30.12.2006 EN Official Journal of the European Union L 400/299 
 COUNCIL DECISION 
of 19 December 2006 
on the Specific Programme: "Capacities"  
implementing the Seventh Framework Programme 
of the European Community for research,  
technological development and demons tration activities (2007 to 2013)  
 
(Text with EEA relevance) 
(2006/974/EC) 
THE COUNCIL OF THE EUROPEAN UNION, 
Having regard to the Treaty establishing the Euro pean Community, and in pa rticular Article 166(4) 
thereof, 
Having regard to the proposal from the Commission, Having regard to the opinion of the European Parliament
1, 
Having regard to the opinion of the Eu ropean Economic and Social Committee2, 
                                                 
1 Opinion of 30 November 2006 (not yet published in the Official Journal). 
2 OJ C 185, 8.8.2006, p. 10. 
L 400/300 EN Official Journal of the European Union 30.12.2006 
 Whereas: 
(1) In accordance with Article 166(3) of the Treaty, Decision No 967/2006/EC of the 
European Parliament and of the Council of   20 december 2006 concerning the Seventh 
Framework Programme of the European Community for research, technological 
development and demonstra tion activities (2007-2013) 1 (hereinafter referred to as "the 
Framework Programme") is to be implemente d through Specific Programmes that define 
detailed rules for their implementation, fi x their duration and provide for the means 
deemed necessary. 
(2) The Framework Programme is structured in four types of activities: trans-national 
cooperation on policy-defined themes ("Cooperati on"), investigator-driven research based 
on the initiative of the resear ch community ("Ideas"), s upport of training and career 
development of researchers ("People"), and supp ort of research capacities ("Capacities"). 
Activities under "Capacities" as regards indire ct actions should be implemented by this 
Specific Programme. 
(3) The rules for the participati on of undertakings, research centr es and universities and for the 
dissemination of research results, for the Fram ework Programme (hereinafter referred to as 
"the rules for participation and dissemination") should apply to this Specific Programme. 
                                                 
1 OJ L 391, 30.12.2006. 
30.12.2006 EN Official Journal of the European Union L 400/301 
 (4) The Framework Programme should complement  the activities carried out in the Member 
States as well as other Community actions that  are necessary for the overall strategic effort 
for the implementation of the Lisbon objectives , alongside in particular  those on structural 
funds, agriculture, education, training, cultu re, competitiveness and innovation, industry, 
health, consumer protection, employment,  energy, transport and environment. 
(5) Innovation and SME-related activities suppor ted under this Framework Programme should 
be complementary to those undertaken  under the Framework Programme for 
Competitiveness and Innovation which will contri bute to closing the gap between research 
and innovation, and promote all forms of innovation. 
(6) Implementation of the Framework Progr amme may give rise to supplementary 
programmes involving the pa rticipation of certain Member St ates only, the pa rticipation of 
the Community in programmes undertaken by seve ral Member States, or the setting up of 
joint undertakings or other arrangements w ithin the meaning of Articles 168, 169 and 171 
of the Treaty. 
(7) This Specific Programme should provide a co ntribution to the European Investment Bank 
(EIB) for the constitution of a "Risk-Shari ng Finance Facility" in order to improve access 
to EIB loans. 
L 400/302 EN Official Journal of the European Union 30.12.2006 
 (8) As provided for under Article 170 of the Tr eaty, the Community has concluded a number 
of international agreements in the field of research a nd efforts should be made to 
strengthen international research cooperati on with a view to further integrating the 
Community into the world-wide research comm unity. Therefore, this Specific Programme 
should be open to the participation of countries  having concluded agreements to this effect 
and should be also open on the project level, and on the basis of mutu al benefit, to the 
participation of entities from third countries a nd of international organi sations for scientific 
cooperation. 
(9) Research activities carried out within th is programme should respect fundamental ethical 
principles, including those which are reflected in the Charter of  Fundamental Rights of the 
European Union. 
(10) The implementation of the Framework Pr ogramme should contribute towards promoting 
sustainable development. 
(11) Sound financial management of the Fram ework Programme and its implementation should 
be ensured in the most effective and user-f riendly manner possible, while ensuring legal 
certainty and the accessibility of the programme for all participants, in compliance with 
Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the genera l budget of the European Communities
1 and 
Commission Regulation (E C, Euratom) 2342/20022 laying down detailed rules for the 
implementation of that Financial Regulation and any future amendments. 
                                                 
1 OJ L 248, 16.9.2002, p. 1. 
2 OJ L 357, 31.12.2002, p. 1. Regulation as last amended by Commissi on Regulation (EC, 
Euratom) No 1261/2005 (OJ L 201, 2.8.2005, p. 3). 
30.12.2006 EN Official Journal of the European Union L 400/303 
 (12) Appropriate measures – proportionate to th e European Communities' financial interests - 
should be taken to monitor both the effectiven ess of the financial support granted and the 
effectiveness of the utilisation of these funds  in order to prevent irregularities and fraud 
and the necessary steps should be taken to re cover funds lost, wrongly paid or incorrectly 
used in accordance with Council Regu lation (EC, Euratom) No 2988/95 of 
18 December 1995 on the protection of the Eur opean Communities' financial interests1, 
Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the 
European Communities' financial interest s against fraud and other irregularities
2 and 
Regulation (EC) No 1073/1999 of the European  Parliament and of the Council concerning 
investigations conducted by the Eu ropean Anti-Fraud Office (OLAF)3. 
(13) Since the measures necessary for the im plementation of this D ecision are essentially 
management measures, they should therefor e be adopted by the management procedure 
provided for in Article 4 of Council Deci sion 1999/468/EC of 28 June 1999, laying down 
the procedures for the exercise of impl ementing powers conferred on the Commission4. On 
the other hand research involving the use of  human embryos and human embryonic stem 
cells raises specific ethical issues, as describe d in Article 4 of this Decision. Therefore, 
measures for the financing of such projects should be adopted by th e regulatory procedure 
provided for in Article 5 of Decision 1999/468/EC. 
                                                 
1 OJ L 312, 23.12.1995, p. 1. 
2 OJ L 292, 15.11.1996, p. 2. 
3 OJ L 136, 31.5.1999, p. 1. 
4 OJ L 184, 17.7.1999, p. 23. Decision as amended by Decision 2006/512/EC (OJ L 200, 
22.7.2006, p. 11).  
L 400/304 EN Official Journal of the European Union 30.12.2006 
 (14) The "Capacities" Specific Programme shoul d have its own budget line in the General 
Budget of the European Communities. 
(15) In the implementation of th is programme adequate attention needs to be paid to gender 
mainstreaming, as well as to, inter alia, the working conditions,  transparency of 
recruitment processes, and car eer development as regards the researchers recruited on 
projects and programmes funde d under the actions of this programme, for which the 
Commission Recommendation of  11 March 2005 on the European  Charter for Researchers 
and on a Code of Conduct for the Recruitm ent of Researchers offers a reference 
framework, while respecting its voluntary nature, 
HAS ADOPTED THIS DECISION: 
Article 1 
The Specific Programme "Capacities" for Community  activities in the area of research and 
technological development, including demonstr ation activities, here inafter the "Specific 
Programme" is hereby adopted for the period from 1 January 2007 to 31 December 2013. 
30.12.2006 EN Official Journal of the European Union L 400/305 
 Article 2 
The Specific Programme shall support the activitie s for "Capacities", supporting key aspects of 
European research and innovation capacities as follows: 
(a) research infrastructures; (b) research for the benefit of small and medium sized enterprises (SMEs); 
(c) regions of knowledge; (d) research potential; (e) science in society; (f) support for the  coherent development of research policies;  
(g) activities of inte rnational cooperation. 
Implementation of this Specific Programme may gi ve rise to supplementa ry programmes involving 
the participation of certain Member States only, the participation of the Community in programmes 
undertaken by several Member States, or the setti ng up of joint undertakings or other arrangements 
within the meaning of Article s 168, 169 and 171 of the Treaty. 
The objectives and the broad lines of th ese activities are set out in Annex I. 
L 400/306 EN Official Journal of the European Union 30.12.2006 
 Article 3 
In accordance with Annex II of the Framework Pr ogramme, the amount deemed necessary for the 
execution of the Specific Programme shall be EU R 4 097 million, of which less than 6 % shall be 
for the Commission's administrative expenditure. An  indicative breakdown of this amount is given 
in Annex II. 
Article 4 
1. All research activities carried out under the Specific Programme shall be carried out in 
compliance with fundament al ethical principles. 
2. The following fields of research sha ll not be financed under this programme: 
– research activity aiming at human  cloning for reproductive purposes, 
– research activity intended to modify the genetic heritage of human beings which 
could make such changes heritable1, 
– research activities intended to create human embryos solely for the purpose of 
research or for the purpose of stem cell procurement, including by means of somatic 
cell nuclear transfer. 
                                                 
