2002D1513 — EN — 30.04.2004 — 001.001 — 1
This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents
►B DECISION No 1513/2002/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 27 June 2002
concerning the sixth framework programme of the European Community for research, technolo-
gical development and demonstration activities, contributing to the creation of the European
Research Area and to innovation (2002 to 2006)
(OJ L 232, 29.8.2002, p. 1)
Amended by:
Official Journal
No page date
►M1 Decision No 786/2004/EC of the European Parliament and of the
Council of 21 April 2004L 138 7 30.4.2004
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DECISION No 1513/2002/EC OF THE EUROPEAN PARLIA-
MENT AND OF THE COUNCIL
of 27 June 2002
concerning the sixth framework programme of the European
Community for research, technological development and demon-stration activities, contributing to the creation of the European
Research Area and to innovation (2002 to 2006)
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 (1),
Having regard to the opinion of the Economic and Social
Committee (2),
Having regard to the opinion of the Committee of the Regions (3),
Acting in accordance with the procedure laid down in Article 251 of
the Treaty (4),
Whereas:
(1) For the fulfilment of the tasks laid down in Article 2 of the
Treaty, Article 163 of the Treaty provides that the Community
is to have the objective of strengthening the scientific and tech-
nological bases of Community industry and encouraging it tobecome more competitive at international level, while promotingresearch activities deemed necessary by virtue of other Commu-nity policies.
(2) Article 164 of the Treaty enumerates the activities the Commu-
nity is to carry out in pursuing these objectives, complementing
the activities carried out in the Member States.
(3) The Treaty provides for the adoption of a multiannual frame-work programme setting out all Community research,technological development and demonstration (RTD) activities.This framework programme fully respects the principle of subsi-diarity as set out in Article 5 of the Treaty.
(4) Pursuant to Article 165 of the Treaty, the Community andMember States are to coordinate their research and technologicaldevelopment activities so as to ensure that national policies andCommunity policy are mutually consistent.
(5) In 2000 the Commission submitted two communications, respec-tively on the prospects for and the objectives of creating aEuropean Research Area, and on making a reality of the
European Research Area and guidelines for European Union
research activities in the period 2002 to 2006. In 2000 theCommission also submitted a communication on innovation in aknowledge-driven economy.
(6) The European Councils in Lisbon in March 2000, Santa Mariade Feira in June 2000 and Stockholm in March 2001 adopted
conclusions aimed at the rapid establishment of a European
research and innovation area with a view to sustainableeconomic growth, more employment and social cohesion with2002D1513 — EN — 30.04.2004 — 001.001 — 2
(1) OJ C 180 E, 26.6.2001, p. 156 and OJ C 75 E, 26.3.2002, p. 132.
(2) OJ C 260, 17.9.2001, p. 3.
(3) OJ C 107, 3.5.2002, p. 111.
(4) Opinion of the European Parliament of 14 November 2001 (not yet
published in the Official Journal), Council Common Position of 28 January
2002 (OJ C 113 E, 14.5.2002, p. 54) and Decision of the European Parlia-
ment of 15 May 2002 (not yet published in the Official Journal). Council
Decision of 3 June 2002.
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the ultimate goal of enabling the Union, by 2010, to become the
world's most competitive and dynamic knowledge economy.
Building upon the obligation of Article 6 of the Treaty, the
Göteborg European Council in June 2001 agreed on a strategyfor sustainable development and added a third, environmentaldimension to the Lisbon strategy.
In particular, the European Council in Lisbon underlined the
importance of the Commission's e-Europe initiative, which aims
at an information society for all, while the Stockholm EuropeanCouncil also stressed the need to make particular efforts in new
technologies, especially biotechnology.
(7) The European Parliament (1)(2), the Council (3)(4), the Economic
and Social Committee (5) and the Committee of the Regions (6)
have also supported the creation of the European Research Area.
(8) On 19 October 2000 the Commission submitted the conclusionsof the external assessment of the implementation and results ofthe Community activities carried out in the five years preceding
that assessment, accompanied by its observations.
(9) The sixth framework programme should have a structuring effect
on research and technological development in Europe, includingthe Member States, associated candidate countries and otherassociated countries and make a significant contribution to theestablishment of the European Research Area and to innovation.
(10) In accordance with Article 166(1) of the Treaty, it is necessaryto establish the scientific and technological objectives and to fix
the relevant priorities for the activities envisaged, the maximum
overall amount, the detailed rules for Community financial parti-cipation in the sixth framework programme, as well as therespective shares in each of the activities envisaged, and to indi-cate the broad lines of the activities in question, which will be
implemented in compliance with the objective of protecting the
Community's financial interests. It is important to ensure soundfinancial management of the sixth framework programme.
(11) It is appropriate to place special emphasis on the needs of smalland medium-sized enterprises (SMEs), bearing in mind theEuropean Charter for Small Enterprises endorsed by the FeiraEuropean Council, whose principles and eighth line for action
aim to strengthen the technological capacity of small enterprises,
and to facilitate access to the best research and technology.
(12) The sixth framework programme should provide an importantcontribution, covering the full spectrum from basic to appliedresearch, to the development of scientific and technical excel-lence and to the coordination of European research. Theframework programme should stress the importance of involving
associated candidate countries in the Community's research
policy and in the European Research Area.
(13) Specific targeted projects and coordination actions may also beused as a ‘stairway of excellence’ to facilitate the access ofsmaller research actors of scientific excellence, including SMEs,as well as research actors from associated candidate countries, to
the activities of this framework programme.
(14) The participation of the outermost regions in Community RTD
actions through appropriate mechanisms adapted to their parti-cular situation should be facilitated.2002D1513 — EN — 30.04.2004 — 001.001 — 3
(1) Resolution of 18 May 2000 (OJ C 59, 23.2.2001, p. 250).
(2) Resolution of 15 February 2001 (OJ C 276, 1.10.2002, p. 271).
(3) Resolution of 15 June 2000 (OJ C 205, 19.7.2000, p. 1).
(4) Resolution of 16 November 2000 (OJ C 374, 28.12.2000, p. 1).
(5) Opinion of 24 May 2000 (OJ C 204, 18.7.2000, p. 70).
(6) Opinion of 12 April 2000 (OJ C 226, 8.8.2000, p. 18).
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(15) The international and global dimension in European research
activities is important in the interest of obtaining mutual bene-
fits. The sixth framework programme is open to theparticipation of countries having concluded the necessary agree-ments to this effect, and is also open on the project level, and onthe basis of mutual benefit, to the participation of entities fromthird countries and of international organisations for scientific
cooperation. Specific activities will be undertaken in support of
participation of scientists and institutions from developing coun-tries, Mediterranean countries including the western Balkans aswell as Russia and the new independent states (NIS).
(16) The Joint Research Centre should contribute to the implementa-tion of the framework programme, where it can provideindependent, customer-driven support for the formulation andimplementation of Community policies, including the monitoringof implementation of such policies, in the areas of its specificcompetence.
(17) Research activities carried out within the sixth frameworkprogramme should respect fundamental ethical principles,including those which are reflected in Article 6 of the Treatyon European Union and in the Charter of fundamental rights of
the European Union.
(18) Following the Commission communication ‘A mobility strategy
within the European Research Area’, the mobility of researcherswill be promoted, with a view to the successful creation of theEuropean Research Area.
(19) Following the Commission communication ‘Women andScience’ and the Resolutions of the Council of 20 May 1999 (
1)
and 26 June 2001 (2) and the Resolution of the European Parlia-
ment of 3 February 2000 (3) on this theme, an action plan is
being implemented in order to reinforce and increase the place
and role of women in science and research, and further enhanced
action is needed.
(20) The Commission should submit regular progress reports to theEuropean Parliament and the Council on the implementation of
the sixth framework programme. It is also appropriate that the
Commission, in good time and before submitting its proposalfor the seventh framework programme, has an independentassessment carried out of the implementation of the activitiesundertaken, bearing in mind the contribution of the sixth frame-work programme to the creation of the European Research Area,
which should be done in a spirit of openness with respect to all
the relevant actors.
(21) Implementation of the sixth framework programme may giverise to the participation of the Community in programmes under-
taken by several Member States or to the setting up of joint
undertakings or other arrangements within the meaning of Arti-cles 169 to 171 of the Treaty.
(22) The Scientific and Technical Research Committee (CREST) hasbeen consulted,
HAVE DECIDED AS FOLLOWS:
Article 1
1. A multiannual framework programme for Community research,
technological development and demonstration activities, hereinafterreferred to as the ‘sixth framework programme’ is hereby adopted forthe period 2002 to 2006.2002D1513 — EN — 30.04.2004 — 001.001 — 4
(1) OJ C 201, 16.7.1999, p. 1.
(2) OJ C 199, 14.7.2001, p. 1.
(3) OJ C 309, 27.10.2000, p. 57.
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2. The sixth framework programme shall comprise all Community
activities envisaged in Article 164 of the Treaty.
3. The sixth framework programme shall contribute to the creation
of the European Research Area and to innovation.
4. Annex I sets out the scientific and technological objectives and
the related priorities and indicates the broad lines of the activities envi-saged.
Article 2
1. The maximum overall amount for Community financial participa-
tion in the entire sixth framework programme shall be EUR 17 883million. The proportion assigned to each of the activities is fixed inAnnex II.
2. The detailed rules for financial participation by the Community
shall be governed by the Financial Regulation applicable to the GeneralBudget of the European Communities, supplemented by Annex III.
Article 3
All the research activities carried out under the sixth framework
programme must be carried out in compliance with fundamental ethicalprinciples.
Article 4
In the context of the annual report to be submitted by the Commission
pursuant to Article 173 of the Treaty, the Commission shall report indetail on progress with implementing the sixth framework programme,
and in particular progress towards achieving its objectives and meeting
its priorities as set out under each heading of Annex I; information onfinancial aspects and the use of the instruments shall also be included.
Article 5
The sixth framework programme shall be implemented through specific
programmes. These programmes shall establish precise objectives andthe detailed rules for implementation.
Article 6
1. The Commission shall continually and systematically monitor,
with the help of independent qualified experts, the implementation ofthe sixth framework programme and its specific programmes.
2. Before submitting its proposal for the next framework
programme, the Commission shall have an external assessment carried
out by independent highly qualified experts of the implementation andachievements of Community activities during the five years precedingthat assessment.
The Commission shall communicate the conclusions thereof, accompa-
nied by its observations, to the European Parliament, the Council, the
Economic and Social Committee and the Committee of the Regions.2002D1513 — EN — 30.04.2004 — 001.001 — 5
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ANNEX I
SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES, BROAD LINES
OF THE ACTIVITIES AND PRIORITIES
INTRODUCTION AND GENERAL OUTLINE
The sixth framework programme (‘this programme’) will be carried out to
further the objective set out in Article 163(1) of the Treaty, ‘of strengthening
the scientific and technological bases of Community industry and encouraging
it to become more competitive at international level, while promoting all the
research activities deemed necessary by virtue of other Chapters of this Treaty’.
