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5. GLOBALSTARS IMPLEMENTING GUIDELINES
☒ For approval
☐ For discussion
☐ For information
SUMMARY
The final version of the GlobalStars Implementing Guidelines document has
been prepared based on comments received during the EG4 meeting in
Stockholm and final discussions in the Smart Globalisation working group. It
is proposed that the HLG, by written procedure, should approve the launch of
a call. Also, the Clusters role as alternative supporting body for calls, besides
the ESE, has been clarified.
Considering the next steps, It is now of crucial importance to gain additional
practical experience regarding the setup and implementation of GlobalStars
calls, besides the pilot call with Chile. Therefore, the present Guidelines,
including the exceptional use of the 1+1 project participation rule for
additional calls, will be limited in time from June 2016 until June 2019. At the
end of the third year, the EUREKA network will perform an assessment on
the experiences made with GlobalStars calls and the application of the 1+1
project participation rule in that context, after which a decision to make
necessary amendments to the GlobalStars Guidelines and to the Hannover
declaration will be taken, either by a Ministerial Conference or by the HLG
mandated by the MC.
PURPOSE OF THE AGENDA POINT
To present the final version of the GlobalStars Implementing Guidelines document to the
members of the HLG/NPC and the concept of a three year trial period for additional calls.
EXPECTED ACTION FROM THE DELEGATE
The members of the HLG/NPC are invited to discuss the document and to consider if it can
be approved for a three year trial period, including the exceptional use of the 1+1 project
participation rule for calls.
HLG/NPC3
Stockholm, 22 June 2016
EUREKA doc. HLG/NPC35
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EXPECTED OUTCOME/RECOMMENDED ACTION
The HLG and the NPCs have been informed about the contents of the final version of the
GlobalStars Implementing Guidelines document and the three year trial period for
GlobalStars calls. The HLG approves the final version of the document and launches a three
year trial period for calls, until June 2019.
BACKGROUND
The EUREKA Strategic Roadmap 2014-2020 identifies Smart Globalisation as a key priority
in the years to come. The innovation process and value chains in many areas extend beyond
the boundaries of the current EUREKA network, indicating a future role of EUREKA as a
platform for global industrial R&D&I cooperation.
In order to strengthen EUREKAs position as a global facilitator of R&D&I, the SE Chair has
initiated the Smart Globalisation working group. One of the tasks of this group is to create a
toolbox for the setup of multilateral calls between EUREKA countries, including the
associated countries, and non-EUREKA countries outside the network. This toolbox has
been given the working name GlobalStars.
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GLOBALSTARS IMPLEMENTING GUIDELINES Background
Project-by-project participation of partners from third countries in EUREKA Network and
Cluster projects is the original approach to connect EUREKA countries with countries outside
of Europe and represents the first internationalisation track. In 2001 EUREKA introduced the
status of ‘Associated Country’1 and established a second internationalisation track. Both
tracks are solid pillars for global cooperation in the framework of EUREKA.
However, the two current internationalisation tracks have limitations. The project-by-project
cooperation is a passive instrument and limits the cooperation possibilities with third
countries. Approximately 1002 project participations from third countries occurred in the past
30 years compared to 5700 projects overall. On the other hand the Associated Countries are
key partners for most EUREKA countries. They are essential for the dynamics in the
EUREKA Network today and together already initiated 100 EUREKA projects in the past 6
years. Nevertheless, there could be a challenge to significantly increase the number of new
associated countries, without some kind of impact on the governance efficiency of the
Network. In view of this, the addition of yet another track for internationalisation besides the
two existing tracks could create the necessary flexibility.
Based on the EUREKA Strategic Roadmap 2014-2020, where Smart Globalisation was
identified as a key priority, a multi-track approach for the internationalisation of EUREKA was
elaborated with the establishment of a third internationalisation track with the working name
GlobalStars. GlobalStars shall be designed to effectively operate existing bilateral
agreements or to establish new cooperation in the domain of innovation on the level of
ministries or national funding bodies of several EUREKA countries (member countries and
associated countries) with non-EUREKA countries. GlobalStars shall be a flexible, reliable,
lean and fast instrument allowing global cooperation for EUREKA countries in a variable
geometry.
