Published by: European Commission Delegation in China
Beijing, April 1999

Neither the European Commission, nor any person acting on its behalf, may be held responsible
for the use to which information contained in this publication may be put, or for any errors which, despite careful preparation and checking, may appear.

For additional information:

l) A constantly updated Web site provides advice and all relevant information on submitting
proposals for research projects, including the documents to be completed, and features a home
page for each of the Specific Programmes. The address is:

http://www.cordis.lu

2) Dr. Jiirgen Sanders-Counsellor for Science and Technology
    Delegation of the European Commission in China
15 Dongzhimenwai Dajie, Sanlitun, 100600 Beijing, China
Tel：+86-1O-65324443 ext.214 Fax: +86-1O-65324342
E-mail:jurgen.sanders@delchn.cec.eu.int

3) Department of International Cooperation (contact person: Mr. Hu Mu)
Ministry of Science and Technology of the PRC
15 Fuxing Lu, 100862 Beijing, China
Tel. +86-IO-68512588 Fax: +86-IO-685 12594
E-mail: hum@mail.most.gov.cn

 

Introduction to EU-China S&T Cooperation

EU-China cooperation in Science and Technology started in the early 1980s, and has notably increased during the European Commission's 4th Framework Programme for Research and Technological Development (1994-1998). The main instrument has been the EU's programme for Scientific and Technological Cooperation with Developing Countries (INCO-DC). Under the INCO-DC Programme more than 50 projects have included Chinese partners, and China has been the non-EU country with the largest participation.
Under the 5th Framework Programme the cooperation possibilities in Science and Technology have clearly been enhanced, thanks to the signing of the new EU-China S & T Agreement. This agreement allows the opening of the core of the Framework Programme to Chinese researchers and of the equivalent programmes of the Chinese govemment to the EU scientists. As an Emerging Economy Country, China can still be counted as a Developing Country regarding participation in the succesor of INCO-DC, the INCO-DEV Programme, and now Chinese scientists can also consider presenting joint proposals with their EU partners to the higher-funded Thematic Programmes. In this latter case, the S & T Agreement requires that while the EU partners can receive EU funds the Chinese applicants should be funded in principle within China, and they need to have a confirmed source of domestic funding when they apply. The new system of fellowships for young researchers from Developing Countries also includes those from Emerging Economy Countries, and in particular from China.

The new EU-China S&T Agreement

In order to expand their Research, Technological development and Demonstration cooperation beyond the domains covered by the INCO-DEV Programme, the EU and China signed a new S&T Agreement on 22nd December 1998. Under the agreement the two parties will promote cooperative activities which may take the following forms:

- Participation of Chinese research entities to RTD projects under the First Activity of the Framework Programme and reciprocal participation of research entities established in the Community to Chinese projects in similar sectors of RTD. Such a panicipation is subject to the rules and procedures applicable in each Party;         - Pooling of RTD projects already implemented according to the procedures applicable in the RTD programmes of each Party;         - Visits and exchanges of scientists and technical experts;         - Joint organisation of scientific seminars, conferences, symposia and workshops, as well as participation of experts to those activities; as participation of experts to those activities;         - Concerted actions;         - Exchanges and sharing of equipment and materials;         - Exchanges of information on practices,laws, regulations, and programmes;         - Any other modalities recommended by the Steering Committee and deemed in conformity with the policies and procedures applicable.