In order to achieve this more effectively, and in order to contribute to the crea-
tion of the European Research Area and to innovation, this programme will be
structured around the following three headings, under which the four activities
as set out in Article 164 of the Treaty will be undertaken:
— focusing and integrating Community research,
— structuring the European Research Area,— strengthening the foundations of the European Research Area.
The activities under these three headings will contribute to the integration of
research efforts and activities on a European scale as well as contributing to
the structuring of the various dimensions of the European Research Area. Coor-
dination of activities carried out under these headings will be ensured.
In order to help the development of SMEs in the knowledge society and the use
of the economic potential of SMEs in an enlarged and better integrated
European Union, SMEs, including small and micro enterprises as well as craft
enterprises, will be encouraged to participate in all areas and all instruments as
set out in Annex III of the sixth framework programme, in particular in the
context of the activities carried out in the priority thematic areas in the spirit
of ‘stairway of excellence’. A smooth transition from the modalities used in
the fifth framework programme to those used in the sixth framework programme
will be ensured.
International participation in these activities will be assured. Participation will
be open to all countries having concluded association agreements with the
Community to this effect. Other third countries may participate in this
programme via bilateral cooperation agreements.
Researchers and organisations from third countries may also participate on a
case by case basis in projects. The detailed conditions under which entities
from third countries and international organisations involved in research activ-
ities may participate in this programme, including the financial arrangements,
are specified in the decision which will be adopted pursuant to Article 167 of
the Treaty.
Participation in the activities of this programme will be encouraged through
publication of the necessary information on content, conditions and procedures,
to be made available in a timely and thorough manner to potential participants,
including those from the associated candidate and other associated countries.
During the implementation of this programme and in the research activities
arising from it, fundamental ethical principles including animal welfare require-
ments, are to be respected. These include, inter alia , principles reflected in the
Charter of fundamental rights of the European Union, protection of human
dignity and human life, protection of personal data and privacy as well as the
environment in accordance with Community law and, where relevant, interna-
tional conventions, such as the Declaration of Helsinki, the Council of Europe
Convention on Human Rights and Biomedicine signed in Oviedo on 4 April
1997 and the Additional Protocol on the Prohibition of Cloning Human Beingssigned in Paris on 12 January 1998, the UN Convention on the Rights of the
Child, the Universal Declaration on the Human Genome and Human Rights
adopted by UNESCO, and the relevant World Health Organisation (WHO) reso-
lutions, the Amsterdam Protocol on Animal Protection and Welfare; and current
legislation, regulations and ethical guidelines in countries where the research
will be carried out.
1. FOCUSING AND INTEGRATING COMMUNITY RESEARCH
The activities carried out under this heading, which will represent the
major part of the efforts deployed under this programme, are intended to
integrate research efforts and activities on a European scale. They will be
focussed primarily on seven clearly defined thematic priority areas, while
further specific measures will be undertaken across a wider field of scien-
tific and technological research.2002D1513 — EN — 30.04.2004 — 001.001 — 6
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The Joint Research Centre (JRC) will provide independent customer-
driven support for the formulation and implementation of Community
policies, including the monitoring of implementation of such policies,
within its areas of specific competence.
1.1. Thematic priorities
Seven priority thematic areas are identified, namely:
1. life sciences, genomics and biotechnology for health;
2. information society technologies;
3. nanotechnologies and nanosciences, knowledge-based multifunctional
materials, and new production processes and devices;
4. aeronautics and space;5. food quality and safety;
6. sustainable development, global change and ecosystems;
7. citizens and governance in a knowledge-based society.
1.2. Specific activities covering a wider field of research
1.2.1. Supporting policies and anticipating scientific and technological
needs
Activities in support of Community policies and research
responding to new and emerging scientific and technological needs
1.2.2. Horizontal research activities involving SMEs
These specific activities are intended to help European SMEs in
traditional or new areas to boost their technological capacities and
develop their ability to operate on a European and international
scale.
1.2.3. Specific measures in support of international cooperation
In support of external relations and the development policy of the
Community, specific measures aimed at encouraging international
research cooperation will be undertaken. In principle, the following
three groups of third countries will be involved:
(a) developing countries;
(b) Mediterranean countries, including the western Balkans;
(c) Russia and the new independent states (NIS).
1.3. Non-nuclear activities of the Joint Research Centre
Two specific research areas have been selected for JRC activities,
namely:
(a) food, chemical products and health;
(b) environment and sustainability.
2. STRUCTURING THE EUROPEAN RESEARCH AREA
Activities in this area will cover the following:
2.1. Research and innovation
Activities to stimulate technological innovation, utilisation of research
results, transfer of knowledge and technologies and the setting up of tech-
nology businesses in the Community and in all its regions will be carried
out under this heading to complement the activities relating to innovation
under the heading ‘focusing and integrating community research’.
2.2. Human resources and mobility
Activities to support the development of world-class human resources in
all the regions of the Community by promoting transnational mobility for
training purposes, development of expertise or transfer of knowledge
between different sectors, supporting the development of excellence and
helping to make Europe more attractive to the best of third country
researchers. The potential offered by all sectors of the population, espe-
cially women, should be developed through appropriate supporting
measures.2002D1513 — EN — 30.04.2004 — 001.001 — 7
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2.3. Research infrastructures
Activities to promote the optimum use of, including access to, research
infrastructures and to support the identification, planning and, in duly
justified cases, setting up of advanced research facilities of European
interest.
2.4. Science and society
Activities to encourage harmonious relations between science and society
and the awareness of society in respect of innovation, as a result of new
relations and informed dialogue between researchers, industrialists, poli-
tical decision-makers and citizens.
3. STRENGTHENING THE FOUNDATIONS OF THE EUROPEAN
RESEARCH AREA
Activities to step up the coordination and support the coherent develop-
ment of research and development policies in Europe. They would
provide financial support for measures such as the opening up of national
programmes.
A more detailed description of the activities carried out under these three head-
ings is set out below.
I. FOCUSING AND INTEGRATING COMMUNITY RESEARCH
The activities carried out under this heading will represent the major part of the
research efforts deployed under this programme, intended to contribute to the
general objective of the Treaty of strengthening the scientific and technical
bases of Community industry and encouraging it to be more competitive at
international level, while promoting all the research activities deemed necessary
by other Chapters of the Treaty. In order to bring about European added value
by assembling a critical mass of resources, this programme will focus on seven,
clearly defined thematic priority areas where Community research efforts will be
integrated by pulling them together and making them more coherent, on a
European scale.
Throughout the activities under this heading, special attention will be given to
technological innovation, and to the initial development of highly innovative
enterprises in areas of vital interest to the European competitiveness. Explora-
tory research at the leading edge of knowledge will be carried out on subjects
closely related to one or more topics in the thematic priority. Measurements
and testing aspects will also receive necessary emphasis. The principle of
sustainable development, socio-economic, ethical and wider cultural aspects of
the envisaged activities, and gender equality, will be duly taken into account,
where relevant for the activity concerned.
To complement efforts in the thematic priorities, specific horizontal research
activities will address SMEs, innovation and international cooperation as well
as respond to Community policy objectives and future and emerging research
needs.
1.1. Thematic priorities
1.1.1. Life sciences, genomics and biotechnology for health (1)
ObjectiveThe activities carried out in this area are intended to help Europe exploit,
by means of an integrated research effort, breakthroughs achieved in
decoding the genomes of living organisms, more particularly for the
benefit of public health and citizens and to increase the competitiveness
of the European biotechnology industry. In the field of applications, the
emphasis will be put on research aimed at bringing basic knowledge
through to the application stage (‘translational’ approach) to enable real,
consistent and coordinated progress at European level in medicine and
improve the quality of life.
Justification of the effort and European added value‘Post-genomic’ research based on analysis of the human genome and
genomes of other organisms, will culminate in numerous applications in2002D1513 — EN — 30.04.2004 — 001.001 — 8
(1) Fundamental knowledge in genomics (including human/animal/plant) is covered by the
first priority, as well as its applications to human health. Applications to food arecovered by the fifth priority (for example relating to nutrition/better quality food).Other issues related to life sciences are addressed under the sixth priority or covered,
as appropriate, by Section 1.2.1. (‘Policy oriented research’) as well as Heading III.
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various health-related sectors, and notably in the development of new
diagnostic tools and new treatments capable of helping to combat
diseases that are not at present under control, offering major potential
markets. This research may also have implications on research on areas
such as environment and agriculture.
In the medical field, the objective is to develop improved patient-oriented
strategies for the prevention and management of disease and for living
and ageing healthily. Furthermore, in this context, attention will be paid
to childhood diseases and related treatments whenever appropriate. In
addition, there is a particular priority for Europe to mobilise its efforts
in a coordinated way towards combating cancer and confronting the
major communicable diseases linked to poverty. This research will there-
fore concentrate on translating the new knowledge being created, which
is not limited to genomics and other fields of basic research, into applica-
tions that improve clinical practice and public health.
To enable the Union to improve its position in this area and benefit fully
from the economic and social spin-offs of the expected developments, as
well as contribute to the international debate, it is necessary both to
increase investment significantly and integrate the research activities
conducted in Europe within a coherent effort.
Actions envisaged
The Community activities carried out to this end will address the
following aspects.
A.Advanced genomics and its applications for health
(a) Fundamental knowledge and basic tools for functional genomics
in all organisms:
(i) gene expression and proteomics;
(ii) structural genomics;(iii) comparative genomics and population genetics;
(iv) bio-informatics;
(v) multi-disciplinary functional genomics approaches to basic
biological processes.
(b) Application of knowledge and technologies in the field of geno-
mics and biotechnology for health:
(i) technological platforms for the developments in the fields of
new diagnostic, prevention and therapeutic tools (including
pharmacogenomic approaches, stem cell research and alterna-
tive methods to animal testing).
B.Combating major diseases
(a) Application-orientated approach to medical genomics knowledge
and technologies including the use of animal and plant genomics
where relevant, mainly in the following fields (
1):
(i) combating diabetes, diseases of the nervous system (such as
Alzheimer's disease, Parkinson's disease and new variant
Creutzfeldt-Jakob disease and, where relevant, mental
illness), cardiovascular diseases, and rare diseases;
(ii) combating resistance to antibiotics and other drugs;(iii) studying human development, the brain and the ageing
process.
