should be given to enhancing the complementarity with the
Community programmes, in particular the concerted actions, on a pragmatic basis. An
assessment of COST's achievements and a more targeted definition of its role in the overall
coordination effort are on the way.

Coordination with other existing RDT cooperation fora in Europe will be continued and
strengthened. This concerns EUREKA, in particular for industrial RTD cooperation, and other
fora dealing with specific RTD activities (CERN, EMBL, ESO and ES A, etc.). Furthermore,
it relates to collaborating with ESF in activities such as the organization of European RTD
conferences.

The EU has a particular interest in cooperating with its closest neighbours. Three groups of
countries are of particular interest: central Europe and the Baltic states, the New Independent
States of the former Soviet Union, and the Mediterranean Partner Countries.

A.l. Central Europe and the Baltic states

The broad objective of RTD cooperation with most of the Central European and the Baltic
countries is to support their efforts and assist them to prepare for possible EU membership.
Major efforts have been made to consolidate the return to democracy, the transition to a
market economy and the achievement of a peaceful, stable and open society, although with
differing rates of success. Some countries have returned to positive growth rates and optimistic
perspectives for the future development while others still suffer from structural deficiencies.

In a bilateral approach, the EU has concluded association treaties, the additional protocols of
which contain the opening of the specific programmes. The EU's interest is to support their
progressive integration into the European RTD community and the attainment of full
competitiveness. Joint RTD cooperation projects will aim to increase the efficiency and the
speed of modernisation in the industrial sector. Improved environmental protection and the
upgrading of production technologies to European ecological standards is part of the
modernisation as these were often neglected under the previous regimes. Special relay centres
will be created to promote industrial innovation by means of RTD and to facilitate technology
transfer and the general utilisation of research. These centres will also diffuse information on
Community activity.

A key element in achieving these goals is the opening of all specific programmes of the FP
on a project-by-project basis for 'European third country' partners. Such participation could
be facilitated by mobilizing funds of certain other EU policies. In addition, for targeted goals,
RTD activities are foreseen under the INCO programme. Priority areas relate to the
information and communication technologies, environment, health, energy, transport, and
industry-oriented RTD. They will be more closely defined in consultation with the authorities
of the countries.

Switzerland is already fully associated with the fusion research activities (FAJRATOM)

16

In view of the potential environmental and health threats posed by nuclear power plants and
in nuclear safeguards in Central Europe and the NIS, the specific RTD programme on nuclear
safety under the Euratom Treaty provides for cooperation with these countries. Paradoxically,
however, this programme does not foresee funds for supporting the participation of partners
outside the EU, which is essential in view of the financial problems in Central and Eastern
European countries. As the INCO programme within the 4th FP is based on the EC Treaty,
financial support of RTD cooperation in the nuclear domain is not permitted. Funds should
therefore be made available for this purpose under the supplement of the Euratom FP to be
decided in 1996.

In a longer perspective the development of these countries should evolve in such a way that
the regional approach applied at present, will be complemented and gradually replaced by a
bilateral approach in the form of S&T association agreements. This last step in preparation
for EU membership presupposes a corresponding financial contribution to the EU research
budget.

Further elements of cooperation are the general policy dialogue and means of coordination,
to encourage national governments to give due priority to RTD and provide support for
participation in the Community's specific RTD programmes. Regular meetings between the
research ministers of the EU and of the associated Central European countries and the Baltic
States, which are held in the perspective of adhesion, will strengthen the working relationship,
as will ministers responsible for sectors with significant research requirements.

A.2. New Independent States

Future steps concerning the cooperation with the NIS have been presented recently in the
'Communication from the Commission to the Council and to the European Parliament
"Prospects for Cooperation in Science and Technology with the New Independent States
(NIS)". [17] 'The communication covers RTD with both the European and the non-European
NIS.

The Russian Federation (RF) represents the greatest challenge with its huge economic and
social but also military and scientific potential. Ukraine, Belorus, Moldova, the Caucasian and
Central Asian Republics also offer important cooperation possibilities of mutual benefit in
specific fields. After six years of economic decline in the NIS, access to European trade,
investment and technology, is a priority for all, the RF having the main impact on future
options in the region.

The RTD sector as a long-term pacemaker for development must be encouraged to re-emerge
in a more efficient structure and more speedily than the transformation process has allowed
until now. Safeguarding the highly qualified RTD potential is therefore an important part of
the RTD cooperation policy. Cooperation with the NIS in S&T will be oriented to cultivate
the industrial prospects for technological developments and to identify cooperation partners

17 COM (95) 190 final, 16 May 1995.

17

for the newly emerging markets, to encourage sustainable development and overcome outdated
structures while stimulating a reorientation of scientists towards research on new public and
private needs.