1 Research relating to cancer treatme nt of the gonads may be financed. 
30.12.2006 EN Official Journal of the European Union L 400/307 
 3. Research on human stem cells, both adult and embryonic, may be financed, depending 
both on the contents of the scientific propos al and the legal framework of the Member 
State(s) involved. 
Any application for financing for research on human embryonic stem cells shall include, as 
appropriate, details of licensing and control meas ures that will be taken by the competent 
authorities of the Member States as well as de tails of the ethical approval(s) that will be 
provided. 
As regards the derivation of human embryonic stem cells, institutions, organisations and 
researchers shall be subject to  strict licensing and control in  accordance with the legal 
framework of the Member State(s) involved. 
4. The fields of research set out above sha ll be reviewed for the second phase of this 
programme (2010-2013) in the light  of scientific advances. 
Article 5 
1. The Specific Programme shall be implemented by means of the funding schemes 
established in Annex III to the Framework Programme.  
2. Annex III to this Specific Programme sets out the arrangements for a grant to the European 
Investment Bank for the establishment of a Risk-Sharing Finance Facility. 
L 400/308 EN Official Journal of the European Union 30.12.2006 
 3. Annex IV to this Specific Programme se ts out a possible initiative for the joint 
implementation of national research programmes that could be the subject of a separate 
decision on the basis of Article 169 of the Treaty. 
4. The rules for participation and disseminati on shall apply to this Specific Programme. 
Article 6 
1. The Commission shall draw up a work Progra mme for the implementation of the Specific 
Programme, setting out in great er detail the objectives and scientific and technological 
priorities set out in Annex I, the funding sche me to be used for the topic which proposals 
are invited, and the timetable for implementation. 
2. The Work Programme shall take account of re levant research activit ies carried out by the 
Member States, associated count ries and European and intern ational organisations, and the 
achievement of European added value as we ll as the impact on industrial competitiveness 
and the relevance for other Community policie s. It shall be updated where appropriate. 
3. Proposals for indirect actions under the fundi ng schemes shall be evaluated and projects 
selected considering the criteria set out in Ar ticle 15(1a) of the rule s for participation and 
dissemination.  
30.12.2006 EN Official Journal of the European Union L 400/309 
 4. The Work Programme may identify: 
(a) organisations that receive subscriptions in the form of a membership fee; (b) support actions for the activiti es of specific legal entities. 
Article 7 
1. The Commission shall be responsible for th e implementation of the Specific Programme. 
2. The management procedure laid down in Arti cle 8(2) shall apply fo r the adoption of the 
following measures: 
(a) the work programme referred to in Artic le 6 including the funding schemes to be 
used, the content of the calls for proposals and the evaluatio n and selection criteria to 
be applied; 
(b) any adjustment to the indicative breakdow n of the amount as set out in Annex II; 
(c) the approval of the funding of activities re ferred to in points (a) to (g) of Article 2, 
where the estimated amount of the Commun ity contribution under this programme is 
equal to, or more th an, EUR 0,6 million; 
(d) the drawing up of the terms of refere nce for the evaluations provided for in 
Articles 7(2) and 7(3) of the Framework Programme. 
L 400/310 EN Official Journal of the European Union 30.12.2006 
 3. The regulatory procedure laid down in Article  8(3) shall apply for the approval of the 
funding of activities involving the use of human embryos an d human embryonic stem cells. 
Article 8 
1. The Commission shall be assisted by a Committee 
2. Where reference is made to this paragra ph, Articles 4 and 7 of Decision 1999/468/EC shall 
apply. 
The period laid down for in Article 4(3) of Decision 1999/468/EC shall be set at two 
months. 
3. Where reference is made to this paragra ph, Articles 5 and 7 of Decision 1999/468/EC shall 
apply. 
The period laid down for in Article 5(6) of Decision 1999/468/EC shall be set at two 
months. 
4. The Commission shall regularly inform th e Committee of the overall progress of the 
implementation of the Specific Programme, a nd shall provide it with timely information on 
all RTD actions proposed or funded under this  programme as specified in Annex V.  
5. The Committee shall adopt its rules of procedure. 
30.12.2006 EN Official Journal of the European Union L 400/311 
 Article 9 
The Commission shall arrange for the independent monitoring, assessment and review provided for 
in Article 7 of the Framework Programme to be conducted concerning the ac tivities carried out in 
the fields covered by the Specific Programme. 
Article 10 
This Decision shall enter into force on the third day following its publication in the Official Journal 
of the European Union. 
This Decision is addressed to the Member States. Done at Brussels, 19 December 2006. 
 For the Council 
 The President 
K. KORKEAOJA 
L 400/312 EN Official Journal of the European Union 30.12.2006 
 ANNEX I  
SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES,  
BROAD LINES OF THE TH EMES AND ACTIVITIES 
INTRODUCTION 
This Specific Programme will enhance research  and innovation capacities throughout Europe and 
ensure their optimal use. This aim will be achieved through: 
– Optimising the use and development of research infrastructures, 
– Strengthening innovative capacities of SMEs a nd their ability to benefit from research, 
– Supporting the development of regi onal research-driven clusters, 
– Unlocking the research potential in the EU's convergence and outermost regions, 
– Bringing science and society closer together for the harmonious integration of science and 
technology in European society,  
– Supporting the coherent developmen t of research policies, and 
– Actions and measures in suppor t of internati onal cooperation. 
30.12.2006 EN Official Journal of the European Union L 400/313 
 The principle of sustainable development and gender equality will be duly taken into account. 
Furthermore, considerations of the ethical, social, legal and wider cultural aspects of the research to 
be undertaken and its potential ap plications, as well as socio-econom ic impacts of scientific and 
technological development and foresight, will where re levant form a part of the activities under this 
Specific Programme. 
Actions for the coordination of non-Community pr ogrammes may be undertaken in this Specific 
Programme making use of the ERA-NET scheme and the participation of the Community in jointly 
implemented national research programmes (Artic le 169 of the Treaty) as described in the 
Cooperation Specific Programme. 
Synergies and complementaritie s will be sought with other co mmunity policies and programmes 
such as Community's regional a nd cohesion policy, the St ructural Funds, the Competitiveness and 
Innovation programme and relevant Education and Training Programmes1. 
                                                 
1 With a view to facilitating the implementa tion of the programme, fo r each meeting of the 
programme committee as defined in the ag enda, the Commission will reimburse, in 
accordance with its established guidelines, the expenses of one representative per Member 
State, as well as one expert/adviser per Me mber State for those agenda items where a 
Member State requires specific expertise. 
L 400/314 EN Official Journal of the European Union 30.12.2006 
 Ethical aspects 
During the implementation of this Specific Programme and in the research activities arising from it, 
fundamental ethical principles are to be respected. These include, in ter alia, the principles reflected 
in the Charter of fundamental Rights of the EU , including the following:  protection of human 
dignity and human life, protecti on of personal data and privacy, as well as animals and the 
environment in accordance with Community law and th e latest versions of relevant international 
conventions, guidelines and codes of conduct, e.g. the Helsinki Declaration,  the Convention of the 
Council of Europe on Human Rights and Bio-medi cine signed in Oviedo on 4 April 1997 and its 
Additional Protocols, the UN Conve ntion on the Rights of the Child, the Universal Declaration on 
the human genome and human rights adopted by UNESCO, UN Biological and Toxin Weapons 
Convention (BTWC), Internationa l Treaty on Plant Genetic Resour ces for Food and Agriculture, 
and the relevant World Health Organisation (WHO) resolutions. 
Account will also be taken of the Opinions of  the European Group of Advisers on the Ethical 
Implications of Bio-technology ( 1991-1997) and the Opinions of th e European Group on Ethics in 
Science and New Technologies (as from 1998). 
In compliance with the principle of  subsidiarity and the diversity of  approaches existing in Europe, 
participants in research projects must conform to current legisl ation, regulations and ethical rules in 
the countries where the research will be carried  out. In any case, nationa l provisions apply and no 
research forbidden in any given Member State or other country will be supported by Community 
funding to be carried out in th at Member State or country. 
30.12.2006 EN Official Journal of the European Union L 400/315 
 Where appropriate, those carrying out research proj ects must seek the approval of the relevant 
national or local ethics committees prior to the star t of the RTD activities. An ethical review will 
also be implemented systematically by the Co mmission for proposals dealing with ethically 
sensitive issues or where ethical aspects have not been adequately addressed. In specific cases an 
ethical review may take place during  the implementation of a project. 
No funding will be granted for research activities that are prohibited in all the Member States. 
The Protocol on protection and welfare of animals annexed to the Treaty re quires the Community to 
pay full regard to the welfare re quirements of animals in formulating and implementing Community 
policies including research. Council Directive 86/609/EEC of 24 November 1986 on the 
approximation of laws, regulations and administra tive provisions of the Member States regarding 
the protection of animals used for expe rimental and other scientific purposes1 requires that all 
experiments be designed to avoid distress and unnecessary pain a nd suffering to the experimental 
animals; use the minimum number of animals; involve animals with the lowest degree of 
neurophysiological sensitivity; and cause the least pain, suffering, dist ress or lasting harm. Altering 
the genetic heritage of animals and cloning of animals may be c onsidered only if the aims are 
ethically justified and the conditi ons are such that the animals' welfare is guaranteed and the 
principles of bio-diversity are respected. 
                                                 