(b) A broader approach, not limited to genomics and other fields of
basic research, will be pursued with regard to:
(i) cancer, with a focus on the development of patient-oriented
strategies from prevention to diagnosis and treatment,
including three inter-linked components:
— developing necessary networks and initiatives to coordi-
nate national research activities,
— supporting clinical research aimed at validating new and
improved interventions,
— supporting ‘translational’ research;
(ii) combating the three poverty-linked infectious diseases (AIDS,
malaria and tuberculosis) which have priority in terms of
disease control at Union and international level.2002D1513 — EN — 30.04.2004 — 001.001 — 9
(1) See also Section 1.2.1. ‘Policy support and anticipating scientific and technological
needs’ and Heading III (Strengthening the foundations of the European Research
Area) for other health-related topics.
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1.1.2. Information society technologies (IST)
Objective
The activities carried out in this area, pursuant to the conclusions of the
Lisbon European Council and the objectives of the e-Europe initiative,
are intended to stimulate the development in Europe of both hardware
and software technologies and applications at the heart of the creation of
the information society in order to increase the competitiveness of
European industry and allow European citizens in all Union regions the
possibility of benefiting fully from the development of the knowledge-
based society. Concentration on the future generation of IST will bring
IST applications and services to everyone and enable the development
of the next generation of technologies to be more user-centered.
Justification of the effort and European added valueAt the dawn of the 21st century, information and communication technol-
ogies are revolutionising the functioning of the economy and society, and
are generating new ways of producing, trading and communicating.
This has become the Union's second most important sector of the
economy, with an annual market of EUR 2 000 billion and employing
more than 2 million persons in Europe, a number that is steadily rising.
Europe is well positioned to lead and shape the future development not
only of technologies but also of their impact on our life and work. The
future competitiveness of all European industry and the living standards
ofEurope's citizens depend largely on future efforts in IST research in
order to prepare the future generation of products, processes and services.
Industrial and commercial successes of the kind that Europe has achieved
in mobile communications as a result of the global system for mobile
communication (GSM) standard will not be repeated unless a concerted
effort is made to invest a critical mass of research resources in this area,
by integrating public and private sector efforts on a European scale.
With a view to exerting maximum impact in economic and social terms,
effort should focus on the future generation of those technologies inwhich computers, interfaces and networks will be more integrated into
the everyday environment and will render accessible, through easy and
‘natural’ interactions, a multitude of services and applications. This vision
of ‘ambient intelligence’ (interactive intelligent environment) seeks to
place the user, the human being, at the centre of the future development
of the knowledge-based society.
Community actions will concentrate on the technological priorities that
will make it possible to realise this vision. They will aim at mobilising
the community of researchers around targeted initiatives, such as the
development of the next generations of mobile communication systems,
so as to achieve medium and long-term objectives while being able to
react to the new needs and demands of markets as well as those of public
policy and citizens.
Actions envisagedThe actions undertaken will therefore address the following technological
priorities:
Integrating research into technological areas of priority interest for citi-
zens and businesses
Completing and building on progress expected in the development of
basic technologies, research aimed at finding solutions for major societal
and economic challenges, faced by an emerging knowledge-based society
including the consequences for work and the workplace environment,
and, accordingly, focusing on:
(a) research on technologies addressing the key security challenges posed
by the ‘all-digital’ world and the need to secure the rights and
privacy of citizens;
(b) ‘ambient intelligence’ systems offering access to the information
society for all, regardless of age and situation (such as disability or
other individual circumstances), as well as interactive and intelligent
systems for health, mobility, security, leisure, tourism, access to and
preservation of the cultural heritage, and environment;
(c) electronic and mobile commerce, as well as technologies for secure
transactions and infrastructures, new tools and new methods of
work, technologies for learning (such as e-learning) and systems for
corporate knowledge management, for integrated business manage-
ment and for e-government taking account of user needs;2002D1513 — EN — 30.04.2004 — 001.001 — 10
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(d) large-scale distributed systems and platforms, including global
resource information database (GRID) based systems that provide
effective solutions to complex problems in areas such as the environ-
ment, energy, health, transport and industrial design.
Communication and computing infrastructuresMobile, wireless, optical and broadband communication infrastructures
and computing and software technologies that are reliable, of wide appli-
cation and can be adapted to meet the growing needs of applications and
services. Work will focus on:
(a) the new generations of wireless and mobile communications systems
and networks; satellite communications systems; all-optical technolo-
gies; integration and management of communication networks,
including interoperable network solutions; capacity-enhancing tech-
nologies necessary for the development of systems, infrastructures
and services, in particular for audio-visual applications. Work will
also lead to the development of next Internet generation;
(b) software technologies architectures, distributed and embedded
systems supporting the development of multifunctional and complex
services that involve multiple actors engineering and control of
complex and large-scale systems to ensure reliability and robustness.
Components and microsystems
Miniaturised and low-cost components based on new materials and inte-
grating extended functionalities, with the effort focusing on:
(a) the design and production of nano-, micro-, and opto-electronic and
photonic components, including those used for information storage,
pushing the limits of miniaturisation and minimising the costs and
power consumption of micro-electronic and micro-system compo-
nents, and taking account of the environmental impact of IST
systems;
(b) nano-electronics, micro-technologies, displays and micro-systems,
and multi-disciplinary research into new materials and quantum
devices; new computing models and concepts.
Information management and interfacesResearch into information management tools and interfaces, with a view
to enabling easier interaction everywhere and at all times with knowl-
edge-based services and applications, addressing:
(a) knowledge representation and management systems based on context
and semantics, including cognitive systems, as well as tools for
creating, organising, navigating, retrieving, sharing, preserving and
disseminating digital content;
(b) multi-sensorial interfaces capable of understanding and interpreting
the natural expression of human beings through words, gestures and
the various senses, virtual environments, as well as multilinguistic
and multicultural systems indispensable to the establishment of the
knowledge-based society on a European scale.
1.1.3. Nanotechnologies and nanosciences, knowledge-based multifunctional
materials and new production processes and devices
ObjectiveThe activities carried out in this area are intended to help Europe achieve
a critical mass of capacities needed to develop and exploit, especially for
greater eco-efficiency and reduction of discharges of hazardous
substances to the environment, leading-edge technologies for the knowl-
edge-based products, services and manufacturing processes of the years to
come.
Justification of the effort and European added valueManufacturing industry in Europe at present produces goods and services
valued at around EUR 4 000 billion a year. In an increasingly competitive
world market, it must maintain and increase its competitiveness while
meeting the requirements of sustainable development. To do so, it is
necessary to put substantial effort into the design, development and disse-
mination of advanced technologies: nanotechnologies, knowledge-based
multifunctional materials and new production processes.
Lying at the frontier of quantum engineering, materials technology and
molecular biology, and one of the foreseeable hubs of the next industrial
revolution, nanotechnologies need considerable investment.2002D1513 — EN — 30.04.2004 — 001.001 — 11
▼B
Europe has significant expertise in certain sectors such as nanomanufac-
turing and nanochemistry, and needs to increase and coordinate its effort
in this area.
Where materials are concerned, the aim is to develop intelligent materials
which are expected to add considerable value in terms of applications in
sectors such as transport, energy, electronics and the biomedical sectorand for which there is a potential market of several tens of billions of
euro.
The development of flexible, integrated and clean production systems
will also require a substantial research effort concerning the application
of new technologies to manufacturing and management.
Actions envisaged
Nanotechnologies and nanosciences:
(a) long-term interdisciplinary research into understanding phenomena,
mastering processes and developing research tools;
(b) supramolecular architectures and macromolecules;
(c) nano-biotechnologies;
(d) nanometre-scale engineering techniques to create materials and
components;
(e) development of handling and control devices and instruments;
(f) applications in areas such as health, chemistry, energy, and the envir-
onment.
Knowledge-based multifunctional materials:
(a) development of fundamental knowledge;
(b) technologies associated with the production and transformation
including processing of knowledge-based multifunctional materials
and of biomaterials;
(c) support engineering.
New production processes and devices:
(a) the development of new processes and flexible and intelligent manu-
facturing systems incorporating advances in virtual manufacturing
technologies, including simulations, interactive decision-aid systems,
high-precision engineering and innovative robotics;
(b) systems research needed for sustainable waste management and
hazard control in production and manufacturing, including bio-
processes, leading to a reduction in consumption of primary resources
and less pollution;
(c) development of new concepts optimising the life cycle of industrial
systems, products and services.
1.1.4. Aeronautics and space
ObjectiveThe aim of activities carried out in this area is two-fold: to strengthen, by
integrating its research efforts, the scientific and technological bases of
the European aeronautics and space industry and encouraging it to
become more competitive at international level; and to help exploit the
potential of European research in this sector with a view to improving
safety and environmental protection.
Justification of the effort and European added valueThe aerospace industry consists of two technologically and economically
separate sectors but they are closely associated on account of their indus-
trial and political implications and the stakeholders involved and they are
examples of where Europe has a tradition of success, and economic and
commercial potential.
However, United States investment in aerospace is three to six times
higher, depending on the sector.
In an increasingly demanding competitive environment, foreseeable avia-
tion requirements worldwide correspond to some 14 000 new aircraft over
the next 15 years, representing a market worth EUR 1 000 billion. The
efforts made to integrate industrial capacities and development activities
that have brought about European successes in this area, now need to be
matched by similar efforts to integrate research into priority themes and
subjects.2002D1513 — EN — 30.04.2004 — 001.001 — 12
▼B
With this aim in view, European, national and private sector research
efforts should be optimised around a common vision and a strategic
research agenda.
On space, following on from the Commission's communication, ‘Europe
and space: turning to a new chapter’, the Community will support
research designed to make use of space for the benefit of markets and
society.
Actions envisaged
AeronauticsCommunity aeronautical research activities including air transport
systems will address research and technological development activities
necessary in order to:
(a) increase the competitiveness of the European industry with regard to
civil aircraft, engines and equipment;
(b) reduce the environmental impact of aviation, by reducing fuel
consumption, CO
2,N OXand other chemical pollutants and noise
pollution;
(c) increase aircraft safety in the context of the substantial rise in air
traffic;
(d) increase the capacity and safety of the air transport system, in support
of a ‘Single European Sky’ (air traffic control and management
systems).
SpaceCommunity space activities carried out in close coordination with the
European Space Agency (ESA), the other space agencies, research
centres and industry, in order to strengthen the coherence of the very
major investment involved, will address:
(a) research on satellite-based information systems and services relevant
for the Galileo satellite navigation project;
(b) research on satellite-based systems relevant for the global monitoring
for environment and security (GMES) platform, taking into account
the needs of users;
(c) advanced research needed to integrate the space segment and the
Earth segment in the field of communications.
1.1.5. Food quality and safety
Objective
The activities carried out in this area are intended to help establish the
integrated scientific and technological bases needed to develop an envir-
onmentally friendly production and distribution chain of safer, healthier
and varied food, including sea-food and to control food-related risks,
relying in particular on biotechnology tools taking into account the results
of post-genomic research, as well as to control health risks associated
with environmental changes.