All NIS are covered by INCO's regional approach with priority areas in information
technology, environmental protection and health to be further defined in a policy dialogue.
The European NIS, in addition, may participate on a project-by-project basis in all EU RTD
programmes, while some programmes are also open to non-European NIS partners. The
Partnership and Cooperation agreements, signed with some NIS, include a bilateral RTD
component.

After the first phase giving support to a wide range of researchers in relatively small and
academic projects, funds will be focused on a smaller number of projects promoting
application and stabilising the more relevant parts of the RTD potential in the NIS. To
improve project quality and application, more support measures are envisaged, including
improved information and partner-finding systems. INTAS, a pilot project in the form of a
private association established for specific cooperation with the NIS, primarily in basic
science, has funded a large number of small projects. The concept of INTAS is, at present,
under revision as it has failed to attract substantial funding from its members on an individual
basis as originally foreseen, except the Community.

Two items deserve particular attention: the conversion of the huge military potential towards
peaceful goals and the solution of environmental problems, particularly in the nuclear field.
The first subject is being tackled with considerable success by the International Science and
Technology Centre (ISTC) in collaboration with Japan, the US, Russia and other countries
concerned. Regarding the second subject, attention will be paid to the environmental and
medical consequences of major radioactive releases such as Chernobyl and Mayak. As for the
Central European countries, funds must be mobilized for cooperative RTD research on nuclear
safety under the Euratom Framework Programme.

A.3. The Mediterranean Partner Countries

A high-level policy dialogue between the EU, its Member States and the Mediterranean
Partner Countries (MPC) is the precondition to successfully promoting and encouraging RTD,
with the aim of establishing a Euro-Mediterranean Scientific and Technological Area. This
task is being given particular attention since the colloquium "l'Europe de la Recherche et la
Méditerranée" held in Sophia-Antipolis in March 1995, and it will be pursued in the context
of the conference of EU-Member States and the MPC in Barcelona in November 1995. The
intensified dialogue should lead to a joint definition of mutually relevant objectives and
priorities. They can, at a later stage, be reviewed and evaluated against the achievements. In
the short and medium term, some specific measures are envisaged.

RDT cooperation with the MPC aims predominantly at contributing to the improvement of
living standards. In order to stimulate a better basis for a sustainable development, the
intended Euro-Mediterranean Scientific and Technological Area should promote free exchange
of scientific information, materials and persons, and create Euro-Mediterranean RTD networks
in order to ensure a full participation in the development of a Global Information Society. To
strengthen the regional RTD capacities in particular, support will be also given to south-south
cooperation and integration.

18

Results from the dialogue should focus on important regional, i.e. common mediterranean,
problems. Many issues are related to resource water management, such as sea pollution,
desertification and agriculture, the management of coastal zones, and rural and urban
development, in particular in areas of water shortage. Other issues are related to population
and health care.

Currently only Cyprus, Malta and Turkey can participate in all specific programmes of the
FPs on a project-by-project basis. Israel should soon on the basis of a bilateral RTD
association agreement, be able to participate in all non-nuclear activities of the 4th FP. For
the other MPCs several specific programmes are open on a project-by-project basis.

Furthermore, these countries will be targeted by specific regional activities, both in RTD
cooperation, in particular within INCO, and in RTD capacity building. For the latter, close
cooperation of MEDA should be sought to enable MPCs to cooperate with EU institutions in
a genuine partnership. A bilateral approach may be considered when and if in the interest of
the EU and the MPC concerned.

B. Highly industrialized countries

An important feature of countries such as the USA, Japan, Canada and Australia is that they
are both partners and commercial competitors of the Union. The objectives of cooperation
with them are twofold: first, to maintain and develop access to RTD know-how in these
countries in order to improve the performance of Community RTD and the competitiveness
of European economies and, second, to develop the RTD contribution to world-wide
challenges such as global climatic change, desertification, earthquake damage prevention,
nuclear safeguards, public health, population growth and scientific literacy, and to projects
such as controlled thermonuclear fusion or human genome research and to the recent global
information society initiative in the G7 framework. In no case is a transfer of funds envisaged.

Given the wide range of potential areas for RTD cooperation, it will be necessary to enhance
the dialogue on RTD policy and to identify the subject-matter for balanced and selective
cooperation, taking into account the various EC policies and Member States' relations with
these countries.

Where mutual interest is identified, cooperation agreements with third countries may be
negotiated in the frame of the bilateral approach. Agreements of this nature are already in
place with Australia and Canada. In such agreements, Community interests are strengthened
by ensuring comparable access to research programmes of the third country concerned.
Reciprocal access, indeed, be a key element in any cooperation agreement with these
countries. Communities interest are safeguarded by ensuring that the results and the IPR of
all the collaborating participants are both respected and exploited in accordance to Community
rules.