1 OJ L 358, 18.12.1986, p. 1. Directive as amended by Directive 2003/65/EC of the European 
Parliament and of the Council (OJ L 230, 16.9.2003, p. 32). 
L 400/316 EN Official Journal of the European Union 30.12.2006 
 During the implementation of this programme, scie ntific advances and na tional and international 
provisions will be regularly monitored by the Commission so as to take account of any 
developments. 
Research on ethics related to scientific and technological developments will be carried out in the 
"Science in Society" pa rt in this programme. 
1. RESEARCH INFRASTRUCTURES 
Objective 
Optimising the use and development of the best re search infrastructures existing in Europe, and 
helping to create in all fields  of science and technology new research infrastructures of 
pan-European interest needed by the European scie ntific community to remain at the forefront of 
the advancement of research, and able to help in dustry to strengthen its ba se of knowledge and its 
technological know how. 
30.12.2006 EN Official Journal of the European Union L 400/317 
 Approach 
For Europe to become the most competitive a nd dynamic knowledge based economy in the world, 
modern and effective research infrastructures are critical in achiev ing science and technology 
leadership. Research infrastructu res play a key role in the cr eation of knowledge and technology 
and in their diffusion, application and exploitation, thus fostering innovation and contributing to the 
development of the European Research Area. Access to them is more and mo re indispensable in all 
fields of science and technology and for evidence-based policy-making. Many Research 
Infrastructures have evolved from large faciliti es dedicated almost excl usively to a specific 
discipline, into service facilities for a broa d variety of scientific  communities. Enabled by 
information and communication technol ogy, recent concepts of infrastr ucture are also expanding to 
include distributed systems of hardware, software and contents with an en ormous cumulative value 
as repositories of knowledge in  many diverse disciplines.  
The proposed action will in partic ular contribute to the developmen t, exploitation and preservation 
of knowledge, through its support to research infrastructures based both on a bottom-up, 
excellence-driven approach and a targeted appr oach. The strategic upgrade of information and 
communication based e-Infrastructures and virtual in frastructures is also seen as a driver in 
changing the way science is conducted. Member Stat es will remain central in the development and 
financing of infrastructures.  
L 400/318 EN Official Journal of the European Union 30.12.2006 
 The term "Research infrastructures" in the cont ext of the Community Framework Programme for 
Research and Technological Development refers to f acilities, resources or se rvices that are needed 
by the research community to conduc t research in all sc ientific and technological fields. This 
definition covers, including the associated human resources: 
– major equipment or set of instruments used for research purposes, 
– knowledge-based resources such as collections, archives, structured information or systems 
related to data management, us ed in scientific research, 
– enabling Information and Communication Technol ogy-based infrastructures such as Grid, 
computing, software and communications, 
– any other entity of a unique nature that is used for scientific research. 
Only research infrastructures or networks of rese arch infrastructures with clear interest for the 
European scientific community (academic, public and industrial) , in terms of performance and 
access, can be considered for support. They must  contribute significantly to the development of 
European research capacities. 
Regarding thematic research infrastructures in the "Cooperation" Specific Programme, overall 
coordination will be ensured by this programme. 
30.12.2006 EN Official Journal of the European Union L 400/319 
 Activities 
The activities will cover the following lines of action: 
– optimising the utilisation of existing rese arch infrastructures and improving their 
performance, 
– foster the development of new research infras tructures (or major upgrades to existing ones) 
of pan-European interest, building primarily  on the work of ESFRI (European Strategy 
Forum on Research Infrastructures), 
– support measures including support to emerging needs. 
1.1. Existing research infrastructures 
The research infrastructure actions will aim at strengthening European capacities and performance 
of specific research infrastructures, and increasi ng user communities' involvement in opportunities 
offered by research infrastructures and their commit ment towards investment in top-level research. 
The activities will consist of the support to an optim isation of the European Research Infrastructures 
through "Integration" of capacities a nd efforts, leading to the most  effective use of facilities, 
resources and services in all fields of scienc e and technology and fostering "Transnational Access" 
to existing infrastructures. 
L 400/320 EN Official Journal of the European Union 30.12.2006 
 1.1.1. Integrating Activities 
World-class research infrastructur es need huge and long-term invest ments in resources (human and 
financial). They should be used a nd exploited by an as large as po ssible community of  scientist and 
customer industries on a European scale. In a ddition, the optimisation and reinforcement of the 
Research Infrastructures capacitie s and performance at Community level need to be continuously 
promoted and improved to respond to emerging and gr owing scientific needs.  This can be better 
achieved through the stimulation of their use and de velopment, including upgrades, in a coordinated 
way. 
The Community should contribute to  this objective through the promo tion of Integrating Activities. 
They will ensure that European researchers, including researchers from industry, including SMEs and peripheral and outermost regions, may have access to the best research infrastructures to 
conduct their research, by supporting the integrated provision of infr astructure related services to 
the research community at Europ ean level and at international le vel where appropriate. Integrating 
activities should also aim at struct uring better, on a European scale,  the way research infrastructures 
operate, and at fostering their joint developm ent in terms of capacity and performance. 
30.12.2006 EN Official Journal of the European Union L 400/321 
 Integrating Activities for existing research in frastructures will be implemented through: 
– "bottom-up" calls to catalyse the mutual coordination and the poo ling of resources among 
infrastructures operators with the aim of fo stering a culture of c ooperation between them. 
Such activities should also aim at structuring better, on a European scale, the way research 
infrastructures operate and the way they can be accessed by potential users, at fostering 
their joint development in terms of capaci ty and performance and at promoting their 
coherent and cross-disciplinary use, 
– "targeted calls" when such focused actions will be clearly beneficial to support potentially 
important research infrastruc tures in the long term, and speeding up their emergence at 
Community level. They will be implemented in  close cooperation with  the activities taking 
place in the thematic areas to en sure that all the actions underta ken at European level in the 
Community framework respond to the needs for re search infrastructures in their respective 
area. Domains can already be identified1 for better use and strengthening of existing 
European infrastructures, fulfilling long-term  strategic needs of academic, public and 
industrial research stakeholders and the society at large, such  as for life sciences and its 
applications, information and communication t echnologies, the developm ent of industrial 
research including metrology, support for sustaina ble development and in particular in the 
area of environment, and for social sciences and humanities. 
                                                 