The Fifth Framework Programme

- Objectives
The Fifth Framework Programme, adopted on 22nd December 1998, defines the European Union activities in the field of Research, Technological Development and DemonsUation for the period 1998-2002. Besides the Member States of the EU, a number of countries participate in the Framework Programme: the Pre-Accession States: Bulgaria, Republic of Cyprus, Czech Republic, Estonia, Hungary, Latvia, Lithuania, Poland, Romania, Slovakia and Slovenia and the Associated States: Israel, Iceland, Norway and Liechtenstein.
The Fifth Framework Programme differs from its predecessors in that it has been conceived to solve problems and to respond to major socio-economic challenges facing the EU. It focuses on a limited number of objectives and areas, the so-called key actions, combining technological,industrial, economic, social and cultural aspects. A total of 23 key actions have been identified, which deal with concrete problems through multi-disciplinary approaches involving all the interested panies. In addition to the key actions, approximately 30% of the resonrces are devoted to research activities of a generic nature, on basic knowledge or technologies in rapidly emerging sectors and those with high potential, as well as to support for research infrastructures.

- Structure and contents
The Fifth Framework Programme consists of seven Specific Programmes, of which four are Thematic Programmes and three are Horizontal Programmes. The three Horizontal Programmes cut across all the fields covered by the key actions, providing a further dynamic. All these programmes are integrated as follows:

First Activity: Implementation of RTD programmes
  - Thematic Programme 1: Quality of life and management of living resources (LIFE)
  - Thematic Programme 2: User-friendly information society (IST)
  - Thematic Programme 3: Competitive and sustainable growth (GROWTH)
  - Thematic Programme 4: Energy, environment and sustainable development (EESD)

Second Activity: RTD cooperation with Third Countries and International Organisations
  - Horizontal Programme 1: Confirming the international role of community research
                                        ·  Cooperation with Third Countries (including INCO-DEV)
                                        ·  Training of researchers
                                        ·  Co-ordination with the other Specific Programmes

Third Activity: Dissemination and optimisation of the results of RTD activities
  - Horizontal Programme 2: Promotion of innovation and encouragement of participation of SMEs

Fourth Activity: Stimulation of the training and mobility of researchers
  - Horizontal Programme 3: Improving the human research potential and the socio-economic knowledge base

- Budget
The global budget of 14,960 million euro for the Fifth Framework Programme (which represents an increase of 4.61% compared to the Fourth Framework Programme) is split into two parts. A budget of l3,700 million euro has been agreed for the implementation of the European Community section, and l,260 million euro have been allocated to the EURATOM programme, concerning the nuclear sector. The first part is distributed as follows:

Million(euro) First Activity                                        l0,843 Thematic Programme 1                        2,41 3 Thematic Programme 2                        3,600 Thematic Programme 3                         2,705 Thematic Programme 4                         2,125 Second Activity                                    HPI 475 Third Activity                                       HP2 363 Fourth Activity                                     HP3 l,280 Joint Research Centre: Direct actions 739

The four Thematic Programmes and their key actions

TP 1 : Quality of life and management of living resources (LIFE) TP 2 : User-friendly information society (IST) TP 3 : Competitive and sustainable growth (GROWTH) TP 4 : Energy,environment and sustainable development(EESD)

Contact:eesd@cec.eu.int Web site:www.cordis.lu/eesd

All industrialised countries are confronted with two challenges which, in the context of sustainable development, are closely connected: to ensure satisfactory long-term energy supplies and to reduce the impact of human activity on the environment. Besides the key actions, research activities of a generic nature will be supported in three fields: (i) the fight against major natural and technological hazards, (ii) Earth-observation satellite technologies and (iii) socio-economic aspects of environmental changes.

Environment and sustainable development:

· Sustainable management and quality of water
Located where agricultural, environmental and regional policies meet, this key action is intended to develop the knowledge and technologies needed to guarantee EU water supplies - particularly high-quality drinking water-at an affordable price and in sufficient quantity.
The S&T objectives are:
  -Treatment and purification technologies to prevent pollution, purify water, prevent and mitigate salination of water resources, and use or re-use water rationally; integrated management of water resources and wetlands.
  -Technologies for monitoring and preventing pollution, protection and management of groundwater and surface water resources, including ecological quality.
  -Surveillance, early warming and communication systems.
  -Technologies for the regulation and management of stocks and technologies for arid and semi-arid regions, and generally water-deficient regions.