Justification of the effort and European added value
The recent food crises, and in particular bovine spongiform encephalo-
pathy (BSE), have highlighted both the complexity of food safety issues
and the fact that in most cases they have international and cross-border
implications.
The integration of the European internal market as regards agriculture
and food makes it necessary to address the problems that arise in this
area, and hence to carry out related research, on a European scale. It is
against this background that the European Food Safety Authority has
been established (
1).
Citizens and consumers expect that research will help to ensure that the
food and products marketed are of high quality, healthy and can be
consumed in safety. To this end, emphasis should be placed on the whole
food production chain, ‘from farm to fork’, including, where appropriate,
application of animal and plant sciences and biotechnology to this area.
Requirements relating to animal welfare and health should be taken into
account.2002D1513 — EN — 30.04.2004 — 001.001 — 13
(1) OJ L 31, 1.2.2002, p. 1.
▼B
This requires the availability of the most complete, precise and up to date
scientific knowledge. Apart from the public health aspect, the prosperity
of a sector representing some EUR 600 billion in terms of annual turn-
over and 2,6 million jobs is at stake.
Given that small enterprises constitute a major part of the food sector, the
success of activities undertaken will rely on the adaptation of knowledge
and processes to the specific characteristics of these enterprises.
Europe also needs to be able to make a substantial contribution to the
research efforts on these issues, which now arise at world level, as well
as a coherent contribution to the international debate on them, based on
the most precise and complete knowledge.
The same remarks apply to the various aspects of the problems associated
with the health impact of environmental factors (e.g. endocrine disruptors,
carcinogens) which are a source of growing concern for European citi-
zens, and which often manifest themselves on an international scale. For
all these reasons, but also in order to derive the benefit of the combina-
tion of the best sources of expertise available in complex areas, the
research in question should be carried out at European level in such a
way as to ensure genuine coordination of national activities.
Actions envisaged
Community activities will cover research, including, where appropriate,
post-genomics research, relating to various aspects of the control of
health risks and links between health and food:
(a) safer and environmentally friendly production and processing
methods and healthier, nutritious, functional and varied foodstuffs
and animal feed, based on systems such as integrated production,
lower-input farming including organic agriculture, and the use of
plant and animal sciences and biotechnologies;
(b) epidemiology of food-related diseases and allergies, including the
impact of diet on the health of children and methods for the analysis
of causes of food-related allergies;
(c) impact of food, for instance new products, products resulting from
organic farming, functional food, products containing genetically
modified organisms and those arising from recent biotechnology
developments on health;
(d) ‘traceability’ processes all along the production chain, for instance
relating to genetically modified organisms, including those based on
recent biotechnology developments;
(e) methods of analysis, detection and control of chemical contaminants
and existing or emerging pathogenic micro-organisms (such as
viruses, bacteria, yeasts, fungi, parasites and new agents of the prion
type including development of ante-mortem diagnostic tests for BSE
and scrapie);
(f) impact of animal feed, including products containing genetically
modified organisms and the use of sub-products of different origins
for that feed, on human health;
(g) environmental health risks linked to the food chain (chemical, biolo-
gical and physical), and combined exposures of authorisedsubstances, including impact of local environmental disasters and
pollution on the safety of foodstuffs, with emphasis being placed on
cumulative risks, transmission routes to human beings, long-term
effects and exposure to small doses, as well as the impact on particu-
larly sensitive groups, and especially children.
1.1.6. Sustainable development, global change and ecosystems
ObjectiveThe activities carried out in this area are intended to strengthen the scien-
tific and technological capacities needed for Europe to be able to
implement sustainable development, emphasised by the Göteborg
European Council, and integrating its environmental, economic and social
objectives with particular regard to renewable energy, transport, and
sustainable management of Europe's land and marine resources. These
activities should enable Member States, the associated candidate and
other associated countries to make a significant contribution to the inter-
national efforts to understand and control global change and preserve the
equilibrium of ecosystems.2002D1513 — EN — 30.04.2004 — 001.001 — 14
▼B
Justification of the effort and European added value
The implementation on a global scale of sustainable development requires
more particularly:
(a) the design, development and dissemination of technologies and solu-
tions, such as promotion of changes in energy consumption behaviour
(leading to an energy-intelligent Europe) and new approaches relating
to mobility, making it possible to ensure the conservation and more
rational, efficient and sustainable use of natural resources, with less
waste and emissions and a reduction in the impact of economic
activity on the environment. Sectors of strategic importance in this
context include energy and transport, especially the urban and
regional development aspects of these sectors;
(b) a better understanding of ecosystems and of the mechanisms and
impacts of global change (for instance climate change), including
the effect of these mechanisms on land and marine resources; as
well as the development of related forecasting capacities.
Where technology is concerned, as highlighted in the Commission Green
Paper ‘Towards a European strategy for the security of energy supply’
and in the Commission's White Paper ‘European transport policy for
2010: time to decide’, two areas concerned as a matter of priority are
energy and transport, which are responsible for over 80 % of total emis-
sions of greenhouse gases and more than 90 % of CO2emissions.
Under the 1997 Kyoto Protocol to the 1992 United Nations framework
Convention on climate change, the European Union is required to reduce
its greenhouse gas emissions by 8 % compared with the 1990 levels in
the period 2008 to 2012. This will require the development of innovative
sustainable energy and transport solutions. Other important commitments
are contained in international instruments such as the 1992 UN Conven-
tion on biological diversity, the 1994 UN Convention to combat
desertification in countries seriously affected by drought and/or desertifi-
cation, particularly in Africa, and the 1987 Montreal Protocol on
substances that deplete the ozone layer as well as in the Union strategy
for sustainable development, including the sixth environment action
programme.
Achieving the above objective in the short term requires a major effort to
deploy technologies currently under development. Community action is
important to ensure coordination of Europe's contribution to world efforts.
Above and beyond this objective, the long-term implementation of
sustainable development in the coming decades makes it necessary to
ensure the availability, under economic conditions, of the most appro-
priate energy sources and carriers in this respect. This will require a
sustained longer-term research effort.
Medium and long-term research efforts will also be necessary to develop
sustainable European transport systems, and to make progress in the
context of global change and protection of biodiversity and preserving
ecosystems which would also contribute to the sustainable use of land
and marine resources. In the context of global change, strategies for an
integrated, sustainable use of agricultural and forest ecosystems are of
particular importance for the preservation of these ecosystems and will
contribute substantially to the sustainable development of Europe.
Actions envisaged
The Community's RTD efforts will concentrate on activities in the
following areas:
I. Sustainable energy systems (1)
(a) in the short and medium term, especially in the urban environ-
ment:
(i) clean energy, in particular renewable energy sources and
their integration in the energy system, including storage,
distribution and use;
(ii) energy savings and energy efficiency, including those to be
achieved through the use of renewable raw materials;
(iii) alternative motor fuels;2002D1513 — EN — 30.04.2004 — 001.001 — 15
(1) Other energy-related topics are included under Section 1.2.1. (‘Policy support and
anticipating scientific and technological needs’) and in Heading III.
▼B
(b) in the medium and longer term:
(i) fuel cells including their applications;
(ii) new technologies for energy carriers, transport and storage
on a European scale, in particular hydrogen technology;
(iii) new and advanced concepts in renewable energy technolo-
gies with a significant future energy potential and requiring
long-term research efforts;
(iv) disposal of CO2associated with cleaner fossil fuel plants.
II. Sustainable surface transport (1)
(a) Developing environmentally friendly, safe and competitive trans-
port systems and means of transport of passengers and freight,
and clean urban transport with rational use of the car in the city:
(i) new technologies and concepts for surface transport,
including novel propulsion systems and integration of fuel
cells for transport purposes;
(ii) advanced design and production techniques leading to
improved quality, safety, recyclability, comfort and cost-
effectiveness;
(b) making rail and maritime transport more effective and more
competitive, addressing the interoperability of transport modes,
and assuring intelligent and safe transport of passengers and
freight:
(i) rebalancing and integrating different modes, in particular in
the urban and regional context, including new mobility
management and transport logistics systems making rail and
maritime transport more effective (for example, by means of
promoting intermodality and interoperability);
(ii) increasing safety, and avoiding traffic congestion (in parti-
cular in urban areas), through the integration of innovative
electronics and software solutions and by means of the use
of advanced satellite navigation systems and telematics solu-
tions.
III. Global change and ecosystems
Community activities will address the following aspects as a matter
of priority:
(a) impact and mechanisms of greenhouse gas emissions and atmo-
spheric pollutants from all sources, including those resulting
from energy supplies, transport and agriculture on climate, ozone
depletion and carbon sinks (oceans, forests and soil) in particular
to improve prediction and to evaluate mitigation options;
(b) water cycle, including soil-related aspects;
(c) understanding marine and terrestrial biodiversity, marine
ecosystem functions, protection of genetic resources, sustainable
management of terrestrial and marine ecosystems and interac-
tions between human activities and the latter;
(d) mechanisms of desertification and natural disasters;
(e) strategies for sustainable land management, including integrated
coastal zone management (ICZM), and including integrated
concepts for the multi-purpose utilisation of agricultural and
forest resources, and the integrated forestry/wood chain;
(f) operational forecasting and modelling, including global climate
change observation systems.
Research undertaken under this priority will be complemented by the
development of advanced methods for risk assessment and methods
of appraising environmental quality, including relevant pre-normative
research on measurements and testing for these purposes.
1.1.7. Citizens and governance in a knowledge-based society
ObjectiveThe activities carried out in this area are intended to mobilise in a
coherent effort, in all their wealth and diversity, European research capa-
cities in economic, political, social sciences and humanities that are2002D1513 — EN — 30.04.2004 — 001.001 — 16
(1) Other transport policy-related topics (such as transport security, tools and indicators for
transport system performance and forecasting) are dealt with under Section 1.2.1.
(‘Policy support and anticipating scientific and technological needs’).
▼B
necessary to develop an understanding of, and to address issues related to,
the emergence of the knowledge-based society and new forms of relation-
ships between its citizens, on the one hand and between its citizens and
institutions, on the other.
Justification of the effort and European added valueAt the European Council in Lisbon in March 2000, the European Union
set itself the ambitious objective of becoming ‘the most competitive and
dynamic knowledge-based economy in the world, capable of sustained
economic growth providing more and better jobs and greater social cohe-
sion’.
In this perspective, the European Council in Lisbon underlined that
‘human resources are Europe's main strength’, stressing the need for
Europe's education and training systems to ‘adjust both to the needs of
the knowledge-based society and to the need to raise the level of employ-
ment and improve quality’.