1 Also identified by ESFRI. 
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 1.1.2. ICT based e-Infrastructures 
The deployment of e-Infrastructures provides essential services for the research communities, based 
upon complex processes designed to bring the power of distributed ICT based resources 
(computing, connectivity, instrumentation) to virtual communities. Th e reinforcement of a 
European approach and of related European acti vities in this domain can make a significant 
contribution to boosting European research po tential and its exploi tation, consolidating 
e-Infrastructures as a cornerstone of the European Research Area, a "forerunner" of cross discipline 
innovation and a driver in changing the way science is  conducted. It may also contribute to integrate 
research teams from periphe ral and outermost regions. 
The activities proposed for e-Infrastructure, base d on targeted calls for proposals, will aim at 
fostering the further development and evol ution of high-capacity and high-performance 
communication (GÉANT) and grid empowered infras tructures as well as of European high-end 
computing capabilities stressing the need to support the reinforcem ent of world class distributed 
supercomputing facilities, data storage and advanced visualisation facilities. The activities will also 
aim at fostering the adoption by user commun ities where appropriate, enhancing their global 
relevance and increasing the level of trust and confidence, building on the achievements of GÉANT 
and Grid infrastructures and based on  open standards for interoperability. 
30.12.2006 EN Official Journal of the European Union L 400/323 
 It will be necessary to support in  a coordinated way digi tal libraries, archives, data storage, data 
curation and the necessary pooling of resources, at Eu ropean level, to organi se the data repositories 
for the scientific community and future generations of scientists. The aspect s of enhanced trust and 
confidence of the data layer of the e-Infrastructures will be a ddressed. The activities proposed will 
also aim at anticipating and integrating new require ments and solutions to facilitate the emergence 
of large-scale test-beds designed to experiment with new disruptiv e technologies and to address 
new user requirements, including e-learning. The eIRG (e-Infrastructure Reflection Group) will 
assist on a regular basis with  strategic recommendations. 
1.2. New research infrastructures 
This Specific Programme will help to promote the creation of new research infrastructures 
(including major upgrades of existing ones) focu sing mainly on preparatory phases and on "unique" 
infrastructures with a crucial and pan-European impact for the development of relevant scientific 
fields in Europe. 
1.2.1. Design Studies for new research infrastructures 
To promote the creation of new re search infrastructures, though a bottom-up approach of calls for 
proposals, by funding exploratory awards and fe asibility studies for new infrastructures. 
L 400/324 EN Official Journal of the European Union 30.12.2006 
 1.2.2. Support to construction of New Infrastructures 
To promote the creation of new research infras tructures in accordance with the principle of 
"variable geometry", building primarily upon the work conducted by ESFRI on the development of 
a European roadmap for new research infrastructu res. The Work Programme will identify priority 
projects for possible Community support. 
The activity related to the construction of new in frastructures will be implemented in a two-stage 
approach on the basis of a list of criter ia established in the Framework Programme. 
• Stage 1: Supporting the preparatory phase 
This first stage will involve calls  restricted to the priority projects identified by the Work 
Programme. The preparatory phase would involve the preparation of the detail ed construction plans, 
of the legal organisation, of the management and multi-annual planning of the forecasted research infrastructure and the final agreement between stakeholders. During this preparatory phase the 
Commission will act as a "facilitator", in particular , in facilitating financial engineering mechanisms 
for the construction phase. 
30.12.2006 EN Official Journal of the European Union L 400/325 
 Stage 2: Supporting th e construction phase 
In the second stage, building on the achieved technical, legal, administrative and financial 
agreements, using notably the complementarity be tween national and Community instruments (such 
as the Structural funds or the European I nvestment bank) and taki ng into account, where 
appropriate, the potential for scie ntific excellence of the conve rgence regions as well as the 
outermost regions, the constructi on plans would be implemented w ith the possible involvement of 
private financial institutions. The Framework Pr ogramme financial support for the construction 
phase may be provided to those priority projects fo r which there is a critical need for such support. 
In these cases, decisions will be taken through a mechanism that wi ll depend on the nature and the 
level of funding required (e.g. dir ect grant; European Investment Bank loans, the access to which 
may be facilitated through the Risk-Sharing Fina nce Facility (Annex III); Ar ticle 171 of the Treaty). 
1.3. Support Measures, including support to emerging needs 
Strong coordination within the EU in formulatin g and adopting a European policy on Research 
Infrastructures is key to the success of this activity. Throughout the whol e programme there will 
therefore be measures to support such coordi nation, including supporti ng the development of 
international cooperation. 
L 400/326 EN Official Journal of the European Union 30.12.2006 
 These activities would be carried out mainly following periodic ca lls for proposals. They would be 
aimed at stimulating, in particular, the coor dination of national programmes through ERA-NET 
actions, at supporting analysis of emerging needs, at supporting the wo rk of ESFRI and eIRG, at the 
effective implementation of the programme (e.g. supporting conferen ces, expert contracts, impact 
studies, etc.) as well as the inte rnational dimension of the activit ies carried out under this Specific 
Programme. In the context of inte rnational cooperation, th e activities carried out  under this specific 
part of the capacity programme will also allow to identify the needs of specific third countries and 
mutual interests on which specific cooperation actions  could be based and, on the basis of targeted 
calls, to develop cross-links between key research in frastructures in third c ountries and those within 
the European Research Area. 
2. RESEARCH FOR THE BENEFIT OF SMEs 
Objectives 
Strengthening the innovation capacity of European SMEs and their contribution to the development 
of new technology based products and markets by he lping them outsource res earch, increase their 
research efforts, extend their ne tworks, better explo it research results and acquire technological 
know how bridging the gap betw een research and innovation. 
30.12.2006 EN Official Journal of the European Union L 400/327 
 Approach 
SMEs are at the core of European industry. Th ey should be a key component of the innovation 
system and in the chain of transformation of kno wledge into new products, processes and services. 
Faced with an increasing competiti on in the internal market and globally, European SMEs need to 
increase their knowledge and rese arch intensity, enhance the e xploitation of research, expand 
geographically their bu siness activities and in ternationalise their know ledge networks. Most 
Member States' actions relevant to SMEs do not  encourage and support tr ans-national research 
cooperation and technology transfer. Actions at EU level are necessary to complement and enhance 
the impact of actions undertaken  at national and regional level. 
Specific actions will be implemented to support SMEs  or SME associations in need of outsourcing 
research: mainly low-to medium-technology SMEs  with little or no research capability. 
Research-intensive SMEs may partic ipate as providers of research se rvices or outsource research to 
complement their core research cap ability. These actions will be carried out in the entire field of 
science and technology with a bottom-up approach. Actions will include support of demonstration 
and other activities to facilitate the exploitation of research results, ensuring complementarity with 
the Competitiveness and Innovation Programme. The ev aluation of the project proposals will take 
due account of the expected economic impact fo r the SMEs. Financial means will be allocated 
through two schemes: Research for SMEs  and Research for SME associations. 
L 400/328 EN Official Journal of the European Union 30.12.2006 
 The first targets mainly low- to medium-technology SM Es with little or no research capability, but 
also research intensive SMEs w ho need to outsource research to complement their core research 
capability. The second targets SME a ssociations which are normally be st placed to know or identify 
the common technical problems of their members,  to act on their behalf, and to promote the 
effective dissemination and take-up of the results. 
Coordination and support actions under "Researc h for the benefit of SMEs" will include the 
coordination of national/regional programmes targeting SMEs and supporting best practice, 
dissemination and exploitation of results, enhancing access of SMEs to the Seventh Framework Programme and assessing the impact. 
Actions could also build upon rele vant national research programm es, complementing the research 
activities below
1. 
In addition to these specific actions, the partic ipation of SMEs across the Framework Programme 
will be encouraged and facilitated. The research needs and potential of SMEs are duly taken into 
account in developing  the content of the thematic areas of  the "cooperation" programme, which will 
be implemented through projects of different sizes and scope depending on the field and topic. 
During the implementation of the Community RT D Framework Programme, complementarity and 
synergy will be ensured with the actions of  the Competitiveness and Innovation Framework 
Programme to encourage and facilitate the pa rticipation of SMEs in the Community RTD 
Framework Programme.  
                                                 
1 This could include possible joint implem entation of programmes targeting research 
performing SMEs, building on Eureka. 
30.12.2006 EN Official Journal of the European Union L 400/329 
 Activities 
The following two SME specific schemes will be implemented: 
• Research for SMEs 
This scheme supports small groups of innovati ve SMEs to solve common or complementary 
technological problems. Projects, which are relatively short term, mu st be centred on the innovation 
needs of the SMEs which outsource research to RTD performers and must demonstrate a clear 
exploitation potential fo r the SMEs concerned. 
• Research for SME associations 
This scheme supports SME associations to deve lop technical solutions to problems common to a 
large number of SMEs in specific industrial sectors or segments of  the value chain through research 
needed, for example, to develop or conform to  European norms and standards, and to meet 
regulatory requirements in areas such as health, safety and e nvironmental protection. Projects, 
which can have a duration of several years, mu st be driven by the SME associations which 
outsource research to RTD performers for the bene fit of their members and must involve a number 
of individual SMEs. 
• Common features of the schemes 
– Other enterprises and end-users can participate in  the schemes if it is in the interest of the 
SMEs or the SME associations. 
L 400/330 EN Official Journal of the European Union 30.12.2006 
 – The projects should include, in addition to re search, activities to promote the take-up and 
effective exploitation of the re search results, such as, te sting, demonstration, training, 
technology transfer, knowledge management and IPR protection. For Research for SME 
associations, projects should al so include activities to dissem inate effectively the research 
results to the members of the SME associ ations, and if appropriate, more widely. 
– Special rules will apply for ownership and access rights for the two schemes. 
The clear focus will be to support research projects . In addition, support will be granted to national 
schemes providing financial means to SMEs or SM E associations to prep are proposals for actions 
under "Research for the benefit of SMEs" with th e aim of encouraging th e establishment of new 
national schemes or expans ion of the existing ones. 
3. REGIONS OF KNOWLEDGE 
Objectives 
Strengthening the research potential of Europ ean regions, in particul ar by encouraging and 
supporting the development, across Europe, of re gional "research-driven clusters" associating 
universities, research centres, en terprises and regional authorities. 
30.12.2006 EN Official Journal of the European Union L 400/331 
 Approach 
Regions are increasingly recognise d as important players in the EU's research and development 
landscape. At the same time evidence indicates  that investment in  R&D improves regional 
attractiveness while increasing competitiveness of  local businesses. R&D intensive clusters rang 
among the best drivers of such investment activit y resulting in direct gains in local competitive 
advantage with beneficial effects in terms of growth and jobs. The 2003 Pilot Action Regions of 
Knowledge1 confirmed the importance of such clusters  and the interest to support and encourage 
their development. 
This action will enable European regions to stre ngthen their capacity for investing in RTD, while 
maximising their potential for a succ essful involvement of their stak eholders in European research 
projects and facilitating the emergence of clus ters, thereby promoting regional development in 
Europe. Actions will facilitate the creation of regi onal clusters which contribute to the development 
of the European Research Area. Increased and more focused use of Structural Funds for R&D 
investment and activities will be also pursu ed by improving synergies between Regional and 
Research Policies primarily by produ cing regional research strategies  which regional authorities can 
integrate into their econo mic development strategy. 
Attention will be paid specifica lly to cooperation between adjacen t regions in different Member 
States. 
                                                 