Participation in specific programmes, opened on the basis of global approach, should be
approved when and as far as they contribute to better achievement of the objectives of the
specific programme in question.

**19**

Unilateral access should not weaken the overall negotiating position of the Community vis-àvis third countries with which it may wish to conclude cooperation agreements, particularly
concerning comparable and effective access to third countries' research programmes of interest
to the European Union. In both these modalities of third country participation, wider
Community interests must be considered in a coherent approach for all specific programmes.

Other means for stepping up cooperation with these countries are joint studies and projects
and reciprocal access to scientific installations. Maintaining and expanding the RTD policy
dialogue with these countries is essential.

C. Developing countries

Developing countries (DCs) vary greatly in terms of level of development, resources and RTD
potential; they suffer numerous development constraints, some of which are common and
specific to the physical and biological characteristics of tropical environments. Many of these
countries need a more effective RTD base which may contribute to lifting these constraints.

Cooperation with the group of DCs and emerging economies has for a long time formed a
substantial part of EU external relations priorities (Lomé Convention, Asia-Latin America
regulations). In many of these countries the EU as well as the Member States have longestablished traditions of collaboration on economic and cultural issues, training and RTD as
witnessed by the recently agreed increase in the European Development Fund for the next 5

years.

The objective of RTD cooperation, therefore, is to associate these countries with the
generation of knowledge and innovative technologies relevant for solving their specific
problems and to reach a sustainable economic development. Moreover, such cooperation
facilitates the exchange of know-how and technology with these countries where a large part
of the world's population lives and which constitute such an important potential market. In
this way RTD cooperation is important for the economic mid- to long-term development for
those countries and thus for European industry as potential commercial partners.

Environmental RTD, natural resources, sustainable agriculture and health constitute the main
current priorities, although the possibilities for cooperation in other themes,relevant to basic
economic and social developments and if in the EU's interest, are also ensured. For
developing countries, RTD on these themes is central, and the level of research already
established in many of them ensures that they can benefit from cooperation with EU teams.
Further benefits in terms of general stimulation to the often isolated academic and research
communities arc also expected. For its part, EU scientists can benefit through cooperation
which gives access to, for example, new physical, biological and social environments.

To attain the objectives, several approaches are being pursued. First, in the regional approach,
INCO concentrates on a limited number of selected research themes in order to avoid

dispersion of effort relative to the resources available. Second, under the global approach,
certain specific programmes are and will be open to participation by developing countries on
a project-by-project basis. Third, in the frame of cooperation activities under EU external
policies, RTD-related activities can be undertaken with financial support from the Lomé
Convention and Asia and Latin America regulations.

**20**

The EU will need a common approach which ensures overall coherence on the basis of
complementarity and synergy. Priorities on the basis of the regional structures or geographical
areas will be sought through political and technical dialogue with DCs. A specific action has
been initiated by a Council Decision on enhancing Development-Oriented Research Potential [18] .

D. Emerging economies - NICs

After the experience of the debts crisis in the 1980's several developing countries in Latin
America and Asia reformed their economic policy successfully. As a result, a new inflow of
private capital, partially replacing public loans, led to profitable investments and spectacular
growth rates. This development was parallelled by the already longer-lasting active
government policies of, for example, the "Four Tigers": Hong Kong, Singapore, Taiwan and
South Korea. More countries are moving towards the status of Newly Industrialised Countries
(NIC). They have become a target for foreign investment from industrialised countries and
a meeting place for global competitors ( e.g. China, India, Brazil etc.). Strongly exportoriented, these countries enter the markets of industrialised countries as well as of other NICs

or DCs.

In spite of their economic success, significant parts of their societies still share general
development deficiencies. RTD operations sometimes lack refinement or environmental and
health requirement, while, on the other hand, they have proved able to leapfrog traditional
steps in technological development. Thus, emerging economies appear as partners for RTD
cooperation under two different aspects. Objectives for EU cooperation with these countries
therefore refer, on the one hand, to those valid for developing countries and, on the other
hand, to the acquisition of knowledge relevant for an improved production of environmental
and socially sustainable technologies. To increase also European competitiveness, cooperative
RTD will focus on emerging markets.

The dilièrent approaches which the EU is offering are able to comply with these contrasting
requirements. As with developing countries, participation is open to the actions described in
the previous chapter. A special line of themes in INCO is aimed particularly at the emerging
economies, consisting of information and communications technologies (including Global
Information Society), non-nuclear energy, biotechnology, and materials and production
technologies. These themes should be given greater prominence in the future. The global
approach, in addition, opens the opportunity to cooperate in EU RTD consortia on a projectby-project basis in programmes which are open for international participation. The
development of some of these countries may evolve in such a way that it might become
interesting to conclude bilateral RTD agreements providing for project-by-project participation
on a reciprocal basis.