GlobalStars Objectives
The innovation process and value chains in many technological areas and market areas
extend beyond the boundaries of the current EUREKA network, indicating a future role for
EUREKA as a platform for global industrial R&D&I cooperation.
1 AD EUREKA 009, Participation of non-member countries: Adoption Madrid rules, EUREKA Ministerial Conference, 28 June, 2001. 2 Source: EUREKA brochure “EUREKA beyond Europe: Going global, smartly”, download on http://www.eurekanetwork.org/eureka-newsroom/publications. Note that this figure underestimates true participation by third countries in EUREKA’s history, as it does not include projects participations by current EUREKA Member and Associated countries prior to their joining the EUREKA network.
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In today’s global economy, openness to international cooperation is becoming increasingly
important. The industry, and especially the SMEs, in Europe and the associated member
countries need to access new and emerging markets.
The aim of the GlobalStars initiative is to facilitate international R&D&I cooperation
between EUREKA countries, including associated countries, and non-EUREKA partner
countries. The final results will be the generation of EUREKA Network and Cluster
projects.
In the framework of a common GlobalStars methodology, calls will be set up following a
bottom up approach when it comes to selection of partner country and thematic areas for
the call (any Eureka country or group of Eureka countries will be able to propose a
partner country for a GlobalStars call and decide on the preferred topics, if any).
As far as Network projects are concerned, coordination of call activities such as
submission and evaluation of proposals will ensure a short time to contract for the
applicants and requires a lean and efficient process for the participating National Funding
Bodies (NFBs). Cluster proposals will be handled by the relevant Cluster with the same
process as the other proposals.
GlobalStars is a bottom-up initiative and the Association of a non-European country to
EUREKA is a top-down process. Both initiatives are by nature independent. Setting up a
GlobalStars call with a third country is not necessarily a preamble for that country to
become an associated member and neither will the participation of a third country in a
GlobalStars call automatically lead to an association to EUREKA. However, the EUREKA
HLG can decide on a case by case basis to couple both initiatives as it was decided for
the cooperation with Chile at the HLG2 meeting under Swiss Chairmanship.
Eligibility Criteria for GlobalStars calls
In order to establish a call, the following preconditions must be met:
Call collaboration between at least 2 EUREKA members and a GlobalStars partner
country (or group of GlobalStars partner countries) outside the EUREKA Network.
Or alternatively: Call collaboration between 1 EUREKA member and 1 associated country
and a GlobalStars partner country (or group of GlobalStars partner countries) outside the
EUREKA Network.
On project level in the call, the minimum required number of participants should be 2
independent organisations, 1 organisation from a EUREKA member or associated
country and 1 organisation from a GlobalStars partner country.
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Call Implementation
Selection of the countries
GlobalStars calls will be organised on the initiative of the EUREKA countries, including
associated countries, and will be open to all the EUREKA countries that will be interested
and ready to join.
Mapping of potential GlobalStars countries is done by the countries that take the initiative in
launching a GlobalStars call (and can be on the basis of competitiveness, commercial
interests, available MoU’s, bilateral agreements etc.).
It is the participating EUREKA countries own responsibility to balance their own funding
budgets with the funding budget of the partner country.
Roles and responsibilities
Each GlobalStars call will be managed by the participating EUREKA countries in the case of
Network projects, and by the participating Cluster(s) in the case of Cluster projects. For
Network projects, the countries involved will be responsible of selecting as supporting body
the EUREKA Secretariat (ESE). In order to avoid any competition with the ESE, the Clusters
should ensure to take calls only in their domain of expertise.
On the condition that the call criteria specified below are met, the ESE or a Cluster will
support a group of EUREKA member countries and associated countries that would like to
set up a GlobalStars call with one or several partner countries:
1. For Network projects, at least 2 EUREKA members or 1 EUREKA member and 1
associated country will set up a time limited call with an identified GlobalStars partner
country or group of partner countries. For Cluster projects, the standard Cluster calls will
be used.
2. On project level in the call, the minimum required number of participants is 1 organisation
from a EUREKA member or associated country and 1 organisation from a GlobalStars
partner country.
