DECISION No 1982/2006/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 18 December 2006
concerning the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular Article 166(1) thereof,
Having regard to the proposal from the Commission,
Having regard to the Opinion of the European Economic and Social Committee (1),
Having regard to the Opinion of the Committee of the Regions (2),
Acting in accordance with the procedure laid down in Article 251 of the Treaty (3),
Whereas:
(1)
The Community has the objective, set out in the Treaty, of strengthening the scientific and technological bases of Community industry, thereby ensuring a high level of competitiveness at international level. To this end, the Community is to promote all the research activities deemed necessary, in particular by encouraging undertakings, including small and medium-sized enterprises (‘SMEs’), research centres and universities in their research and technological development activities. In this context, priority should be given to those areas and projects where European funding and cooperation is of particular importance and provides added value. Through its support for research at the frontiers of knowledge, applied research and innovation, the Community seeks to promote synergies in European research and thus provide a more stable foundation for the European Research Area. This will make a positive contribution to the social, cultural and economic progress of all Member States.
(2)
The central role of research was recognised by the Lisbon European Council of 23-24 March 2000 which set the European Union a new strategic goal for the next decade: to become the most competitive and dynamic knowledge-based economy in the world, capable of sustainable economic growth with more and better jobs and greater social cohesion. The triangle of knowledge - education, research and innovation - is essential for achieving this goal, to which effect the Community aims to mobilise and strengthen the necessary research and innovation capacities. The Seventh Framework Programme is a central Community instrument in this respect, complementing the efforts of Member States and European industry.
(3)
In line with the Lisbon strategy, the Barcelona European Council of 15-16 March 2002 agreed that overall spending on research and development (‘RTD’) and innovation in the Union should be increased with the aim of approaching 3 % of GDP by 2010, two-thirds of which should come from the private sector.
(4)
The overriding aim of the Seventh Framework Programme is to contribute to the Union becoming the world's leading research area. This requires the Framework Programme to be strongly focused on promoting and investing in world-class state-of-the-art research, based primarily upon the principle of excellence in research.
(5)
The European Parliament has repeatedly stressed the importance of research, technological development and the increased role of knowledge for economic growth and social and environmental well-being, in particular in its resolution of 10 March 2005 on science and technology - Guidelines for future European Union policy to support research (4).
(6)
Taking into account the research needs of all Community policies and building upon widespread support from European industry, the scientific community, universities, and other interested circles, the Community should establish the scientific and technological objectives to be achieved under its Seventh Framework Programme in the period from 2007 to 2013.
(7)
European Technology Platforms (ETPs) and the envisaged Joint Technology Initiatives (JTIs) are particularly relevant for industrial research. In this context, SMEs should be actively involved in their operation. ETPs help the stakeholders establish long-term strategic research agendas and can further evolve to represent an important mechanism for fostering European competitiveness.
(8)
The objectives of the Seventh Framework Programme should be chosen with a view to building upon the achievements of the Sixth Framework Programme towards the creation of the European Research Area and carrying them further towards the development of a knowledge-based economy and society in Europe which will meet the goals of the Lisbon strategy in Community policies. Among the objectives of the Seventh Framework Programme the following are particularly important:
-
trans-national cooperation at every scale across the EU should be supported,
-
the dynamism, creativity and excellence of European research at the frontier of knowledge should be enhanced, recognising the responsibility and independence of scientists in the definition of broad lines of research in this area. With this in mind, investigator-driven basic research based on excellence should play an essential role within the Seventh Framework Programme,
-
human potential in research and technology in Europe should be strengthened, both quantitatively and qualitatively; better education and research training, easier access to research opportunities as well as the recognition of the ‘profession’ of researcher are principal tools for achieving this goal, not least through a significant increase in the presence of women in research, encouraging researchers' mobility and career development. The general principles reflected in the European Charter for Researchers and in the Code of Conduct for the Recruitment of Researchers could help to establish a genuine European labour market for researchers, while respecting their voluntary nature. In addition, the excellence of European research institutions and universities should be developed and enhanced.
(9)
In addition, the dialogue between science and society in Europe should be intensified in order to develop a science and research agenda that meets citizens' concerns, including by fostering critical reflection, and is aimed at reinforcing public confidence in science.
(10)
Special attention should be paid to facilitating the scientific career of researchers in the most productive period of life. Early-stage researchers can be a driving force of science in Europe.
(11)
The research and innovation capacities throughout Europe should be strengthened, both quantitatively and qualitatively.