Europe's transition towards a knowledge-based economy and society, and
its sustainable development in the interests of the quality of life of all
citizens will be all the easier if it takes place in a way which is properly
understood and managed. This requires a substantial research effort
concerning the issues of integrated and sustainable economic and social
progress based on the fundamental values of justice and solidarity and
cultural diversity which characterise the European model of society, as
well as research on issues relating to entrepreneurship and the setting
up, growth and development of small enterprises.
In this respect, economic, political, social and human sciences research
should more particularly help to ensure the harnessing and exploitation
of an exponentially increasing quantity of information and knowledge
and an understanding of the processes at work in this area.
In Europe, this issue arises in particular in connection to the future enlar-
gement, the functioning of democracy and new forms of governance, and
in the general context of this. What is at stake is the relationship between
citizens and institutions in a complex political and decision-making envir-
onment characterised by the coexistence of national, regional and
European decision-making levels and the increasing role of civil society
and its representatives in the political debate.
Issues such as these have a clear and intrinsic European dimension, and
there is much to be gained by examining them from a global perspective,
taking into account the historical dimension as well as the cultural heri-
tage.
This European dimension is only just starting to be taken into account in
research conducted at national level, and is not yet receiving all the atten-
tion that it requires.
It seems highly appropriate to address these aspects on the European
scale. What is more, action taken at Union level will make it possible to
ensure the requisite degree of methodological coherence and guarantee
that full benefit is derived from the rich variety of approaches existing
in Europe and European diversity.
Actions envisaged
Action by the Community will focus on the following themes:
knowledge-based society and social cohesion:
(a) research with reference to the objectives set by the Lisbon European
Council and subsequent Councils, in particular systematic analysis of
best methods for improving the production, transmission and utilisa-
tion of knowledge in Europe;
(b) options and choices for the development of a knowledge-based
society serving the Union objectives emphasised at the Lisbon, Nice
and Stockholm European Councils, in particular as regards improving
the quality of life, social, employment and labour market policies,
lifelong learning, and strengthening social cohesion and sustainable
development with due consideration for the various social models in
Europe and taking into account aspects relating to the ageing of the
population;
(c) variety of transition dynamics and paths towards the knowledge-
based society at local, national and regional level;2002D1513 — EN — 30.04.2004 — 001.001 — 17
▼B
citizenship, democracy and new forms of governance, in particular in the
context of increased integration and globalisation, and from the perspec-
tives of history and cultural heritage:
— consequences of European integration and enlargement of the Union
for democracy, the concept of legitimacy, and the functioning of
Union institutions through a better understanding of political and
social institutions in Europe, and their historical evolution,
— research on the redefinition of and the relationship between areas of
competence and responsibility, and new forms of governance,
— issues connected with the resolution of conflicts and restoration of
peace and justice, including the safeguarding of fundamental rights,
— emergence of new forms of citizenship and cultural identities, forms
and impact of integration and cultural diversity in Europe; social and
cultural dialogue involving Europe as well as the rest of the world.
In operational terms, Community activities will focus on support for:
(a) transnational research and comparative studies and the coordinated
development of statistics and qualitative and quantitative indicators;
(b) interdisciplinary research in support of public policies;
(c) the establishment and exploitation on a European scale of research
infrastructures and data and knowledge bases.
1.2. Specific activities covering a wider field of research
1.2.1. Policy support and anticipating scientific and technological needs
These activities will assure efficient and flexible conduct of research
essential for the fundamental objectives of the Community, by underpin-
ning the formulation and implementation of Community policies and by
exploring new and emerging scientific problems and opportunities, where
these requirements cannot be satisfied under the thematic priorities.
A feature common to these activities is that they will be implemented
within a multi-annual perspective which takes direct account of the needs
and viewpoints of the main associated actors (as appropriate: policy
makers, industrial user groups, leading edge research communities etc.).
In principle, they will be implemented in conjunction with an annual
programming mechanism, by which specific priorities, corresponding to
identified needs and falling within the objectives indicated above, will
be determined.
A . Policy-oriented research
Research activities under this heading are intended to respond to the
scientific and technological needs of the policies of the Community,
underpinning the formulation and implementation of Community poli-
cies, bearing in mind also the interests of future members of the
Community and associated countries. They may include pre-norma-
tive research, measurement and testing where necessary for the needs
of Community policies.
These activities require flexible, policy-driven definition and specific
actions and methods of intervention to complement the thematic prio-
rities and to be coordinated within the overall context of this
programme.
They will accordingly include themes linked to the thematic priorities,
but which do not lend themselves to the science-driven approach for
identifying the relevant individual topics. Appropriate division of
tasks, and synergy, will also be assured between these activities and
the direct actions of the Joint Research Centre, oriented towards the
needs of the Community policies.
The areas concerned to be supported are as follows:
(a) the common agricultural policy (CAP) and the common fisheries
policy (CFP);
(b) sustainable development, in particular the Community policy
objectives relating to environment (including those set out in the
sixth environment action programme), transport and energy;
(c) other Community policies, namely health (in particular public
health), regional development, trade, development aid, internal
market and competitiveness, social policy and employment,
education and training, culture, gender equality, consumer protec-
tion, the creation of an area of freedom, security and justice, and
external relations, including those policies in support of enlarge-
ment, and including the requisite statistical methods and tools;2002D1513 — EN — 30.04.2004 — 001.001 — 18
▼B
(d) Community policy objectives derived from the orientations given
by the European Council with regard to, for instance, economic
policy, the information society as well as e-Europe and enterprise.
Within these areas, the research priorities, responding to initially iden-
tified policy needs, which will be supplemented during the course of
the implementation of this programme, are as follows:
1.Sustainable management of Europe's natural resources
Research under this heading will in particular focus on:
(a) the modernisation and sustainability of agriculture and forestry,
including their multifunctional role in order to ensure the
sustainable development and promotion of rural areas;
(b) tools and assessment methods for sustainable agriculture and
forestry management;
(c) the modernisation and sustainability of fisheries, including
aquaculture-based production systems;
(d) new and more environment friendly production methods to
improve animal health and welfare;
(e) environmental assessment (soil, water, air, noise, including the
effects of chemical substances);
(f) assessment of environmental technologies for support of policy
decisions, in particular concerning effective but low-cost tech-
nologies in the context of fulfilling environmental legislation.
2.Providing health, security and opportunity to the people of Europe
Research under this heading will focus in particular on:
(a) health determinants and the provision of high quality and
sustainable health care services and pension systems (in parti-
cular in the context of ageing and demographic change);
(b) public health issues, including epidemiology contributing to
disease prevention and responses to emerging rare and commu-
nicable diseases, allergies, procedures for secure blood and
organ donations, non-animal test methods;
(c) the impact of environmental issues on health (including
methods for risk assessment and the mitigation of risks of
natural disasters to people);
(d) quality of life issues relating to handicapped/disabled people
(including equal access facilities);
(e) understanding of migration and refugee flows;
(f) understanding crime trends in the context of public safety;
(g) issues related to civil protection (including bio-security and
protection against risks arising from terrorist attacks) and crisis
management.
3.Underpinning the economic potential and cohesion of a larger and
more integrated European Union
Research under this heading will in particular focus on:
(a) underpinning European integration, sustainable development,
competitiveness and trade policies (including improved means
to assess economic development and cohesion);
(b) the development of tools, indicators and operational para-
meters for assessing sustainable transport and energy systems
performance (economic, environmental and social);
(c) global safety analysis and validation systems for transport and
research relating to accident risks and safety in mobility
systems;
(d) forecasting and developing innovative policies for sustain-
ability in the medium and long term;
(e) information society issues (such as management and protection
of digital assets, and inclusive access to the information
society);
(f) the protection of cultural heritage and associated conservation
strategies;
(g) improved quality, accessibility and dissemination of European
statistics.2002D1513 — EN — 30.04.2004 — 001.001 — 19
▼B
B . Research to explore new and emerging scientific and
technological problems and opportunities
The research activities carried out under this heading are intended to
respond flexibly and rapidly to major unforeseeable developments,
emerging scientific and technological problems and opportunities, as
well as needs appearing at the frontiers of knowledge, more specifi-
cally in multi-thematic and interdisciplinary areas.
In this context, the following activities will be carried out:
(a) research in emerging areas of knowledge and on future technolo-
gies, outside or cutting across the thematic priority areas, in
particular in transdisciplinary fields, which is highly innovative
and involves correspondingly high (technical) risks. It will be
open to new scientific endeavours at the frontiers of knowledge
and technological know-how that have significant potential for
major industrial and/or social impact, or for the development of
Europe's research capabilities in the longer term;
(b) research to assess rapidly new discoveries, or newly observed
phenomena, which may indicate emerging risks or problems of
high importance to European society, and identify appropriate
responses to them.
In identifying potential research topics under this heading, special
attention will be given to the views of the research community and
to areas where European action is appropriate in view of the potential
to develop strategic positions at the leading edge of knowledge and in
new markets, or to anticipate major issues facing European society.
1.2.2. Horizontal research activities involving SMEs
Carried out in support of European competitiveness and enterprise and
innovation policy, these specific activities are intended to help European
SMEs in traditional or new areas to boost their technological capacities
and develop their ability to operate on a European and international scale.
Information and advice about the possibilities of SME involvement will
be ensured via entry points set up by the Commission, and by making
use of the national contact point scheme.
In addition to these specific research activities for SMEs, SMEs will be
encouraged to participate in all areas of this programme, in particular in
the context of the activities carried out in the priority thematic areas.
Actions that may be carried out in the entire field of science and tech-
nology covered by Community research policy, will take the form of:
( a ) Cooperative research activities
Research activities carried out by RTD performers for a number of
SMEs on themes of common interest. These activities may also be
carried out by innovative SMEs in cooperation with research centres
and universities;
( b ) Collective research activities
Research activities carried out by RTD performers for industrial asso-
ciations or industry groupings in entire sectors of industry where
SMEs are prominent at the European level, including dissemination
of results.
1.2.3. Specific measures in support of international cooperation
In support of the external relations, including the development policy of
the Community, specific measures aimed at encouraging international
research cooperation will be undertaken. Apart from these specific
measures, third country participation will be possible within the thematic
priorities. The following groups of third countries will be involved:
(a) developing countries;
(b) Mediterranean countries, including the western Balkans;
(c) Russia and the New Independent States (NIS) including, in particular,
activities carried through the International Association for the Promo-
tion of Cooperation with Scientists from the NIS (INTAS).
The research priorities in this category of activities are defined according
to the interests and objectives of the partnership between the Community
and the groups of countries concerned, as well as their specific economic
and social needs.2002D1513 — EN — 30.04.2004 — 001.001 — 20
▼B
In order to facilitate the involvement of these countries a single entry
point within the Commission will be created for information about activ-
ities undertaken in the fields of international cooperation.
These activities are complementary to international research cooperation
undertaken within the thematic priority areas.