3. A request to set up a GlobalStars call has to be sent to the ESE or a EUREKA Cluster at least 3 months before the planned opening of the call. During this time period of 3 months, the call is announced to the EUREKA Network by the ESE or the Cluster and interested EUREKA countries and associated countries can express their interest to participate within 1 month after the announcement.
4. A Declaration of Intent (DOI) to carry out a joint call has to be signed with the partner country or countries, specifying a set of thematic areas or a bottom up approach, a
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common understanding on how to exploit new property rights and a solid financial commitment from the NFBs in each of the participating countries. A paragraph should be included to assure that national rules are published in advance of the call for the benefit of applicants. The timeline for the call, including time to contract, is specified in the DOI itself or in a Call Information document that is annexed to the DOI.
5. The group of participating countries in the call sends the following call documentation to
the ESE or the Cluster at least 1 month before the planned opening of the call:
- A copy of the signed DOI, including the annexed call information document
- A list of the EUREKA 2.0 services (when these have become available) or Cluster
services requested in the call
6. The ESE or the Cluster checks the submitted call documentation. The ESE or the Cluster
will:
- Check that the call fulfils all the GlobalStars criteria and procedures (that will be either
based on EUREKA Network Projects criteria and procedures and at a later stage on
EUREKA 2.0 criteria and procedures that are under development, or on Cluster
criteria and procedures). If this is not the case, the ESE or the Cluster will ask the
group of countries to update the call documentation.
- Estimate the expected additional costs linked to the call.
- Check that in house resources are available without entering into conflict with other
ongoing tasks. In this respect the ESE can propose alternative dates for Network
projects.
- Prepare a report on the previous checks and estimations for the HLG to approve.
The check of the call documentation will have to be done within 15 days, not taking into
account any additional time required to request necessary updates of the documentation.
7. If the call documentation is in order, the ESE or the Cluster, will submit the report to the
HLG with a request for approval of the GlobalStars call by written procedure within 15
days.
8. The EUREKA participating countries will have to accept the final decision from the HLG
before launching the call. This acceptance has to take place within 15 days.
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Service agreement
The group of participating countries in a call will sign a service agreement with the ESE or
the Cluster Office only if additional cost or services from Eureka 2.0 or the Clusters are
identified. According to this agreement the costs for the services of ESE or a Cluster Office in
the call will be jointly covered by the participating countries. The EUREKA countries
participating in a call will have the possibility to jointly cover the costs of the non-EUREKA
partner country or countries if they would like to do so.
The GlobalStars process
In the present chapter the GlobalStars process is defined, derived from relevant EUREKA
processes in place (including Cluster processes) and planned EUREKA 2.0 modules. The
GlobalStars process shall be effective and provide an added value to the participating
organisations compared to country-by-country bilateral cooperation outside the EUREKA
initiative. The guiding principle is to implement the EUREKA 2.0 modules unchanged as far
as possible if a GlobalStars call is organised by ESE and to implement the Cluster services
and procedures if a GlobalStars call is organised by a Cluster. Since the Cluster services and
processes are well defined they will not be further described in the present Guidelines.
As described in EUREKA document ‘HLG/NPC39 EUREKA 2.0 status and next steps’
EUREKA 2.0 is a toolbox consisting of service modules, which can be used by NFBs to
cooperate within the EUREKA initiative in an efficient way. The service modules are
structured along the process from project generation to project evaluation and post project
financing. NFBs organising a bi- or multilateral call under EUREKA 2.0, combine their own
resources with suitable services provided by complementary initiatives and service modules
delivered by ESE. Table 1 of EUREKA document HLG/NPC39 lists all potential services
available on national level, on the level of complementary initiatives and on the level of ESE.
It can be assumed that the development of EUREKA 2.0 takes time, since it is strongly
connected with the development of smart IT modules and a high degree of synchronisation
of national and international processes and initiatives facilitating the international cooperation
of NFBs in the framework of EUREKA. During the development of EUREKA 2.0 and beyond,
the established EUREKA Network project process will stay in place to ensure stable
operational conditions. On a long-term perspective, it can be assumed that EUREKA 2.0 will
facilitate the development of a highly centralised process with central application, evaluation
and project monitoring similar to Eurostars. Some EUREKA member countries will prefer this
centralised process, while others will prefer to stay with the decentralised process of the
EUREKA Network projects based on national evaluations.