(12)
A wide use and dissemination of the knowledge generated by publicly funded research activity should be supported.
(13)
In order to realise these objectives it is necessary to promote four types of activities: trans-national cooperation on policy-defined themes (the ‘Cooperation’ programme), investigator-driven research based on the initiative of the research community (the ‘Ideas’ programme), support for individual researchers (the ‘People’ programme), and support for research capacities (the ‘Capacities’ programme).
(14)
Under the ‘Cooperation’ programme, support should be provided for trans-national cooperation at an appropriate scale across the Union and beyond, in a number of thematic areas corresponding to major fields of the progress of knowledge and technology, where research should be supported and strengthened to address European social, economic, environmental, public health and industrial challenges, serve the public good and support developing countries. Where possible, this programme will allow flexibility for mission-orientated schemes which cut across the thematic priorities.
(15)
Under the ‘Ideas’ programme, activities should be implemented by a European Research Council (‘ERC’), which should enjoy a high degree of autonomy to develop very high-level frontier research at European level, building on excellence in Europe and raising its profile at international level. The ERC should maintain regular contact with the scientific community and European Institutions. As regards the ERC structures, the mid-term review of the Seventh Framework Programme may show the need for further improvements necessitating appropriate amendments.
(16)
Under the ‘People’ programme, individuals should be stimulated to enter into the profession of researcher, European researchers should be encouraged to stay in Europe, researchers from the entire world should be attracted to Europe and Europe should be made more attractive to the best researchers. Building on the positive experiences with the ‘Marie Curie Actions’ under previous Framework Programmes, the ‘People’ programme should encourage individuals to enter the profession of researcher; structure the research training offer and options; encourage European researchers to stay in, or return to, Europe; encourage intersectoral mobility, and attract researchers from all over the world to Europe. The mobility of researchers is key not only to the career development of researchers but also to the sharing and transfer of knowledge between countries and sectors and to ensuring that innovative frontier research in various disciplines benefits from dedicated and competent researchers, as well as increased financial resources.
(17)
Under the ‘Capacities’ programme, the use and development of research infrastructures should be optimised; innovative capacities of SMEs and their ability to benefit from research should be strengthened; the development of regional research-driven clusters should be supported; the research potential in the Union's convergence and outermost regions should be unlocked; science and society should be brought closer together in European society; support should be given to the coherent development of research policies at national and Community level and horizontal actions and measures in support of international cooperation should be undertaken.
(18)
The Joint Research Centre (JRC) should contribute to providing customer-driven scientific and technological support for the conception, development, implementation and monitoring of Community policies. In this regard, it is useful that the JRC continues to function as an independent reference centre for science and technology in the Union in the areas of its specific competence.
(19)
The regions have an important part to play in implementing the European Research Area. Unlocking the development potential of regions and wide dissemination of the results of research and technological development help to bridge the technological divide and contribute to European competitiveness.
(20)
The Seventh Framework Programme complements the activities carried out in the Member States as well as other Community actions that are necessary for the overall strategic effort to achieve the Lisbon goals, alongside in particular those under the structural funds and those relating to agriculture, fisheries, education, training, competitiveness and innovation, industry, employment and environment.
(21)
Mutual synergies and complementarity should be assured with Community policies and programmes, while also addressing the need for a strengthened and simplified approach to research funding, which is particularly important for SMEs.
(22)
The Seventh Framework Programme should aim, in particular, to secure the appropriate involvement of SMEs through concrete measures and specific actions for their benefit. Innovation and SME-related activities supported under this Framework Programme should be complementary to those undertaken under the Competitiveness and Innovation Framework Programme.
(23)
Participation in the activities of the Seventh Framework Programme should be facilitated through the publication of all relevant information, to be made available in a timely and user-friendly manner to all potential participants and the appropriate use of simple and quick procedures, free of unduly complex financial conditions and unnecessary reporting, in accordance with the Rules for Participation applicable to this Framework Programme, laid down in Regulation (EC) No 1906/2006 of the European Parliament and of the Council of 18 December 2006 laying down the rules for the participation of undertakings, research centres and universities in actions under the Seventh Framework Programme and for the dissemination of research results (2007-2013) (5).
(24)
Taking into account the mid-term review of the use of new instruments under the Sixth Framework Programme and the Five Year Assessment of the Framework Programme, a new approach has been defined which should allow the political objectives of Community research policy to be reached more easily, more efficiently and in a more flexible way. To this end, a smaller set of simpler ‘funding schemes’ should be used, alone or in combination, with more flexibility and freedom, to support the different actions, and stronger management autonomy should be granted to participants.