1.3. Non-nuclear activities of the Joint Research Centre (JRC)
In accordance with its mission of providing scientific and technical
support for Community policies, the JRC will provide independent,
customer-driven support for the formulation and implementation of
Community policies, including the monitoring of the implementation of
such policies, within the areas of its specific competence.
The JRC will carry out its activities in close cooperation and by
networking with scientific circles, national research organisations, univer-
sities and businesses in Europe. It is entitled to participate in all research
activities of this programme on the same basis as entities established in
Member States. Special attention will be given to cooperation with candi-
date countries.
The essential common denominator of the JRC's activities will be the
safety of citizens in its different aspects, e.g. health, environment and
combating fraud.
Under this heading, the JRC will carry out the following activities:1. Activities to be carried out in accordance with the JRC mission. These
activities will be clearly geared towards customer needs. In this
context, there will be a degree of flexibility for unexpected research
needs.
Research will be concentrated on two core areas related to two of the
priority thematic areas:
(a) food, chemical products and health, with particular attention to:
food safety and quality, in particular to combat BSE; genetically
modified organisms; chemical products, including validation of
alternative non-animal testing procedures; biomedical applications
(more particularly the establishment of references in this area);
(b) environment and sustainability, with particular attention to:
Climate change (carbon cycle, modelling, impacts) and technolo-
gies for sustainable development (renewable energy sources, tools
for the integration of policies); improvement of air quality, protec-
tion of the European environment; development of reference
measurements and networks; technical support for the objectives
of GMES.
2. Horizontal activities in domains for which the JRC has specific
competence:
(a) technology foresight: technological and economic foresight work
based on the activities of European networks;
(b) reference materials and measurements: the Community reference
bureau (BCR) and certified reference materials; validation and
qualification of chemical and physical measurement methods;
(c) the safety of citizens and anti-fraud: detection of anti-personnel
mines; prevention of natural and technological hazards; networks
in support of cybersecurity; fraud control technologies.
II. STRUCTURING THE EUROPEAN RESEARCH AREA
2.1. Research and innovation
Objective
These activities are intended to stimulate technological innovation, utili-
sation of research results, transfer of knowledge and technologies and the
setting up of technology businesses in the Community and in all its
regions, not least in the less developed areas. Innovation is also one of
the most important elements throughout this programme.
Justification of the effort and European added valueEurope's comparatively poor ability to transform the results of research
work and scientific and technological breakthroughs into industrial,
economic and commercial successes, is one of its most notable weak-
nesses. Actions to stimulate business innovation at European level can2002D1513 — EN — 30.04.2004 — 001.001 — 21
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help to raise the overall level of Europe's performance and increase
European capacities in this area, by helping businesses and innovators in
their efforts to operate on a European scale and on international markets,
and by giving stakeholders in all regions of the Union the benefit of the
experience and knowledge acquired in other regions through initiatives
undertaken at this level.
Actions envisagedActivities will be carried out under this heading to complement activities
relating to innovation included in those carried out under Heading I.
These actions will provide general support to innovation, and will
complement national and regional activities, with a view to increasing
the coherence of efforts in this area. They will take the form of support
for:
(a) networking of stakeholders and users in the European innovation
system and carrying out analyses and studies in order to promote
exchanges of experience and good practice and to engage users better
in the innovation process;
(b) actions to encourage transregional cooperation regarding innovation
and support for the setting-up of technology businesses, as well as
for the preparation of regional and transregional strategies in this
area, including the accession countries;
(c) actions to experiment with new tools and new approaches concerning
technological innovation addressing in particular critical points in the
innovation process;
(d) establishment or consolidation of information services and in parti-
cular electronic services, such as CORDIS, and assistance services
relating to innovation (technology transfer, protection of intellectual
property, access to risk capital); including the activities of innovation
relay centres;
(e) economic and technological intelligence activities (analyses of tech-
nological developments, applications and markets and processing
and dissemination of information which may help researchers, entre-
preneurs, and in particular SMEs, and investors in their decision-
making);
(f) analysis and evaluation of innovation activities carried out in the
framework of Community research projects and exploitation of
lessons that can be drawn from innovation policies.
Some of these activities will be carried out in liaison with those of the
European Investment Bank (EIB) (in particular by means of the European
Investment Fund (EIF)) under its ‘Innovation 2000 initiative’ as well as
in coordination with measures taken through the Structural Funds.
2.2. Human resources and mobility
ObjectiveThe activities carried out under this heading are intended to support the
development of abundant world-class human resources in all the regions
of the Community by promoting transnational mobility for training
purposes, the development of expertise or the transfer of knowledge, in
particular between different sectors; supporting the development of excel-
lence; and helping to make Europe more attractive to third country
researchers. This should be done with the aim of making the most of the
potential offered by all sectors of the population, especially women and
younger researchers, taking appropriate measures for this purpose,
including those taken towards creating synergies in the area of higher
education in Europe.
Justification of the effort and European added valuePromoting transnational mobility is a simple, particularly effective and
powerful means of boosting European excellence as a whole, as well as
its distribution in the different regions of the Union. It creates opportu-
nities for significantly improving the quality of the training of
researchers, promotes the circulation and exploitation of knowledge, and
helps to establish world-class centres of excellence that are attractive
throughout Europe. Union level action in this area (as in human resources
in general) leading to the attainment of critical mass will inevitably have
a major impact.
Attention will be paid to the participation of women within all actions,
and appropriate measures to promote a more equitable balance between
men and women in research; the personal circumstances relating to mobi-2002D1513 — EN — 30.04.2004 — 001.001 — 22
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lity, particularly with respect to the family, career development and
languages; the development of research activity in the less-favoured
regions of the Union and associated countries, and to the need for
increased and more effective cooperation between research disciplines
and between academia and industry, including SMEs.
In cooperation with the most appropriate national and Community
actions, attention will be paid to the provision of practical assistance to
foreign researchers in matters (legal, administrative, family or cultural)
relating to their mobility.
Actions envisagedThese activities, which will be carried out in the whole field of science
and technology, will take in particular the following forms:
(a) support measures for universities, research centres, businesses
including in particular SMEs and networks, for the hosting of
European and third country researchers, including training of pre-
doctoral researchers. These activities could include the setting up of
long-term training networks and encouraging mobility between
different sectors;
(b) individual support measures for European researchers for the
purposes of mobility to another European or a third country, and for
top-class third country researchers wishing to come to Europe. Such
support will provide for a sufficiently long training period and focus
on researchers with at least four years of research experience, while
also addressing the needs of training in research management;
(c) financial contribution to national or regional programmes in support
of researcher mobility open to researchers from other European coun-
tries;
(d) support for the creation and development of European research teams
which are considered as having the potential to reach a high level of
excellence, more particularly for leading edge or interdisciplinary
research activities where such support can add value to national
measures;
(e) scientific prizes for work of excellence carried out by a researcher
having received Union financial support for mobility.
Mechanisms will be set up to facilitate the return of researchers to their
countries or regions of origin, and their professional reintegration.
Efforts aimed at achieving equal gender representation in the actions
envisaged will be ensured.
2.3. Research infrastructures
Objective
The activities carried out under this heading are intended to help establish
a fabric of research infrastructures of the highest level in Europe and to
promote their optimum use on a European scale.
Justification of the effort and European added value
The development of a European approach with regard to research infra-
structures, and the carrying out of activities in this area at Union level,
can make a significant contribution to boosting European research poten-
tial and its exploitation: by helping to ensure wider access to the
infrastructures existing in the different Member States and increasing the
complementarity of the facilities in place; by promoting the development
or establishment of infrastructures ensuring a service on a European
scale, as well as optimum construction choices in European terms and in
terms of regional and transregional technological development.
These activities will be carried out in the whole field of science and tech-
nology, including in the priority thematic areas.
Actions envisaged:
(a) transnational access to research infrastructures;
(b) implementing integrated activities, by means of European-scale infra-
structures or consortia of infrastructures, making it possible to ensure
the provision of services on a European scale and possibly covering,
in addition to transnational access, the establishment and operation of
cooperation networks, and the execution of joint research projects;
raising the level of the performance of the infrastructures concerned;
(c) a high-capacity and high-speed European communication infrastruc-
ture (possibly based on GRID-type architectures), building on the2002D1513 — EN — 30.04.2004 — 001.001 — 23
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achievements of the Géant project as well as electronic publishing
services;
(d) carrying out feasibility studies and preparatory work for the creation
of new European scale infrastructures taking into account the needs
of all potential users and systematically exploring the possibilities of
contributions from e.g. the EIB or the Structural Funds for the
funding of these infrastructures;
(e) optimising of European infrastructures by providing limited support
for the development of a restricted number of projects for new infra-
structures in duly justified cases where such support could have a
critical catalysing effect in terms of European added value. This
support, taking due account of Member States' opinion, may supple-
ment contributions from the EIB or the Structural Funds to the
funding of these infrastructures.
2.4. Science and society
ObjectiveThe activities carried out under this heading are intended to encourage
the development of harmonious relations between science and society
and the opening-up of innovation in Europe, as well as contributing to
scientists' critical thinking and responsiveness to societal concerns, as a
result of the establishment of new relations and an informed dialogue
between researchers, industrialists, political decision-makers and citizens.
The activities under this heading are policy-related science and society
initiatives, while the research activities under the thematic priorities and
in particular thematic priority 7 cover in a broader manner research
relating to citizens and governance.
Justification of the effort and European added valueScience/society issues need to a large extent to be addressed at European
level on account of their strong European dimension. This is bound up
with the fact that very often they arise on a European scale (as the
example of food safety problems shows), with the importance of being
able to benefit from the often complementary experience and knowledge
required in the different countries and with the need to take into account
the variety of views on them, which reflects European cultural diversity.
Actions envisagedThe activities carried out in this area in the whole field of science and
technology will in particular address the following themes:
(a) binging research closer to society: sience and governance; scientific
advice; involvement of society in research; foresight;
(b) responsible use of scientific and technological progress, in harmony
with fundamental ethical values: assessment, management and
communication of uncertainty and risk; expertise; analysis and
support to best practice in the application of the precautionary prin-
ciple in different areas of policy making; European reference
system; research on ethics in relation to science, technology develop-
ments and their applications;
(c) stepping up the science/society dialogue: new forms of dialogue with
the participation of relevant stakeholders; knowledge of science by
citizens; stimulation of awareness; promoting young people's interest
in scientific careers; initiatives aimed at promoting the role and place
of women in science and research at all levels.
They will take the form of activities in support of:
(a) networking and establishment of structural links between the institu-
tions and activities concerned at national, regional and European
level, in particular using information society technologies;
(b) exchange of experience and good practice;
(c) carrying out specific research;
(d) high-profile awareness-raising initiatives such as prizes and competi-
tions;
(e) establishing data and information bases and carrying out studies, in
particular statistical and methodological studies, on the different
themes.2002D1513 — EN — 30.04.2004 — 001.001 — 24
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III. STRENGTHENING THE FOUNDATIONS OF THE UROPEAN
RESEARCH AREA
Objective
The activities carried out under this heading are intended to step up the coordi-
nation and to support the coherent development of research and innovation-
stimulation policies and activities in Europe.