1 A pilot action on "Regions of Knowledge" was introduced into the 2003 Community budget 
at the initiative of the European Parliament . This was followed by another Call for proposals 
under the 6th Community FP for RTD (2004) under the "Coherent develo pment of policies" 
programme. 
L 400/332 EN Official Journal of the European Union 30.12.2006 
 "Regions of Knowledge" aims at supporting the de finition and implementation of optimal policies 
and strategies for the development of R&D driven  clusters. In particular it will improve the 
relevance and effectiveness of regional research agendas thro ugh mutual learning; promote and 
strengthen cooperation between clusters; and contribute to strengthe ning the sustainable 
development of existing R&D driven  clusters as well as foster seed-beds to create new ones, in 
particular in emerging Regions of Knowledge. Support will be provide d in particular for 
demand-driven and problem-oriented projects addr essing specific technological areas or sectors1. 
This action will apply to all regions, including Convergence2 ones. 
Activities 
Projects would normally involve re gional authorities, regional deve lopment agencies, universities, 
research centres, and industry as well as where appropriate technol ogy transfer, financial or civil 
society organisations. Regions of Knowledge projects will cover the following activities: 
                                                 
1 This does not exclude the combination of di fferent technological areas where relevant.  
2 Convergence regions are those set out in Article 5 of Council Regulation (EC) 
No 1083/2006 of 11 July 2006 laying down general provisions on the European Regional Development Fund, the European Social  Fund and the Cohesion Fund – (OJ L 239, 
1.9.2006, p. 248). This includes "convergence" obj ective regions, regions eligible for 
funding from the Cohesion fund, and outermost regions. 
30.12.2006 EN Official Journal of the European Union L 400/333 
 • Analysis, development and implem entation of research agendas  of regional or cross-border 
clusters and cooperation between th em. These will include analysis as well as an implementation 
plan focusing on R&D capacity and prioriti es. Projects will use foresight, benchmarking  or other 
methods, demonstrating expected benefits, such as strengthened links between clusters involved, 
optimised involvement in European resear ch projects and higher impacts on regional 
development. They could also prepare for inte rregional pilot actions. These activities aim in 
particular at encouraging im proved complementarity between Community regional funds and 
other Community and national funds. 
• "Mentoring"  of regions with a less de veloped research profile by highly developed ones based 
on R&D focused cluster building. Transnational re gional consortia will mobilise and associate 
research actors in academia, industry and governme nt to deliver "guidance" solutions with and 
for technologically le ss developed regions.  
• Initiatives to improve integration of research actors and institutions in regional economies, 
through their interactions at cluster level. Thes e will include transnationa l activities to improve 
links between research stakeholders and the local business communities as well as relevant activities between clusters. With the aim of demonstrating benefits  of integration, these activities 
could contribute to the identification of RTD complementarities.  
L 400/334 EN Official Journal of the European Union 30.12.2006 
 Support will also be provided for activities to prom ote systematic mutual information exchange as 
well as interactions between similar projects and wh ere appropriate, with actions of other relevant 
Community programmes (e.g. analysis and synt hesis workshops, round-tables, publications),  
emphasising the involvement notably of candidate and Associated Countries as well as Member 
States which joined the EU after 1 May 2004. 
4. RESEARCH POTENTIAL 
Objective 
Stimulating the realisation of the full research potential of the enlarged Union by unlocking and 
developing existing or emerging exce llence in the EU´s convergence regions and outermost regions, 
and helping to strengthen the capacities of their re searchers to successfully participate in research 
activities at Community level. 
30.12.2006 EN Official Journal of the European Union L 400/335 
 Approach 
In order to support the re alisation of the full research potentia l of the enlarged Union, a dedicated 
action will seek to unlock the poten tial of research groups, in part icular in the convergence regions 
and outermost regions of the European Union, that are currently not using th eir possibilities to the 
full or that are in need of new knowledge and support to  exploit their potential. The actions will 
very much build on past and existing measures such  as the European Centres of Excellence in the 
then Acceding and Candidate Countries in the 5th FP and Marie Curie Host fellowships for 
Transfer of Knowledge. They will also complement efforts to be undertaken by the European Social 
Fund under the new Cohesion Policy (2007-2013) fo cusing on developing human potential for 
research at national level in the eligible areas.  
By focusing on the strengthening and expansion of the collaborations of such  research groups with 
research centres in other EU Memb er States or associated countrie s, an important contribution will 
be made to unlocking their potent ial and with that to their long-term sustained development. 
Through optimising their internati onal exposure and recognition, leader ship potential and quality of 
their scientists, the visibility of these research gro ups will be increased and their participation in the 
European Research Area facilitated. 
L 400/336 EN Official Journal of the European Union 30.12.2006 
 Activities 
The action will favour in particul ar strategic partnerships, incl uding twinning, between research 
groups both from public and private sector, in the convergence regions or outermost regions of the 
EU, selected on the basis of quality and high pot ential, with well established research groups 
elsewhere in Europe. Particular emphasis will be  put on the expected long er-term effects of the 
partnership both at EU and regiona l level. With a view to realis ing their full potential (i.e. to 
strengthen their knowledge, to develop additional competence including in research management, 
or to gain visibility),  the action will comprise support to the selected research groups in the 
qualifying regions in the frame of the research  programmes developed within the strategic 
partnerships for: 
• exchange know-how and experience through tran s-national two-way secondments of research 
staff between the selected centres in the qualifyin g regions and one or more partner organisations 
in another EU Member State or associated count ry, with in-built obligatory return mechanisms 
for seconded staff originating from the se lected centres in the qualifying regions; 
• the recruitment by th e selected centres , of existing or emerging excellence, of incoming 
experienced researchers, includi ng managers, for involvement in tr ansfer of knowledge and/or in 
the training of researchers, including as a means to  particularly encourage the return of nationals 
having left the country; 
30.12.2006 EN Official Journal of the European Union L 400/337 
 • the acquisition and development of certain research equipment and the development of a material 
environment for the selected centres of exis ting or emerging excellence in support of the 
research programmes developed wi thin the strategic partnership; 
• the organisation of workshops and conferences to  facilitate knowledge transfer at regional, 
national and international level involving both the selected centres' own research staff and 
invited researchers, from other c ountries in the frame of the development of the selected centres' 
international training capacity and reputation; participat ion of the research staff of the centres 
selected under the scheme at international c onferences or short term training events, for 
knowledge sharing, network building and to expose  them to a more inte rnational environment; 
• dissemination and promotional activiti es to ensure increased visibil ity of the selected centres and 
their activities. 
In addition, and independently of this support meas ures, the action will provi de evaluation facilities 
through which any research centre in the qualify ing regions, whether or not applying for funding, 
can obtain an international independent expert ev aluation of the level of their overall research 
quality and infrastructures. This evaluation w ould be carried out by high-level, independent 
international experts nominated by the Commission. 
L 400/338 EN Official Journal of the European Union 30.12.2006 
 5. SCIENCE IN SOCIETY 
Objective 
With a view to building an open, effective and democratic European Knowledge society, the aim is 
to stimulate the harmonious integration of scient ific and technological endeavour and associated 
research policies in the Europ ean social web, by encouraging at  European scale reflection and 
debate on science and technology, a nd their relation with the whole spectrum of society and culture. 
Approach 
"Science in society" represents a significant expansion and extension of the pilot work undertaken 
in the Sixth Framework Programme, commensurate with the raised ambition of the European 
research policy. 
The development of European societies largely de pends on their capacity to create, exploit and 
disseminate knowledge and, from there,  continuously to innovate. Scient ific research, as part of the 
"knowledge triangle" of research, education and innovation, plays a ma jor role in this regard, and 
should remain one of the driving forces in promo ting growth, welfare and su stainable development. 
30.12.2006 EN Official Journal of the European Union L 400/339 
 To achieve this aim, it is imperative that a soci al and cultural environment conducive to successful 
and exploitable research be crea ted. This means that legitimate societal concerns and needs are 
taken on board, entailing an enhan ced democratic debate with a more engaged and informed public, 
and better conditions for collective choices on scientific issues, and the possibility for civil society 
organisations to outsource research  in relation to their concerns. It  should also establish a climate 
favourable to scientific vocations, a new surge of research investments and the subsequent 
dissemination of knowledge upon which the Lisbon strategy is built. This activity will also  aim at 
the full integration of women into the scientific world.  
This section of the Capacities programme will then focus on the de velopment of a set of conditions 
by which such a conducive environment becomes the norm rather than the exception in Europe. 
The risk of a scientific divide within our societies needs to be addressed in the first place. It 
separates those who do not have access to releva nt knowledge from the few who do; those who are 
not able to influence policy-making in research from those who are. This  leads to the ambiguous 
feelings expressed by citizens regarding the pote ntial benefits from science and technology, and 
their effective subordination to publ ic scrutiny. On the one hand, they readily invite more research 
to address the outstanding problems of the present time (diseases, pollution, epidemics, 
unemployment, etc) and to better anticipate their possible impacts in the fu ture. On the other hand, 
they cannot help showing distrust for certain uses of science and possible interfer ences of vested 
interests in decisi on-making processes. 
L 400/340 EN Official Journal of the European Union 30.12.2006 
 Among the causes for an often less than satisfactor y integration of scienc e in society are the 
following: 
• insufficient public participation in priority-setti ng and in establishing sc ience policy directions, 
which would allow a wider debate on possi ble associated risks and consequences; 
• growing reservations with regard to certain sc ientific developments, the feeling of lack of 
control, and open questions concerning  the respect of f undamental values; 
• the perceived isolation of the world of science from the everyday realities of economic and social 
life; 
• questioning the objectivity of scientific evid ence made available to public policy-making; 
• insufficient quality of scientific in formation available to the public. 
The chosen approach aims to: 
– render more inclusive and transparent the mechanisms for access to, and validation of the 
expertise necessary to unde rpin more robust policies, 
– set landmarks for an ethically sound research en deavour in the light of  fundamental rights, 
– allow Europe to play a more active role on the world stage, in the debate and promotion of 
shared values, equal opport unities and societal dialogue, 
30.12.2006 EN Official Journal of the European Union L 400/341 
 – bridge the gap between those who have a scientific education and those who do not, 
promote a taste for scientific culture in th e direct neighbourhood of all citizens (calling 
upon cities, regions, foundations, scien ce centres, museums,  civil society 
organisations, etc.), 
– encourage a societal dialogue on research polic y, and stimulate civil society organisations 
to become more involved in research activities, 
– explore ways to improve governance of the European research and innovation system, 
– provide an image of science and researchers wh ich is meaningful to all, especially to 
young people, 
– promote the progress of women in scientific careers and better use their professional and 
scientific talents for the benefit of all, 
– renew science communication, favouring modern  means to achieve higher impact, helping 
scientists to work closely with media professionals. 
"Science in Society" will  be implemented through: 
• policy-related actions and research s upported directly from this theme; 
L 400/342 EN Official Journal of the European Union 30.12.2006 
 • cooperation between Member States, identify ing common goals, and reinforcing national 
practices, in the spirit of th e open method of coordination; 
• promoting, supporting and monitoring the uptake and impact of "Science in Society" issues in 
other parts of the Framework Programme1. The overall coordination of issues related to Science 
in Society both across the Framework Progra mme and within other relevant Community 
activities (e.g. relating to education and culture) will be ensured by this theme. 
Three action lines will be pursued. First action line: A more dynamic governance of the sc ience and society relationship 
• Strengthening and improving th e European science system 
There is such an expectation placed upon the Eur opean science system to sustain our innovation 
potential that society must gain  a deeper insight into its c onstituents, its own economy, its 
regulations and its habits. Three aspects of broad significance, fo cusing on the actors and dynamics 
of the European Research Area, will be tackled: 
– improving the use, and monitoring the impact , of scientific advi ce and expertise for 
policy-making in Europe (including risk mana gement), and developi ng practical tools and 
schemes (e.g. electronic networks), 
– promoting trust and self-regulati on in the scientific community, 
                                                