·Global change, elimate and biodiversity
The aim is to develop the S&T and socio-economic basis and tools necessary for the studyand understanding of changes in the environment. The S&T objectives are:
  -To understand, detect, assess and predict global-change processes.
  -To foster better understanding of the tenestrial and marine ecosystems and the interaction between them and other ecosystems.
  -To develop strategies for the prevention and mitigation of-and possible adaptation to-the effects of global change, and the conservation of biodiversity.
  -To support the development of the European component of the global observation systems for climate, terrestrial systems, and oceans.

·Sustainable marine ecosystems
Understanding these ecosystems better and ensuring the sustainable management of the marine resources they contain are two of the principal aims of this key action. Another is a better co-ordination of national maritime policies. The S&T objectives are:
  -To develop scientific knowledge on marine processes, ecosystems and interactions.
  -To reduce the anthropogenic impact on both biodiversity and the sustainable functioning of marine ecosystems, through analysis of its causes, consequences, and possible solutions, and through development of safe, economic, and sustainable exploitation technologies.
  -To develop the capacity for monitoring and managing coastal phenomena.
  -To enable operational forecasting of environmental constraints on offshore activities.

·The city of tomorrow and cultural heritage
This key action is intended to develop forms of global city management that look to the future, without forgetting the past. The aim is to reconcile economic activity with quality of life and the protection of cultural heritage. The S&T objectives are:
  -Integrated approaches aiming at the sustainable development of cities and rational management of resources.
  -Protection, conservation and enhancement of European cultural heritage.
  -Preservation, recovery, renovation, construction, dismantling and demolition of the built environment, in particular for large groups of buildings.
 

Energy:

·Cleaner energy systems inclutling renewables
The aim is to help solve the energy problem by studying how to secure and diversify the EU's energy supplies in the face of the expected growth while reducing the impact of this comsumption on the environment. The S&T objectives are:
  -Energy production from coal, biomass or other fuels.
 -Development and demonstration of the main new and renewable energy sources.
 -Integration of new and renewable energy resources into energy systems.
 -Reduction of the damage caused to the environment by power production.

·Economic and efficient energy for a competitive EU
This key action is designed to improve the efficiency of the energy cycle and to reduce costs at all stages - production, distribution and use. The S&T objectives are:

-Rational and efficient use of energy.  -Transmission and distribution ot energy.  -Storage of energy.  -Exploration, extraction and production of hydrocarbons.  -Improving the efficiency of new and renewable energy sources.  -Scenarios for supply and use of energy.

The Horizontal Programmes

HP 1: confirming the international role of community research contact:inco@cec.eu.int web site:www.cordis.lu/inco2

The principal aim of this horizontal programme is to make known the quality of EU research, by opening it up to the world. It also seeks to promote scientific and technological co-operation between researchers from the EU and from Third Countries.

1. Co-operation with Third Countries: The activities cover the following categories of countries outside the EU:
      · Countries preparing for accession to the EU.
      · NIS and those Central and Eastem European Countries not included above.
      · Mediterranean Partner Countries.
      · Developing Countries (including China): The objective of this part of the programme is to tackle, jointly with the DC scientists, research problems linked directly to development challenges in the long-term mutual interest. Specific activities will be undertaken in the following areas:
 -mechanisms and socio-economic and policy conditions for sustainable development
 -sustainable management and use of natural resources
 -health improvement
      · Emerging Economy and Industrialised Countries (including China): These countries are both competitors and partners for the EU in the global market place. The activities will foster policy dialogue on research, access to know-how and opportunities for cooperation with these countries, as well as the sharing of costs and benefits of global endeavours, such as human genome and information society; and cooperation aimed at the solution of world-wide problems such as global climate change. Activities will consist mainly of implementing S&T cooperation agreements with certain countries.

