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Decision No 182/1999/EC of the European Parliament and of the Council of 22 December 1998 concerning the fifth framework programme of the European Community for research, technological development and demonstration activities (1998 to 2002)

ANNEX IV

RULES FOR FINANCIAL PARTICIPATION BY THE COMMUNITY

The Community will contribute financially to the research and technological development activities, including demonstration activities, hereinafter referred to as ‘indirect RTD actions’, carried out under the specific programmes implementing the framework programme. In addition, it will carry out directly research and development activities in the areas covered by the framework programme, hereinafter referred to as ‘direct TRD actions’.

1. Indirect RTD actions

The indirect RTD actions will comprise: shared-cost actions, which will be the principal mechanism for implementing the specific programmes, as well as training fellowships, support for networks, concerted actions and accompanying measures.

(a) Shared-cost actions

- enhancing access to research infrastructures:

In addition to measures in support of research infrastructure within the other indirect RTD actions, support for enhancing access to research infrastructures will be granted towards the additional costs of receiving Community researchers and making facilities available,

- technology stimulation to encourage and facilitate SME participation in RTD activities:

‘cooperative research’ projects: projects enabling at least three mutually independent SMEs from at least two Member States to entrust the resolution of their common technological problems to third legal entities with appropriate research capacities jointly.

‘Exploratory awards’ to support the exploratory phase of a project. This might consist of feasibility studies, project validation and preparation and partner search, during a period not exceeding 12 months.

(b) Training fellowships

Training fellowships are defined in the context of the fourth activity (Marie Curie fellowships). Fellowships awarded under the first, second or fourth activities will provide an allowance for the fellow which will include provision for proper social welfare expenses and a contribution to costs involved in mobility. There will also be a contribution to the eligible costs of the host institution when it is in the Community.

(c) Support for research training networks and thematic networks

(d) Concerted actions

Concerted actions will be designed to coordinate RTD projects already in receipt of funding, in order to exchange experience acquired, to expand the research efforts of the various players so as to reach a critical mass, to disseminate results and to inform users.

(e) Accompanying measures

Accompanying measures will contribute to the implementation of the specific programmes or the preparation of future activities, with a view to enabling them to achieve their strategic objectives. They will also seek to prepare for or to support other indirect RTD actions. Measures devoted to the commercialisation of products, processes or services, marketing activities and sales promotion are excluded.

The decisions adopting the specific programmes may spell out in more detail the indirect RTD actions described above, supplement them or subject them to additional conditions or limitations.

The rules for the participation of undertakings, research centres and universities in indirect RTD actions and for the dissemination of results will be specified in the Council Decision to be adopted pursuant to Article 130j of the Treaty. Eligible costs will be defined in that Decision and specified in detail in particular in the contracts.

In addition to the direct RTD actions described below, the JRC will progressively compete for funds for the indirect RTD actions of the framework programme.

2.Direct RTD actions

The direct RTD actions to be implemented by the Joint Research Centre (JRC) will cover research and scientific and technical support activities of an institutional character. The JRC may provide support where it has special or even unique expertise and facilities in the Community or where it is entrusted with activities necessary for the framing and implementation of Community policies and tasks incumbent on the Commission pursuant to the Treaty which require the JRC’s impartiality. The JRC will carry out its activities in close cooperation with the scientific community and enterprises in Europe.

3. Rates of participation

In the decisions adopting the specific programmes implementing the fifth framework programme there can be no derogations from the financial participation rates set out below, with the exception of duly justified special cases.

(1) These rates may need to be adjusted in individual cases to comply with the Community framework for State aid for research and development and with Article 8 of the Agreement on subsidies and countervailing measures of the WTO Agreement.
(2) In the special case of legal entities which do not keep analytical accounts, the additional eligible costs generated as a result of the research will be financed at the rate of 100 %.
(3) 35 % for the demonstration part, 50 % for the RTD part.
(4) In the case of industrial host fellowships, this will normally approximate to 50 % of the total eligible costs.

4. Joint undertakings etc.

Any Council Decisions taken pursuant to Article 130o, as referred to in Article 3(2) of this Decision, will lay down, where necessary, rules on financial participation by the Community.

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