 
1 Include the running of the ethical review pr ocedures for proposal s addressing sensitive 
issues under the 'Cooperation' specific programme. 
30.12.2006 EN Official Journal of the European Union L 400/343 
 – encouraging the debate on information dissemi nation, including access to scientific results 
and the future of scientific publications, ta king also into account measures to improve 
access by the public. 
• Broader engagement to anticipate and clarif y political, societal and ethical issues 
Society's aspirations and concerns, and fundamental ethical principles, need to be  better integrated 
throughout the research process,  creating a more secure and constructive environment for 
researchers and for society as a whole. Th ree aspects come into play, as follows: 
– broader engagement on sc ience-related questions, 
– conditions for an informed debate on ethics and science, 
– greater emphasis on discussion within the res earch community of the social aspects of 
research. 
• Better understanding of the place of sc ience and technology (S&T) in society 
In order to address the rela tionship between science and so ciety through sound policies, the 
knowledge accumulated in the history, S&T heritage , sociology and philosophy of sciences needs to 
be expanded, consolidated and spread at Eur opean level. To this end, scholars from these 
disciplines should form networks to structure research and debate s capable of revealing the real 
participation of science in building a European  society and identity, stressing in particular: 
– relationships between science, democracy and law, 
L 400/344 EN Official Journal of the European Union 30.12.2006 
 – research on ethics in science and technology, 
– the reciprocal influence of science and culture, 
– the role and the image of scientists, 
– public understanding of science a nd promotion of public debate. 
• The evolving role of universities 
Work will aim at supporting the appropriate reforms en abling universities to fully play their role in 
the creation, dissemination and shar ing of knowledge, together  with industry and society at large (in 
line with Community initiatives on university-b ased research). The emphasis will be on: 
– defining better framework conditions for more efficient university research,  
– promoting the establishment of structured pa rtnerships with the bus iness sector, having 
regard to universities' res earch management capacities, 
– reinforcing knowledge-shari ng between universities a nd society at large. 
30.12.2006 EN Official Journal of the European Union L 400/345 
 Second action line:  Strengthening potential, broadening horizons 
• Gender and research 
Based on policy orientations contained in the Commission staff working paper and Council 
conclusions1 and other relevant Community policy orie ntations, a framework for positive actions 
will be implemented to reinforce the role of women in scientific research, and to enhance the gender 
dimension of research. This framework will provide the context for policy debate, monitoring, coordination and underpinning re search. It will comprise: 
– strengthening the role of women in scientific  research and in scie ntific decision-making 
bodies, 
– gender dimension of research, 
– mainstreaming gender in Community research policy and programmes. 
                                                