For GlobalStars, where EUREKA countries cooperate with non-EUREKA countries, a decentralised process and a centralised process is defined to provide the group of countries participating in a GlobalStars call the possibility to choose the process, which suits them best. However, in case a EUREKA Cluster supports the setup of the call, the decentralised
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process will be mandatory, in line with the standard process from each Cluster. The two processes are identical for a) proactive assistance and promotion, b) project generation and partnering, e) project monitoring and impact assessment and f) follow-up activities. Different processes are defined for c) submission of project outlines and applications and d) evaluation of project applications.
a) Proactive Assistance and promotion
A dedicated webpage for the call will be provided by the ESE with links to national
webpages, and will be relayed by the Cluster(s) involved. Based on the Call information
document that is annexed to the DOI, information about the timeline of the call, national
funding rules and national contacts is published on the webpage. This information is also
published on national web pages in the countries participating in the call. In the case of
Clusters, a specific announcement will be released stating that participants from the non-
EUREKA country involved in the GlobalStars agreement are welcome in the next call(s).
b) Project generation / partnering
For Network projects, national information and matchmaking/B2B activities can be arranged by the participating countries to support the call. In the future, this process may be supported by EUREKA 2.0. Some suggested activities: Integrate key-stakeholders in matchmaking events, organise EUREKA testimonies, foresee pitches for large companies, SMEs and universities/RTO.
In the case of Clusters, they will provide support for interested companies in the GlobalStars partner country (or group of countries) and European companies to find adequate partners to develop projects.
c) Submission of project outlines or applications
A one-step or two-step application process has to be defined. In the case of Network
projects, the two-step application process operates with a project outline screening the
project ideas before a full GlobalStars application is submitted to a common mailbox. The
countries involved in the call may choose to use the project form for full project proposals
also for the project outline step. In the case of Cluster projects, the standard application
process is used.
The NPC or NFB contact persons in the call coordinate their feedbacks on the submitted
project outlines to the project partners. A feed-back includes a formal eligibility check, a
recommendation if a full application has reasonable chances for funding and an
explanation of the next steps. In each country, the NPC or NFB contact persons then
informs their partners. Considering the eligibility check on project level, the following
criteria apply:
- The project has a civilian purpose.
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- The project has participation of at least one EUREKA member or associated
country.
- The project is directed at the development of a product, process or service.
- The project represents co-operation in the form of a specific project.
- The project contains at least two legal entities that are independent of one
another.
- The project leader is a company.
- No independent entity or single country is responsible for more than 75 % of the
project budget.
For the submission of a full GlobalStars Application the following application forms are
foreseen:
Decentralised: the light EUREKA Network project description plus national
application forms are utilised. Eventually, the EUREKA Network project form
could be replaced by the EUREKA 2.0 application form that are under
development. When this happens, the two submission procedures could possibly
be merged into one. In case a EUREKA Cluster is involved in the setup of the call,
the relevant Cluster forms are utilised.
Centralised: When available, a common Eureka 2.0 project application form,
based on the Eurostars application form, will be utilised. This option can only be
recommended if the participating NFBs accept the EUREKA 2.0 application form
as a valid format for evaluation. However, following the established Eurostars
practise, additional application or registration forms may still be utilised by NFBs
on national level.
d) Evaluation of project applications
A physical or virtual (by video conference) evaluation panel meeting for GlobalStars will be
organised at the ESE premises in Brussels or at another suitable location. In case a
EUREKA Cluster is involved in the setup of the call, the evaluation process and meetings will
be organised according to the Clusters own procedures. NFB representatives from EUREKA
countries (member countries and associated countries) and non-EUREKA partner countries
will meet to select the projects to be funded. Two different evaluation processes are
proposed: a decentralised process and a centralised process:
Decentralised process
For the decentralised process, the EUREKA Network project process is combined with a
funding synchronisation module following the approach of the EUREKA Clusters. The
EUREKA Clusters synchronise the funding for a project application in a coordination meeting
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with the involved “Public Authorities”. At the coordination meeting every Public Authority
representative prepares specific comments for its project partners and assesses the chances
for funding using a traffic light colour: green means good chances for funding, orange means
minor modifications are needed, red means major changes are needed, and grey means that
no information has been provided at that time by the Public Authority. The resulting matrix of
the Public Authority meeting plus the evaluation made by the Cluster experts are sent to the
Public Authority for consideration in the national evaluation following the labelling of the
project.