Justification of the effort and European added value
Making a reality of the European Research Area depends first and foremost on
improving the coherence and coordination of research and innovation activities
and policies conducted at national, regional and European level. Action by the
Community can help to promote efforts to this end, as well as to lay the founda-
tions in terms of the information, knowledge and analyses that are essential for
the successful completion of this project.
Actions envisaged
A. Coordination activities, using a bottom up approach, will be carried out in
the whole field of science and technology in areas such as:
(a) health: health of key population groups; major diseases and disorders
(e.g. cancer, diabetes and diabetes-related diseases, degenerative diseases
of the nervous system, psychiatric diseases, cardiovascular diseases,
hepatitis, allergies, visual impairment), rare diseases, alternative or non-
conventional medicine and major diseases linked to poverty in devel-
oping countries; activities involved will be implemented, for instance,
through coordination of research and comparative studies, development
of European databases and interdisciplinary networks, exchange of clin-
ical practice and coordination of clinical trials;
(b) biotechnology: non-health and non-food applications;
(c) environment: urban environment (including sustainable urban develop-
ment and cultural heritage); marine environment and land/soil
management; seismic risk;
(d) energy: new generation power plants (‘near-zero-emission’), energy
storage, transport and distribution.
These activities will take the form of stepping up the coordination of
research activities carried out in Europe, at both national and European level
with financial support for:
(a) the mutual opening-up of national and regional programmes;
(b) networking of research activities conducted at national and regional
level;
(c) the administration and coordination activities of European cooperation in
the field of scientific and technological research (COST);
(d) scientific and technological coordination activities carried out in other
European cooperation frameworks, in particular the European Science
Foundation;
(e) collaboration and joint initiatives of specialised European scientific
cooperation organisations such as CERN, EMBL, ESO, ENO and the
ESA (1).
These actions will be implemented in the general context of efforts under-
taken to optimise the overall performance of European scientific and
technological cooperation and ensure that its different components, including
COST and Eureka, are complementary.
B. In order to support the coherent development of research and innovation
policies in Europe:
(a) carrying out analyses and studies, and work relating to scientific and
technological foresight, statistics and indicators;
(b) setting up and support for the operation of specialised working groups
and forums for concertation and political debate;
(c) support for work on the benchmarking of research and innovation poli-
cies at national, regional and European level;2002D1513 — EN — 30.04.2004 — 001.001 — 25
(1) CERN: European Organisation for Nuclear Research; EMBL: European Molecular
Biology Laboratory; ESO: European Southern Observatory; ENO: European Northern
Observatory; ESA: European Space Agency.
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(d) support for carrying out work on the mapping of scientific and technolo-
gical excellence in Europe;
(e) support for carrying out the work needed to improve the regulatory and
administrative environment for research and innovation in Europe.2002D1513 — EN — 30.04.2004 — 001.001 — 26
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ANNEX II
MAXIMUM OVERALL AMOUNT, RESPECTIVE SHARES AND INDI-
CATIVE BREAKDOWN
The maximum overall financial amount and the respective indicative shares of
the various activities as referred to in Article 164 of the Treaty are as follows:
(EUR million)
First activity (1) 15 174
Second activity (2) 658
Third activity (3) 319
Fourth activity (4) 1 732
Maximum overall amount 17 883
(1) Covering the activities carried out under the heading ‘Focusing and integrating
Community research’, with the exception of international cooperation activities;
research infrastructures, and the theme ‘Science and society’ carried out under the
heading ‘Structuring the European Research Area’ and activities carried out under theheading ‘Strengthening the foundations of the European Research Area’.
(
2) Covering the international cooperation activities carried out under the heading
‘Focusing and integrating Community research’, in the thematic priority areas and
under the heading ‘Specific activities covering a wider field of research’.
(3) Covering the specific activities on the theme ‘Research and innovation’ carried out
under the heading ‘Structuring the European Research Area’ in addition to innovationactivities carried out under the heading ‘Focusing and integrating Communityresearch’.
(
4) Covering the activities concerning human resources and support for mobility carried
out under the heading ‘Structuring the European Research Area’.2002D1513 — EN — 30.04.2004 — 001.001 — 27
▼M1
These activities will be carried out under the following headings (the indicative financial breakdown is
set out):
(EUR million)
1. Focusing and integrating Community research 14 682
Thematic priorities (1) 12 438
Life sciences, genomics and biotechnology for
health (2)2 514
— advanced genomics and its applications for
health1 209
— combating major diseases 1 305
Information society technologies (3) 3 984
Nanotechnologies and nanosciences, knowledge-
based multifunctional materials and new production
processes and devices1 429
Aeronautics and space 1 182
Food quality and safety 753
Sustainable development, global change and
ecosystems2 329
— sustainable energy systems 890
— sustainable surface transport 670
— global change and ecosystems 769
Citizens and governance in a knowledge-based
society247
Specific activities covering a wider field of research 1 409
Policy support and anticipating scientific and tech-
nological needs590
Horizontal research activities involving SMEs 473
Specific measures in support of international coop-
eration (4)346
Non-nuclear activities of the Joint Research Centre 835
2. Structuring the European Research Area 2 854
Research and innovation 319
Human resources 1 732
Research infrastructure (5) 715
Science and society 88
3. Strengthening the foundations of the European
Research Area347
Support for the coordination of activities 292
Support for the coherent development of policies 55
Total 17 883
(1) Of which at least 15 % for SMEs.
(2) Including up to EUR 475 million for cancer-related research.
(3) Including up to EUR 110 million for the further development of Géant and GRID.
(4) The amount of EUR 346 million will fund specific measures in support of international cooperation involving
developing countries, Mediterranean countries (including the Western Balkans), and Russia and the New Inde-
pendent States (NIS). Another EUR 312 million is earmarked to finance the participation of third-country
organisations in the ‘Thematic Priorities’ and in the ‘Specific activities covering a wider field of research’,thus bringing the total amount devoted to international cooperation to EUR 658 million. Additional resourceswill be available under section 2.2 ‘Human resources and mobility’ to fund research training for third-countryresearchers in Europe.
(
5) Including up to EUR 218 million for the further development of Géant and GRID.2002D1513 — EN — 30.04.2004 — 001.001 — 28
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ANNEX III
INSTRUMENTS AND RULES FOR FINANCIAL PARTICIPATION BY
THE COMMUNITY
The Community will contribute financially, under the specific programmes, and
subject to the rules for participation, to research and technological activities,
including demonstration activities, of this programme.
These activities, which will incorporate measures to encourage innovation, will
be implemented by means of a range of instruments described below, and
referred to as ‘Indirect RTD actions’, to which the Community will contribute
financially. In addition, the Community will undertake activities implemented
by the JRC, and which are referred to as ‘direct actions’.
1. INSTRUMENTS
IntroductionAn instrument implementing an action must be commensurate with the
scope and objectives of the research activity concerned, and will take into
account, as appropriate, the views of the research community. Accordingly,
the size of an action may vary in relation to the themes and subjects it
covers, depending on the critical mass of expertise necessary to obtain
European added value and achieve the expected results. In some cases,
this may be achieved by the clustering of actions dedicated to different
aspects of one and the same objective.
All instruments should involve, as appropriate, universities or institutions of
higher education of a similar level, research organisations and industry,
including SMEs. They could entail activities relating to dissemination,
transfer and exploitation of knowledge as well as analysis and evaluation
of the economic and social impact of the technologies concerned and the
factors involved in their successful implementation.
As a general rule, selection of actions will be based on open calls for
proposals and independent peer review, except in duly justified cases. All
research activities will be reviewed regularly and this will, in particular,
involve monitoring of the level of research excellence. The participation
of SMEs including enterprise groupings of SMEs and smaller entities will
be encouraged.
Concerning research in the priority thematic areas (under Heading I as
defined in Annex I):
— the importance of the new instruments (integrated projects and networks
of excellence) is recognised as being an overall priority means to attain
the objectives of critical mass, management simplification and
European added value contributed by Community research in relation
to what is already undertaken at national level, and of the integration
of the research capacities. However, the size of projects is not a
criterion for exclusion, and access to new instruments is ensured for
SMEs and other small entities,
— the new instruments will be used from the start of this programme in
each theme and, where deemed appropriate, as a priority means, while
maintaining the use of specific targeted research projects and coordina-
tion actions,
— in 2004 an evaluation will be undertaken by independent experts of the
effectiveness of each of these three types of instruments in the execu-
tion of this programme.
Research activities in areas involving ‘Specific activities covering a wider
field of research’ (under Heading I) will take the form of specific targeted
research projects and specific research projects for SMEs. Networks of
excellence and integrated projects may, however, be used in certain duly
justified cases, where the objectives in question can be better achieved by
these means.
Activities referred to under Heading II (Structuring the European Research
Area) and Heading III (Strengthening the foundations of the European
Research Area), will take the form of specific targeted research and innova-
tion projects, integrated infrastructure initiatives and actions to promote
human resources and mobility.
In addition, specific support actions, coordination actions and participation
of the Community in programmes undertaken by several Member States
pursuant to Article 169 of the Treaty may be applied throughout this
programme.2002D1513 — EN — 30.04.2004 — 001.001 — 29
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1.1. Networks of excellence
The purpose of networks of excellence is to strengthen and develop
Community scientific and technological excellence by means of the inte-
gration, at European level, of research capacities currently existing or
emerging at both national and regional level. Each network will also aim
at advancing knowledge in a particular area by assembling a critical mass
of expertise. They will foster cooperation between capacities of excellence
in universities, research centres, enterprises, including SMEs, and science
and technology organisations. The activities concerned will be generally
targeted towards long-term, multidisciplinary objectives, rather than prede-
fined results in terms of products, processes or services.
A network of excellence will be implemented by a joint programme of
activities involving some or, where appropriate, all of the research capaci-
ties and activities of the participants in the relevant area to attain a critical
mass of expertise and European added value. A joint programme of activ-
ities could aim at the creation of a self-standing virtual centre of excellence
that may result in developing the necessary means for achieving a durable
integration of the research capacities.
A joint programme of activities will necessarily include those aimed at
integration, as well as activities related to the spreading of excellence and
dissemination of results outside the network.
Subject to conditions to be specified in the specific programmes and in the
rules for participation the networks of excellence will have a high level of
management autonomy including, where appropriate, the possibility to
adapt the composition of the network and the content of the joint
programme of activities.