 
1 "Women and science: excellence and innova tion – gender equali ty in science" – 
SEC(2005) 370; Council conclusions of 18 April 2005. 
L 400/346 EN Official Journal of the European Union 30.12.2006 
 • Young people and science 
Activities will be designed to attract more people fr om all backgrounds into scientific careers, foster 
links across generations, and raise th e level of scientific literacy generally. European exchanges and 
cooperation will concentrate on science teaching me thods adapted to young audiences, support for 
science teachers (concepts, materials), developi ng the linkages between schools and professional 
life. In addition, events with a broad European  scope may be supported which bring together 
distinguished scientists – as "role models" – and aspiring yo ung scientists. Unde rpinning research 
will be addressed, taking into account social contexts and cultural values. Three aspects have been retained: 
– supporting formal and informal science educ ation in schools as well as through science 
centres and museums and other relevant means, 
– reinforcing links between scienc e education and science careers, 
– research and coordination actions on new methods in science education. 
30.12.2006 EN Official Journal of the European Union L 400/347 
 Third action line: Science and society communicate  
Activities will promote effective two-way communication channels that enable the public and 
policy-makers to engage with scie nce, and scientists to engage with the public. The approach will 
favour closer cooperation and exchange of best pract ice between scientists and media professionals, 
but also a greater involvement of target groups, namely childre n and young people, researchers 
going to the public, and the specialised  press. The effort will focus on: 
– the provision of reliable and timely scientific  information for the press and other media, 
– training actions to bridge the gap between  the media and the scientific community, 
– encouraging a European dimension at science events targeting the public, 
– promoting science by audio-visual means via European co-productions  and the circulation 
of science programmes, 
– promoting excellent trans-national research  and science communication by the means of 
popular prizes, 
– research aimed at enhancing inter-communicatio n concerning science, both in its methods 
and its products, to raise mutu al understanding between the sc ientific world, and the wider 
audience of policy-makers, the media and the general public. 
L 400/348 EN Official Journal of the European Union 30.12.2006 
 6. SUPPORT FOR THE COHERENT DEVE LOPMENT OF RESE ARCH POLICIES 
Objective 
Enhancing the effectiveness and coherence of na tional and Community research policies and their 
articulation with other policies, improving the impact of public rese arch and its links with industry, 
and strengthening public support and its levera ge effect on investment by private actors. 
Approach 
The activities undertaken in this part will support the coherent deve lopment of research policies, 
complementing the coordination activities under the Cooperation programme , and contributing to 
Community policies and initiative s (e.g. legislation, recommendations  and guidelines)  that aim to 
improve the coherence and impact of Member States policies. 
These activities will contribute to the implementation of the Lisbon stra tegy, in particular to the 3 % 
investment in research objective, by assisting Member States and the Community in developing 
more effective research and development policies.  The aim is to improve public research and its 
links with industry and foster priv ate investment in research by strengthening public  support and its 
leverage effect on private investment. This cal ls for adaptability of research policies, the 
mobilisation of a broader range of instruments,  coordination of efforts across national boundaries 
and the mobilisation of other policies to crea te better framework conditions for research. 
30.12.2006 EN Official Journal of the European Union L 400/349 
 Activities  
Two action lines will be pursued1: 
First action line: Monitoring and analysis of re search-related public policies and industrial 
strategies, including their impact 
The objective is to provide information, eviden ce and analyses in support of the design, 
implementation, evaluation and trans-national coor dination of public policies. This will include: 
• An information and intell igence service (ERAWATCH)  to support evidence-based research 
policy making and to contribute to the realisation of the Eu ropean Research Area (ERA) by 
providing a better understanding of the nature, c onstituent elements and evolution of national 
and regional research policies, initiatives and sy stems. This will include regular analyses, from a 
European perspective, of issues relevant to research policy making, notab ly: factors driving the 
evolution of research systems and their imp lications for policies a nd governance structures; 
emerging issues/challenges and policy options; and a review at the European level of Member 
States' progress towards ERA and the 3 % objective. 
                                                 
1 The activities related to strengthening and im proving the European science system, such as 
questions of scientific advi ce and expertise and contributi ng to "better regulation", are 
addressed by the Science in Society part of this Specific Programme. 
L 400/350 EN Official Journal of the European Union 30.12.2006 
 • An industrial research invest ment monitoring activity  to provide a self-consistent and 
complementary source of information to help  steer public policy and to allow firms to 
benchmark their R&D investment strategies, inter alia  in sectors of key interest to the EU 
economy . This will include periodic scoreboards of firm-and sector-level R&D investment, 
surveys of private R&D investment trends, an alysis of factors aff ecting R&D investment 
decisions and practices of firms, analysis of economic impacts, and assessment of policy 
implications. 
• Development and analysis of indicators on res earch activity and its impact on the economy.  
This will include the preparation and publicati on of national and regiona l science and technology 
key figures and scoreboards usi ng official statistical indicato rs wherever appropriate; the 
assessment of the strengths and weaknesses of Memb er States' R&D systems; and the analysis of 
EU's position and performance in scie ntific and technological research. 
These activities will be carried out  in collaboration with the Joint Research Centre as well as 
through studies and expert groups. 
Second action line: Coordina tion of research policies 
The aim is to strengthen, on a voluntary basis,  the coordination of research policies via: 
• actions to support the impl ementation of the open met hod of coordination; and  
30.12.2006 EN Official Journal of the European Union L 400/351 
 • trans-national cooperation initia tives undertaken at national or regional level on issues of 
common interest, involving where a ppropriate other stakeholders (including industry, European 
organisations and civil society organisations).  
These activities will address issues of common inte rest related to resear ch and other relevant 
policies that should be mobilised for the realisa tion of the ERA and the attaining of the EU 3 % 
research investment goal. They will: contribute to  the development of more effective national and 
regional policies through mutual learning and peer-re view; encourage concerted or joint initiatives 
between groups of countries a nd regions interested in areas involving a strong trans-national 
dimension or spill-over; and where appropriate, identify issu es requiring complementary and 
mutually reinforcing action at Community and Member States' level. 
Initiatives undertaken by several countries and regions may cover ac tivities such as peer-review of 
national and regional policies, exch ange of experience and personnel,  joint evaluations and impact 
assessments, and the development and implementation of joint initiatives. 
7. ACTIVITIES OF INTERNATIONAL COOPERATION 
Objective 
To become competitive and play a leading role at  world level, the European Community needs a 
strong and coherent internationa l science and technology policy. The internati onal actions carried 
out under the different programmes within the Fr amework programme will be implemented in the 
context of an overall inte rnational cooperation strategy. 
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 This international policy has three interdependent objectives: 
– to support European competitiveness through strate gic partnerships with third countries in 
selected fields of science and by engaging the be st third country scientists to work in and 
with Europe, 
– to facilitate contacts with pa rtners in third countries with the aim of providing better access 
to research carried out elsewhere in the world, 
– to address specific problems that third countries  face or that have a gl obal character, on the 
basis of mutual interest  and mutual benefit. 
30.12.2006 EN Official Journal of the European Union L 400/353 
 Approach 
In order to identify and establish the priority areas of research of mutual in terest and mutual benefit 
with targeted third countries (Inte rnational Cooperation Partner Countries1) for the specific 
international cooperation actions of the Coope ration Specific Programme  ongoing policy dialogues 
and partnership networks will be enhanced with th e different regions in these third countries to 
provide input to help implement these actions. Coherence of national activities on international scientific cooperation will be en hanced by supporting the coordinati on of national programmes (of 
Member States and Associated countries) thr ough multilateral coordination of national RTD 
policies and activities. Cooperation with third countries in the Framework Programme will be 
targeted in particular at th e following groups of countries
2: 
– Candidate countries3, 
– Mediterranean partner countries (MPC ), Western Balkans countries (WBC)4 as well as the 
Eastern European and Central Asian countries5 (EECA), 
– Developing countries , focusing on the particular need s of each country or region 
concerned6, 
– Emerging economie6. 
                                                 
1 See Rules for participation. 
2 At present 9 Mediterranean Pa rtner Countries and 6 countries of Eastern Europe and Central 
Asia are part of the European Neighbouring Policy. 
3 Other than associated Candidate Countries. 
4 Other than associated po tential Candidate Countries. 
5 Armenia, Azerbaijan, Belarus, Georgia, Kazakhstan, Kyrgyz Republic, Moldova, Russia, 
Tajikistan, Turkmenistan, Ukraine and Uzbekistan. 
6 Noting that Latin America includes both de veloping countries and emerging economies.  
L 400/354 EN Official Journal of the European Union 30.12.2006 
 The theme-oriented international cooperation res earch actions are carried out under the Cooperation 
Specific Programme. The international actions in the area of human potential are carried out under 
the People Specific Programme. Hori zontal support actions and measur es with a focus other than a 
specific thematic or interdisciplinary area co vered in the "Cooperation" programme will be 
implemented, and could be supplemented, in a li mited number of cases, by specific cooperation 
actions of mutual interest. The overall coordination of the inte rnational cooperation actions under 
the different programmes will be strengthened with  a view to ensuring a coherent approach and 
developing synergies with other Community instru ments (e.g. IPA, European Neighbouring Policy 
Instrument, ALA regulation, and Development Aid schemes). Taking into account the experience 
gained through INTAS and building on its work in  the framework of cooperation with the Eastern 
European and Central Asian countries, activitie s providing continuity wi ll be undertaken through 
this programme and the "Cooperation" and "People" programmes.  
The Commission will ensure the coordination of international c ooperation activitie s throughout the 
entire Framework Programme including policy di alogue with partner c ountries, regions and 
international fora. 
30.12.2006 EN Official Journal of the European Union L 400/355 
 Activities 
The main activities to develop jo intly agreed interna tional scientific coope ration policies are: 
• Bi-Regional coordination of S&T cooperation in cluding priority setting and definition of 
S&T Cooperation policies 
Community S&T cooperation for priority setting will be based on a comprehensive policy dialogue 
with partner countries and regions  in recognition of their socio-cu ltural conditions and research 
capacities. This dialogue for S&T cooperation is carried out at mu ltiple levels, such as through 
international fora (the various UN conventi ons), institutionalised bi-regional dialogues1 including: 
Asia-Europe Meetings (ASEM); Latin America, Caribbean and EU (EU-LAC); the Mediterranean 
and Western Balkan Partnerships; the EU-ACP  (African, Caribbean and Pacific) States  and Eastern 
Europe and Central Asia2, and bilateral and multilateral agreements as well as through informal 
trans-regional meetings of scient ists and other societal partners. 
                                                 