For GlobalStars the project partners submit the EUREKA Network project form (or when
available in the future, the EUREKA 2.0 application form), plus their national application form
before the call deadline. Representatives of the involved funding bodies organise a funding
synchronisation meeting following the model of a Cluster Public Authority Meeting. The NFB
representatives discuss the chances for funding for each project partner from their
perspective using the traffic-light scoring plus specific comments. The national funding
bodies when evaluating the national applications consider the resulting funding
synchronisation matrix. After the Project Assessment Methodology (PAM) procedure has
been carried out by each NPC, successful projects will be labelled as EUREKA Network
projects. Non-EUREKA partner countries participating in GlobalStars will get access to the
restricted website limited to the project administration module to participate in the PAM
procedure leading to the labelling of projects and for follow-up activities. They may also
participate in bilateral meetings and in follow-up activities like the EUREKA Innovation
Award, E!nnoVest, etc. For Cluster projects, as already stated, the standard Cluster process
will be followed.
Centralised process
For the centralised process, the full EUREKA 2.0 evaluation module that is under
development (and will closely follow the Eurostars evaluation module) is implemented. This
includes an eligibility check, a financial viability check and three expertises from the
Eurostars/Eureka 2.0 experts’ database. In the second step the involved national funding
bodies nominate 1-2 representatives for a GlobalStars evaluation panel. The GlobalStars
evaluation panel produces the ranking list based on the three expertises per project. The
designated HLR or ministerial representatives from third countries approve the ranking list
and the involved national funding bodies synchronise the funding within 5 weeks after the
approval of the ranking list. The EUREKA HLG in one batch according to the
Eurostars/Eureka 2.0 procedure endorses successful projects as EUREKA Network projects.
Partner countries participating in GlobalStars will get access to the restricted website limited
to the project administration module for follow-up activities. They may also participate in
bilateral meetings and in follow-up activities like the EUREKA Innovation Award, E!nnoVest,
etc.
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e) Project monitoring and Impact assessment
The monitoring of projects from GlobalStars calls will follow the same procedure as the
Eureka Network projects and will include the following elements:
Early Progress Check
Mid Term Project Check (when implemented)
Progress reports on national level
Final report and market impact reports
The monitoring documents and procedures should be synchronised with other EUREKA
instruments to facilitate impact assessment.
f) Follow-up activities
EUREKA promotion like Success stories, EUREKA Innovation Award, etc.
Access to private investments through E!nnoVest
- Etc.
Call documents and templates
Various supporting documents that will aid the setup and implementation of GlobalStars calls
have been identified in the above text and are listed below.
The DOI for the Chile pilot call has been developed by the Smart Globalisation WG and was
approved by the HLG in March 2016, in the NPC/HLG2 meeting in Malmö, Sweden. This
DOI is generic and could be used as an example of a DOI for future GlobalStars calls with
other countries, once the names of individuals and organisations specific to Chile have been
taken out.
A model DOI template based on the Chile DOI is added as an annex to this document. In this
template, the HLR Chairman signs on behalf of the participating EUREKA countries but this
is just one of many options. The template could be adapted to suit the specific needs of a
call.
In addition to the DOI template, templates for other supporting documents will be developed
as a part of the process of setting up future pilot calls. Once a template has been finalised it
will be made available on the EUREKA restricted (NPC) web page.
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List of templates and forms
GlobalStars model DOI template (existing and annexed to the main document).