1.2. Integrated projects
Integrated projects are designed to give increased impetus to the Commu-
nity's competitiveness or to address major societal needs by mobilising a
critical mass of research and technological development resources and
competences. Each integrated project should be assigned clearly defined
scientific and technological objectives and should be directed at obtaining
specific results applicable in terms of, for instance, products, processes or
services. Under these objectives they may include more long-term or
‘risky’ research.
Integrated projects should comprise a coherent set of component actions
which may vary in size and structure according to the tasks to be carried
out, each dealing with different aspects of the research needed to achieve
common overall objectives, and forming a coherent whole and imple-
mented in close coordination.
The activities carried out as part of an integrated project should include
research and, as appropriate, technological development and/or demonstra-
tion activities, activities for the management and use of knowledge in order
to promote innovation, and any other type of activity directly related to the
objectives of the integrated project.
Subject to conditions to be specified in the specific programmes and in the
rules for participation, the integrated projects will have a high level of
management autonomy including, where appropriate, the possibility to
adapt the partnership and the content of the project. They will be carried
out on the basis of overall financing plans preferably involving significant
mobilisation of public and private sector funding, including funding or
collaboration schemes such as Eureka, EIB and EIF.
1.3. Specific targeted research or innovation projects
Specific targeted research projects will aim at improving European compe-
titiveness. They should be sharply focussed and will take either of the
following two forms, or a combination of the two:
(a) a research and technological development project designed to gain new
knowledge either to improve considerably or to develop new products,
processes or services or to meet other needs of society and Community
policies;2002D1513 — EN — 30.04.2004 — 001.001 — 30
▼B
(b) a demonstration project designed to prove the viability of new technol-
ogies offering potential economic advantage but which cannot be
commercialised directly.
Specific targeted innovation projects are designed to test, validate and
disseminate new innovation concepts and methods at the European level.
1.4. Specific research projects for SMEs
Specific research projects for SMEs may take either of the following forms:
(a) cooperative research projects undertaken for the benefit of a number of
SMEs on themes of common interest;
(b) collective research projects carried out for industrial associations or
industry groupings in entire sectors of industry where SMEs are promi-
nent.
1.5. Actions to promote and develop human resources and mobility
Actions to promote and develop human resources and mobility will be
targeted at training, development of expertise or transfer of knowledge.
They will involve support to actions carried out by natural persons, host
structures, including training networks, and also by European research
teams.
1.6. Coordination actions
Coordination actions are intended to promote and support the coordinated
initiatives of a range of research and innovation operators aiming at
improved integration. They will cover activities such as the organisation
of conferences, meetings, the performance of studies, exchanges of
personnel, the exchange and dissemination of good practices, setting up
information systems and expert groups, and may, if necessary, include
support for the definition, organisation and management of joint or
common initiatives.
1.7. Specific support actions
Specific support actions will complement the implementation of this
programme and may be used to help in preparations for future Community
research and technological development policy activities including moni-
toring and assessment activities. In particular, they will involve
conferences, seminars, studies and analyses, high level scientific awards
and competitions, working groups and expert groups, operational support
and dissemination, information and communication activities, or a combi-
nation of these, as appropriate in each case. They may also include
actions in support of research infrastructure relating to, for instance, trans-
national access or preparatory technical work (including feasibility studies)
and the development of new infrastructure.
Specific support actions will also be implemented to stimulate, encourage
and facilitate the participation of SMEs, small research teams, newly devel-
oped and remote research centres, as well as those organisations from the
candidate countries in the activities of the priority thematic areas, in parti-
cular via the networks of excellence and the integrated projects. The
implementation of these actions will rely on the specific information and
assistance structures, including the network of national contact points,
established by the Member States and the associated countries at local,
regional and national level and will aim at ensuring a smooth transition
from the fifth to the sixth framework programme.
1.8. Integrated infrastructure initiatives
Integrated infrastructure initiatives should combine in a single action
several activities essential to reinforce and develop research infrastructures,
in order to provide services at the European level. To this end, they shouldcombine networking activities with a support activity (such as relating to
transnational access) or research activities needed to improve infrastructure
performance, excluding, however, the financing of investment for new
infrastructures, which can only be financed as specific support actions.
They will include a component of dissemination of knowledge to potential
users, including industry and in particular to SMEs.
1.9. Participation of the Community in programmes undertaken by several
Member States (Article 169)
Pursuant to Article 169 of the Treaty, this instrument will cover clearly
identified programmes implemented by governments, national or regional2002D1513 — EN — 30.04.2004 — 001.001 — 31
▼B
authorities or research organisations and may be used in all the activities of
this programme (1). The joint implementation of these programmes will
entail recourse to a specific implementation structure. This may be
achieved by means of harmonised work programmes and common, joint
or coordinated calls for proposals.
2. DETAILED RULES FOR FINANCIAL PARTICIPATION BY THE
COMMUNITY (2)
The Community will implement the financial instruments in compliance
with the Community framework for state aid to research and development,
as well as international rules in this area, and in particular the WTO Agree-
ment on Subsidies and Countervailing Measures. In compliance with this
international framework, it will need to be possible to adjust the scale and
form of financial participation under this programme on a case by case
basis, in particular if funding from other public sector sources is available,
including other sources of Community financing such as the EIB and EIF.
In the case of participation of bodies from regions lagging in development,
when a project receives the maximum intensity of co-financing authorised
under this Programme or an overall grant, an additional contribution from
the Structural Funds, pursuant to Council Regulation (EC) No 1260/1999 of
21 June 1999 laying down general provisions on the Structural Funds (3),
could be granted.
In the case of participation of entities from the candidate countries, an
additional contribution from the pre-accession financial instruments could
be granted under similar conditions.
In the case of participation of organisations from Mediterranean or devel-
oping countries, a contribution of the MEDA programme and of the
financial instruments of the Community's aid to development could be
envisaged.
Financial participation by the Community will be granted in compliance
with the principle of co-financing, with the exception of financing for
studies, conferences and public tenders.
Financial participation by the Community will, except in duly justified
cases, be decided following open calls for proposals or invitation to tender
procedures. Selection of projects will be based on independent peer review.
The Commission will carry out the research activities in such a way as to
ensure the protection of the Community's financial interests by means of
effective controls and, if irregularities are detected, by means of dissuasive
and proportionate penalties.
In the decisions adopting the specific programmes implementing this
programme, there can be no derogations from the rules set out in the table
below.2002D1513 — EN — 30.04.2004 — 001.001 — 32
(1) It is recalled that national programmes to be carried out jointly pursuant to Article 169
of the Treaty are subject to decision by the European Parliament and the Council under
the procedure provided for in Article 251 of the Treaty.
(2) It is recalled that, pursuant to Article 167 of the Treaty, the rules for the participation
of undertakings, research centres and universities and for the dissemination of researchresults for the implementation of the framework programme are to be adopted by the
European Parliament and the Council subject to the procedure provided for in Article
251 of the Treaty. These rules will cover, inter alia , minimum number of participants,
the participation of bodies from candidate and third countries, criteria for evaluationand selection of RTD actions, management of RTD actions, liability issues and intellec-tual property rights.
(
3) OJ L 161, 26.6.1999, p. 1.
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RTD activities and Community financial contribution according to type of instrument
Type of instrument RTD activities Community contribution (*) (1)
Networks of excellence — Priority thematic areas
— Policy support and antici-
pating scientific and tech-
nological needsGrant for integration: maximum
of 25 % of the value of the
capacity and resources proposed
for integration by participants as
a fixed amount to support the
joint programme of activities (2)
Integrated projects — Priority thematic areas
— Policy support and antici-
pating scientific and tech-
nological needsGrant to the budget of a
maximum of:
— 50 % for research
— 35 % for demonstration— 100 % for certain other
activities such as training
of researchers and consor-
tium management (
3)(4)
Specific targeted research or
innovation projects— Priority thematic areas
— Policy support and antici-
pating scientific and tech-
nological needs
— Specific international
cooperation activities
— Promoting interaction
between research and
innovation
— Developing harmonious
relations between science
and societyGrant to the budget of a
maximum of 50 % of the
budget (3)(4)
Participation in programmes
undertaken by several Member
States (Article 169)— All activities of the sixth
framework programmeTo be defined in subsequent
decisions taken on the basis of
Article 169
Specific research projects for
SMEs— Specific research activ-
ities for SMEsGrant to the budget of a
maximum of 50 % of the
budget (3)(4)
Actions to promote and develop
human resources and mobility— Promotion of human
resources and mobilityGrant to the budget of a
maximum of 100 % of the
budget (3), if necessary as a
lump sum
Coordination actions — In all the activities of the
sixth framework
programmeGrant to the budget of a
maximum of 100 % of the
budget (3)
Specific support actions — In all the activities of the
sixth framework
programmeGrant to the budget of a
maximum of 100 % of the
budget (3)(6), if necessary as a
lump sum
Integrated infrastructure initia-
tives— Support for research infra-
structuresGrant to the budget: depending
on the type of activity, of a
maximum of 50 % to 100 % of
the budget (3)(4)(5)
Direct actions — Non-nuclear activities of
the Joint Research Centre100 % (7)
(*) In this column budget means a financial plan estimating all the resources and expenditure needed to carry out
the action.
(1) As a general principle, the Community financial contribution cannot cover 100 % of the expenditure of an
indirect action with the exception of proposals covering a purchase price governed by the terms applicable to
public procurement procedures or taking the form of a pre-defined lump sum pre-set by the Commission.
However, the Community financial contribution may bear up to 100 % of the expenditure of an indirect action if
they complement those otherwise borne by the participants. Also, in the specific case of coordination actions, it
covers up to 100 % of the budget necessary for the coordination of activities funded by the participants them-selves.
(
2) This rate varies for different areas.2002D1513 — EN — 30.04.2004 — 001.001 — 33
▼B
(3) Subject to specific conditions specific legal entities, particularly public bodies, will receive funding of up to
100 % of their marginal/additional cost.
(4) The rates of assistance may be differentiated in accordance with the rules of the Community framework for
State aid for research and development depending on whether activities relate to research (maximum 50 %) ordemonstration (maximum 35 %) or to other activities implemented, such as training of researchers (maximum100 %) or the management of the consortium (maximum 100 %).
(
5) The activities of an integrated initiative relating to infrastructure must include one networking activity (coordi-
nation action: maximum 100 % of the budget) and at least one of the following activities: research activities(maximum 50 % of the budget) or specific service activities (specific support action, for example, transnationalaccess to research infrastructures: maximum 100 % of the budget).
(
6) For actions in support of research infrastructure relating to preparatory technical work (including feasibility
studies) and the development of new infrastructure, sixth framework programme participation is restricted to
maximum of 50 % and 10 % of the budget respectively.
(7) In addition, the JRC will be entitled to participate in indirect actions on the same basis as entities established in
Member States.2002D1513 — EN — 30.04.2004 — 001.001 — 34