(25)
Given the broad interest in the Framework Programme actions, the leverage effect of funding in national and private investments, the need to enable the Community to meet new scientific and technological challenges and to make full use of its researchers' potential without discrimination, the vital role the Community intervention plays in making the European research system more efficient and effective, and the possible contribution of the Framework Programme to the efforts towards, inter alia, finding solutions to climate change and sustainability, the health of Europe's population and the reinvigoration of the Lisbon strategy, there is a need for Community research activities.
(26)
Implementation of the Seventh Framework Programme may give rise to supplementary programmes involving the participation of certain Member States only, the participation of the Community in programmes undertaken by several Member States, or the setting up of joint undertakings or other arrangements within the meaning of Articles 168, 169 and 171 of the Treaty.
(27)
The Community has concluded a number of international agreements in the field of research and efforts should be made to strengthen international research cooperation with a view to reaping the full benefits of internationalisation of RTD, to contributing to the production of global public goods and to further integrating the Community into the world-wide research community.
(28)
There is already a significant body of scientific knowledge capable of drastically improving the lives of those who live in developing countries; where possible, the Framework Programme will - in the framework of the activities described above - contribute to meeting the Millennium Development Goals by 2010.
(29)
The Seventh Framework Programme should contribute towards promoting growth, sustainable development and environmental protection, including by addressing the problem of climate change.
(30)
Research activities supported by the Seventh Framework Programme should respect fundamental ethical principles, including those reflected in the Charter of Fundamental Rights of the European Union. The opinions of the European Group on Ethics in Science and New Technologies are and will be taken into account. Research activities should also take into account the Protocol on the Protection and Welfare of Animals and reduce the use of animals in research and testing, with a view ultimately to replacing animal use.
(31)
Under the Seventh Framework Programme the role of women in science and research will be actively promoted by appropriate measures with a view to encouraging greater numbers to become involved in this domain and further enhancing their active role in research.
(32)
This Decision lays down, for the entire duration of the Seventh Framework Programme, a financial envelope constituting the prime reference, within the meaning of point 37 of the Interinstitutional Agreement of 17 May 2006 between the European Parliament, the Council and the Commission on budgetary discipline and sound financial management (6), for the budgetary authority during the annual budgetary procedure.
(33)
Appropriate measures - proportionate to the European Communities' financial interests - should also be taken to monitor both the effectiveness of the financial support granted and the effectiveness of the utilisation of these funds in order to prevent irregularities and fraud, and the necessary steps should be taken to recover funds lost, wrongly paid or incorrectly used in accordance with Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (7), Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (8) and Regulation (EC) No 1073/1999 of the European Parliament and of the Council of 25 May 1999 concerning investigations conducted by the European Anti-Fraud Office (OLAF) (9).
(34)
It is important to ensure sound financial management of the Seventh Framework Programme and its implementation in the most effective and user-friendly manner possible, while also ensuring legal certainty and the accessibility of the programme to all participants. It is necessary to ensure compliance with Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the general budget of the European Communities (10), and with the requirements of simplification and better regulation.
(35)
Since the objective of the actions to be taken in accordance with Article 163 of the Treaty, namely contributing towards the creation of a knowledge-based society and economy in Europe, cannot be sufficiently achieved by the Member States and can therefore be better achieved at Community level, the Community may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the principle of proportionality, as set out in that Article, the Seventh Framework Programme does not go beyond what is necessary in order to achieve this objective,
HAVE DECIDED AS FOLLOWS:
Article 1
Adoption of the Seventh Framework Programme
The Framework Programme for Community activities in the area of research and technological development (‘RTD’), including demonstration activities (‘the Seventh Framework Programme’) is hereby adopted for the period from 1 January 2007 to 31 December 2013.
Article 2
Objectives and activities
1. The Seventh Framework Programme shall support the activities set out in points (i) to (iv). The objectives and the broad lines of those activities are set out in Annex I.
(i)
Cooperation: supporting the whole range of research actions carried out in trans-national cooperation in the following thematic areas:
(a)
Health;
(b)
Food, Agriculture and Fisheries, and Biotechnology;
(c)
Information and Communication Technologies;
(d)
Nano-sciences, Nano-technologies, Materials and New Production Technologies;
(e)
Energy;
(f)
Environment (including Climate Change);
(g)
Transport (including Aeronautics);
(h)
Socio-economic Sciences and Humanities;
(i)
Space;
(j)
Security.