It will be necessary to provide European scientists with the means of seizing cooperation
opportunities, particularly through greater mobility and access to research and technological
environments, and in this way to spearhead the pursuit of market openings, so providing
complementarity of the public and private sectors.

**1** **X**

Development Council of 1 June 1995, and Commission Services Working Paper SEC (95) 814.

2!

E. International organizations and intergovernmental associations

Over the last decades, Western Europe has developed several international ventures, besides
the EU RTD activities, to pursue RTD goals beyond the reach of individual countries. The
same has happened at world level through international organizations, particularly in OECD,
the UN family and through large-scale megascience activities. At global level, the EU
participates in ventures created to construct and operate large RTD installations or research
networks.

Examples are ITER, for the design of the next experimental tokamak fusion reactor; HFSP,
for the support of international research networks in molecular biology and the neurosciences;
and Post-Chernobyl Research Actions and ISTC, for the conversion to civilian activity of
military scientists in Russia and some other NIS. Another example is IMS, aiming at
establishing an initiative for industrial collaborative RTD in advanced manufacturing. When
relevant, the Community will take initiatives to launch new research ventures requiring a
worldwide effort.

An active dialogue is carried out at world level with international organizations involved in
RTD, such as the OECD on science policy, WHO on health, ITU on telecommunications,
UNESCO on scientific information, IAEA on nuclear-related research and the World Bank
on RTD infrastructure or within the G-7 framework (e.g. Carnegie Group).

_**JO**_

**ABBREVIATIONS**

AVICENNE Research initiative to promote cooperation between EC and Mediterranean countries.
ACP Africa, Caribbean and Pacific
CERN European Organization for Nuclear Research.
CERAAS Centre d'Etudes Régional pour l'Amélioration de l'Adaption à la Sécheresse (Regional Center for Studies

on the Improvement of Adaption to Aridity

CFSP Common Foreign and Security Policy
COPERNICUS Community action in support of the countries of central and eastern Europe and, from 1994, the New

Independent States of the former Soviet Union in the Held of research, outside the five specific
programmes open to third countries (cf. PECO).

COST European Cooperation in the field of Scientific and Technical research.
CRES'I Scientific and Technical Research Committee
DC Developing Countries

EAEC or EURATOM European Atomic Energy Community
EEA European Economic Area
EFT A European Free Trade Association.
EMBL European Molecular Biology Laboratory.
ENRICH European Network for Research on Global Change
ESA European Space Agency.
ESF European Science Foundation.
ESO European Southern Observatory
EUREKA European technological initiative to encourage cooperation between member countries and promote
industrial competitivity.
4th FP 4th RTD Framework Programme 1994-1998 (EC).
FED European Development Fund
GAIT/WTO General Agreement on Tariffs and Trade/World Trade Organisation
G7 Group of the seven most industrialised nations
IIFSP Human Frontier Science Programme.
HUGO Human Genome Organisation
IAEA International Atomic Energy Authority.
IMS Intelligent Manufacturing System
INCO S+-T cooperation with third countries and international organizations.
INTAS International Association for the promotion of cooperation with scientists from the New
Independent States of the Former Soviet Union.
IPR Intellectual Property Right
IPTS Institute for S&T Forecasting in Sevilla
IRDAC Industrial R&D Advisory Committee of the European Commission
ISTC International Science and Technology ('entre, aiming to reorientate former Soviet Union military
scientists to civil applications.
ITER International Thermonuclear Experimental Reactor.
ITU International Telecommunications Union

.IRC Joint Research Centre

MEDA new budget for 1995-99 within the European Mediterranean partnership
MPC Mediterranean Partner Countries

NIC New Industrialised Countries

NIS New Independent States of the former Soviet Union.
OECD Organization for Economic Co-operation and Development.
PECO Countries of central and eastern Europe; and Community support to participation of these countries in
the _Hvc_ open specific programmes.
Phare EU initiative to support the development of central Europe.
RTD Research and Technological Development, in the sense of the EC programme
S+T Science and Technology, in a general sense.
Tacis EU initiative for the NISlates and Mongolia to develop economic and political links.
WHO World Health Organization
UNCED United Nations Conference for Environment and Development
UNESCO United Nations Science, Culture and Education Organisation

AVICENNE

ACP

CERN

CERAAS

CFSP

COPERNICUS

COST

CRES'I

DC

**23**

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#### **COM(95) 489 final**

# **DOCUMENTS**

###### **EN 15 11** **Catalogue number : CB-CO-95-537-EN-C**

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