Template for call information document, providing information on the timeline of the call, national contact persons, national funding rules and requirements. Could be same as for E!2.0 (TBD)
Template for a service agreement between the ESE and the countries participating in a GlobalStars call. Could be same as for E!2.0 (TBD)
Project Outline template for two step call processes. Could to some degree be adapted to suit the needs of a specific GlobalStars call, e.g., some specific questions added by an NFB from a partner country outside the EUREKA network or questions regarding the benefit of collaboration with a partner country. (TBD)
A E! 2.0 application form should be prepared for use in E! 2.0 calls within the EUREKA Network as well as for GlobalStars calls. Could to some degree be adapted to suit the needs of a specific GlobalStars call, e.g., some specific questions added by an NFB from a partner country outside the EUREKA network or questions regarding the benefit of collaboration with a partner country. However, the application form would still need to be compatible with the EUREKA 2.0 modules and processes that are under development at the ESE. (TBD)
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Annex: Model DOI template
EUREKA – ______________ (Country X)
Declaration of Intent on Call for Proposal
This Declaration of Intent (hereinafter referred to as this “DOI”) is signed by and between: The Eureka Network represented by the Chairman of the Eureka High Level Group and ________________________________ (Ministry/Organisation representing Country X) Herein after referred to as “the Parties”. The parties have agreed to the principle that proposals submitted to the call must be composed of at least one partner in ___________ (Country X) and one partner in a EUREKA member country or associated country. Further, projects supported/generated by this call will be labelled ‘Eureka Network projects’. The parties have agreed to launch a pilot call to stimulate joint R&D projects with view to carry out activities and coordinated measures to foster technological exchanges and collaboration in research and innovation between companies of _________ (Country X) and the EUREKA member countries and associated countries that are interested in participating in this call (herein after referred to as “EUREKA countries”). The Parties hereby declare their interest to launch a call for proposals in ______ (Date) based on the existing mutual interest in order to support high quality innovative projects between partners from ___________ (Country X) and from the participating EUREKA countries.
The Parties agree on supporting technological collaborative projects between partners from ___________ (Country X) and partners from the participating EUREKA countries in any technological field, although some technological areas could be identified in the text of the call. Taking into consideration the respective national legislations and international agreements in force, the parties in the cooperation projects shall adopt appropriate measures to protect the intellectual property rights arising from cooperation projects under the framework of this Declaration of Intent.
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In ____________ (Country X) and in each of the EUREKA countries a dedicated team will be responsible for implementing the call for proposals.
- ______________ (Agency Y of Country X) and the NPCs from the EUREKA Countries will provide support for interested _____________ (Country X) and European companies to find adequate partners to develop projects.
- ______________ (Agency Y of Country X) and the NPCs from the EUREKA Countries will promote this call for proposals through their respective websites, in the framework of their national and regional networks.
- ______________ (Agency Y of Country X) and the NPCs from the EUREKA Countries will publish national rules that will apply to the submitted proposals.
- The call for proposals will have ____ (specify 1 or 2) phases. The details of the schedule and the processes involved will be defined in the call text.
- ______________ (Agency Y of Country X) and the NPCs from the EUREKA
countries shall assess the proposals that will be submitted within the joint call for proposals according to the Eureka processes and methodology.
- The selected projects will be labeled as EUREKA Network projects according to the
procedures of the EUREKA initiative.
- ______________ (Agency Y of Country X) and the National Funding Bodies from the EUREKA countries will finance the approved project partners from _________ (Country X) and from the EUREKA countries, respectively, in accordance to their national funding rules. A funding decision for labelled projects will be taken by ______________ (Agency Y of Country X) and the NPCs or National Funding Bodies within ____ (Specify number of months) months after the labelling decision.
- Follow up of selected projects shall be performed in accordance with the EUREKA
procedures.
- ______________ (Agency Y of Country X) will get access to full project information for those projects in which _________ (Country X) is taking part.
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Signature - ________________________________
(Ministry/Organisation representing Country X)
Signed in the name and on behalf of
(Ministry/Organisation representing Country X)
Signed in on
Signature ___________________________________________
First name/Family name
Title/Ministry/Organisation
Signature – on behalf of EUREKA
Signed in the name and on behalf of
EUREKA Chair
Signed in on
Signature ___________________________________________
First name/Family name
High Level Group Chairman
Ministry/Organisation