2. Training of researchers: A system of fellowships will give young researchers from Developing Countries (including Mediterranean Partner Countries and Emerging Economies, and in particular China) the opportunity of collaborating within laboratories in the EU (or in Associated States) on joint research projects or concerted actions of the Specific Programmes of the 5th Framework Programme. The application for a bursary for a period of up to 6 months, involving training or work on a particular experiment, must be submitted together with the project proposal and will be evaluated simultaneously with it.Only if the whole project is selected for funding and the bursary application is highly rated will the bursary be granted.

3. Coordination with other Community activities and European initiatives: An objective of this programme is also to improve co-ordination with the other Specific Programmes and with the external technical assistance programmes of the European Union such as Phare, Tacis, MEDA, the EDF, and the programmes for Asia and Latin America, in order to strengthen the synergies and co-operation with the countries concerned. In addition, methods will be implemented to ensure complementarity with COST and Eureka, to strengthen co-operation with international organisations concerned with S&T and to increase co-ordination with the Member States.

HP 2: Promoting innovation and encouraging Small and Medium-sized Enterprises participation

The aim of this programme is to promote innovative activities, including the creation of innovative enterprises, and to facilitate the dissemination and exploitation of research results and support technology transfer. China may participate project by project, in principle on a self-financing basis, only if this participation provides substantial added value.

HP 3: Improving human research potential and the socio-economic knowledge base

The aim is to meet this double need, to build up human research resources and develop the' socio-economic knowledge base, through greater support for the training and mobility of researchers and by enhancing access to research infrasructures. China may participate project by project, in principle on a self-financing basis, only if this participation provides substantial added value.

EURATOM Programme

There are two key actions: a larger one on controlled thermonuclear fusion and a smaller one on nuclear fission mainly aimed at improving safety. China may participate project by project, in principle on self-financing basis, if in conformity with EU interest.

How to take part in the Research Programmes of the EU
Typically, the sequence of events is as follows:

· The "Call for Proposals"
Calls are published in the Official Journal of the European Communities and can be found as well on the CORDIS Web site (www.cordis.lu)

· Preparing the Proposal
Each call has an associated information pack, which defines the objectives of the call, the criteria to be satisfied, the documents to be completed, etc. Information packs (including the Guide for Proposers, the Work Programme, the Call for Proposals and the Evaluation Manual) may be downloaded from the CORDIS Web site. It should be noted that, for the majority of
the calls, the proposal must involve at least two organisations from two Member States (or one Member State and one Associated State, or one of these and the Joint Research Centre). In certain cases, the Commission may offer a pre-proposal checking service.

· Getting the Proposal to Brussels
Proposals must be sent to the European Commission in Brussels as specified in each call. Be careful: almost 1O% of proposals received by the Commission are eliminated because they arrive late, are not signed, are not complete. etc.

· Selectinn of the Researeh Proposals
The majority of calls result in far more proposals than the budget available can fund. A selection must therefore be made. The single most important selection criterion is the quality of the proposals. The information pack, and particularly the section on evaluation, defines what is meant by quality. The evaluation of proposals is carried out with the aid of independent experts. Each application is normally evaluated by at least three experts, first from the scientific and technical point of view (on an anonymous basis), then as regards the proposed consortium and management. Socio-economic and ethical considerations are also evaluated (sometimes by a second group of experts).

· Contract Negotiation
An accepted research proposal always needs a contract between the consortium and the Commission. It is important that conractors agree among themselves (especially on intellectual property rights) and an intra-consortium agreement is thus also neccesary.

· The Research
Once the contract has been signed by all the parties, research work can start the following month, unless a different starting date has been agreed. The payment of the EU's share of project funding is usually made in several instalments.

· Obligations During the Project
Throughout the project, annual reports are generally required. The final payment request is submitted for Commission approval based on a final report. Contractors are also required either to use the results of the research (by exploiting them or carrying out further research) or disseminate them. For this reason, a "technology implementation plan" must be drawn up before the start of the project.