(ii)
Ideas: supporting ‘investigator-driven’ research carried out across all fields by individual national or transnational teams in competition at the European level.
(iii)
People: strengthening, quantitatively and qualitatively, the human potential in research and technological development in Europe, as well as encouraging mobility.
(iv)
Capacities: supporting key aspects of European research and innovation capacities such as research infrastructures; regional research driven clusters; the development of a full research potential in the Community's convergence and outermost regions; research for the benefit of small and medium-sized enterprises (‘SMEs’) (11); ‘Science in Society’ issues; support to coherent development of policies; horizontal activities of international cooperation.
2. The Seventh Framework Programme shall also support the non-nuclear direct scientific and technical actions carried out by the Joint Research Centre (‘JRC’) as defined in Annex I.
Article 3
Specific programmes
The Seventh Framework Programme shall be implemented through specific programmes. These programmes shall specify precise objectives and the detailed rules for implementation.
Article 4
Maximum overall amount and shares assigned to each programme
1. The maximum overall amount for Community financial participation in this Seventh Framework Programme shall be EUR 50 521 million. That amount shall be distributed among the activities and actions referred to in paragraphs 1 and 2 of Article 2 as follows (in EUR million):
Cooperation
32 413
Ideas
7 510
People
4 750
Capacities
4 097
Non-nuclear actions of the Joint Research Centre
1 751
2. The indicative breakdown among the thematic areas of each activity referred to in paragraph 1 is set out in Annex II.
3. The detailed rules for Community financial participation in this Framework Programme are set out in Annex III.
Article 5
Protection of the Communities' financial interests
For the Community actions financed under this Decision, Regulation (EC, Euratom) No 2988/95 and Regulation (Euratom, EC) No 2185/96 shall apply to any infringement of a provision of Community law, including infringements of a contractual obligation stipulated on the basis of the programme, resulting from an act or omission by an economic operator, which has, or would have, the effect of prejudicing the general budget of the European Union or budgets managed by it, by an unjustified item of expenditure.
Article 6
Ethical principles
1. All the research activities carried out under the Seventh Framework Programme shall be carried out in compliance with fundamental ethical principles.
2. The following fields of research shall not be financed under this Framework Programme:
-
research activity aiming at human cloning for reproductive purposes,
-
research activity intended to modify the genetic heritage of human beings which could make such changes heritable (12),
-
research activities intended to create human embryos solely for the purpose of research or for the purpose of stem cell procurement, including by means of somatic cell nuclear transfer.
3. Research on human stem cells, both adult and embryonic, may be financed, depending both on the contents of the scientific proposal and the legal framework of the Member State(s) involved.
Any application for financing for research on human embryonic stem cells shall include, as appropriate, details of licensing and control measures that will be taken by the competent authorities of the Member States as well as details of the ethical approval(s) that will be provided.
As regards the derivation of human embryonic stem cells, institutions, organisations and researchers shall be subject to strict licensing and control in accordance with the legal framework of the Member State(s) involved.
4. The fields of research set out above shall be reviewed for the second phase of this programme (2010-2013) in the light of scientific advances.
Article 7
Monitoring, evaluation and review
1. The Commission shall continually and systematically monitor the implementation of the Seventh Framework Programme and its specific programmes and regularly report and disseminate the results of this monitoring.
2. No later than 2010, the Commission shall carry out, with the assistance of external experts, an evidence-based interim evaluation of this Framework Programme and its specific programmes building upon the ex-post evaluation of the Sixth Framework Programme. This evaluation shall cover the quality of the research activities under way, as well as the quality of implementation and management, and progress towards the objectives set.
The Commission shall communicate the conclusions thereof, accompanied by its observations and, where appropriate, proposals for the adaptation of this Framework Programme, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
The interim evaluation shall be preceded by a progress report as soon as enough data becomes available, giving initial findings on the effectiveness of the new actions initiated under the Seventh Framework Programme and of the efforts made with regard to simplification.
3. Two years following the completion of this Framework Programme, the Commission shall carry out an external evaluation by independent experts of its rationale, implementation and achievements.
The Commission shall communicate the conclusions thereof, accompanied by its observations, to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions.
Article 8
Entry into force
This Decision shall enter into force on the third day following its publication in the Official Journal of the European Union.
Done at Brussels, 18 December 2006.