1 Bi-regional dialogue in this context means th e dialogue between the Member States, the EC 
and the third countries concerned. 
2 Which also could involve th e International Scie nce and Technology Cent re (ISTC) and the 
Science and Technology Centre (STCU). 
L 400/356 EN Official Journal of the European Union 30.12.2006 
 The highest priority will be given to the strengthening of bi-regiona l/bilateral dialogues to guide and 
set the framework for internationa l S&T cooperation and joint identi fication of research areas for 
mutual interest and benefit. Such dialogue and pa rtnership in S&T constitu tes the most effective 
way of achieving globally and mutually agreed ob jectives, with respect to regional and country 
level specific needs. Consequently, internati onal S&T cooperation in the Framework Programme 
will be governed in a coherent way through integr ated research policy formulation resulting from 
these dialogues and from S&T agreements1. 
These initiatives will be implemented through specifi c international c ooperation activities that will 
develop the bi-regional dialogue in  close consultation with Member  States, Associated Countries 
and International Coopera tion Partner Countries. 
This priority setting a nd the definition of S&T Cooperation policie s will have direct and measurable 
impacts on the other activities foreseen for In ternational S&T Cooperatio n under the Capacities 
Specific Programme, namely: enhancement and development of S&T Agreements, S&T 
Cooperation Partnerships and a pos itive synergistic effect on the coordination of national policies 
and activities on intern ational S&T cooperation. 
Within the framework of S&T Agreements, in accordance with the defined priorities, the 
identification of new, emerging elements deserving actions and endorsement at  political level to be 
implemented by the themes will be given priority. 
                                                 
1 Considering the Community's interests, agre ements have been conc luded with all major 
industrialised or emerging econom y partners, and with almost all countries included in the 
European Neighbourhood Policy. 
30.12.2006 EN Official Journal of the European Union L 400/357 
 In addition, the participa tion of scientists in na tional research programmes of third countries will 
allow the full exploitation of the possibilities of the S&T Agreements and will allow the scientists to acquire knowledge of third country research systems and their cultures in a reciprocal way. For this, 
the Framework Programme will cover the cost of res earch participation of scientists from Member 
States and associated countries in the national research programme s of the third countries where 
there is mutual interest and benefit. Such co llaboration will take place on a competitive basis. 
The joint projects developed within above dial ogues and S&T cooperation Agreements will be 
needs-driven and will have significant size in terms of partnerships, competences and financing as well as having an important socio-economic impact . The projects will be ta rgeted specifically on 
the priorities identified through the policy dialogue of S&T coopera tion within the regional fora, 
and there will be specific calls pe r region or groups of  International Cooperation Partner Countries. 
The output of these dialogues will contribute to the determination of the priorities and needs for the 
specific international cooperation actions in the different them es in the Cooperation Specific 
Programme. 
• Bilateral coordination for the enhancemen t and development of S&T partnerships 
The realisation of identified priorities will be furt her elaborated and turned into actions by setting 
up equitable S&T Cooperation Partnerships regr ouping multiple stakeholders (partners from 
research, industry, government a nd civil society) for research capacity building and research 
actions. These have proved to be the most suitable mechanism to mobilise the strengths of these partners synergistically. These Pa rtnerships will require pluridisci plinary approaches to tackle 
diverse needs on a global, regi onal and/or country level. 
L 400/358 EN Official Journal of the European Union 30.12.2006 
 The development of S&T Partnerships will be based on bi-regional leadership and coordination of 
political initiatives in defined priority areas. These will be operated by steering groups composed by a limited number of representatives from each regi on, open to all partners in the regions concerned, 
taking into account their interest s and research capacities. These partnerships will promote joint 
research activities and permanent policy dialogu e on the efficiency and effectiveness of the 
cooperation implemented as well as on identification of future needs. 
• Supporting coordination of national policies and activities of Member St ates and associated 
countries on international S&T cooperation 
In order to promote/encourage an effective and efficient international scientific Community 
cooperation strategy at EU level,  a continuous coordination of na tional policies is essential to 
realise commitments undertaken through the S&T bi-regional and bilateral dialogues. 
This coordination will reinforce the efficiency and impact of the ongoing bilateral S&T cooperation 
initiatives between Member States and Internati onal Cooperation Partner Countries and enhance the 
positive synergies between them. It will also en hance complementarities between Community and 
Member States S&T cooperation activities. 
Furthermore it will support the implementation of a "shared vision" by facilitating innovative 
programmatic approaches and working more closel y among and with Member States in developing 
and implementing a coherent coopera tion in EU science and technology. 
 
30.12.2006 EN Official Journal of the European Union L 400/359 
 ANNEX II  
INDICATIVE BREAKDOWN OF TH E AMOUNT (in EUR million) 
Research Infrastructures1 1 715
Research for the benefit of SMEs  1 336
Regions of Knowledge 126Research Potential 340Science in Society 330Coherent development of research policies 70Activities of International Cooperation 180 
TOTAL 4 097
 
 
                                                 
1 Including a contribution of up to EUR 200 millio n to the European Investment Bank for its 
Risk-Sharing Finance Facility, as referred to  in Annex III. An amount in the order of 
EUR 100 million will be committed in annual instalments for the period 2007-2010. 
L 400/360 EN Official Journal of the European Union 30.12.2006 
 ANNEX III  
Risk-Sharing Finance Facility 
In accordance with Annex II, the Community will provide a contribution (coordination and support 
action) to the European Investment Bank (EIB) which will be a risk-s haring partner for the 
Risk-Sharing Finance Facility (RSFF). RSFF, wh ich will be co-funded by the Community and the 
EIB, is aimed at fostering private sector inve stment across Europe in research, technological 
development and demonstration (RTD) as well as innovation. 
The Community contribution will increase the capac ity of the Bank to manage risk, thus allowing 
for (i) a larger volume of EIB lending and guarantee operations for a certain level of risk, and (ii) 
the financing of riskier European RTD actions th at would not be possible without such Community 
support, thus helping overcome mark et deficiencies. It will aim at: 
• adding value in areas where the market cannot provide the required funding; and 
• providing catalytic eff ect in leveraging private investment. 
The Community contribution will be committed to  RSFF in line with the provisions set out in 
Annex II. 
The EIB will lend funds raised from  international financial market s and provide guarantees to its 
financing partners in accordance with its st andard rules, regulations and procedures. 
30.12.2006 EN Official Journal of the European Union L 400/361 
 It will use this contribu tion on a "first come, first served basis" , as provisions and capital allocation 
within the Bank to cover part of  the risks associated with it s operations supporting eligible 
European RTD actions. 
Based on its financial evaluation, the EIB will asse ss the level of financial risks and decide the 
value of the provision and capital allocation. 
The risk assessment and grading, and the resulti ng decisions on provisioni ng and capita l allocation, 
will follow standard procedures of the Bank, under its Structured Finance Facility, approved and 
monitored by its shareholders and as updated and modified from time to time. They will not be 
altered as a result of the Community contribution. 
The risk to the Community budget is limited to th e amounts paid or committed to be paid. There 
will be no contingent liability for the Community budge t, as any remaining risk is borne by the EIB. 
The Community contribution will be disbursed annually based on a multi-annual plan and taking 
into account the evolution of demand. The annual amount will be established in the Work Programme, on the basis of the activity report and forecasts presented by the EIB. 
L 400/362 EN Official Journal of the European Union 30.12.2006 
 The agreement to be concluded with the EIB, fo llowing close consultations with Member States, 
will establish terms and conditions under which th e Community funds can be  used as provisions 
and capital allocation. It will include  the following terms and conditions: 
• The eligibility of Community RTD actions. By  default, the development of research 
infrastructures funded by the Community under this  Specific programme shall be automatically 
eligible. Legal entities establis hed in third countries other than  Associated Countries are also 
eligible if they participate in FP7 indirect ac tions and their costs are eligible for Community 
funding. Other research infrastruc tures of European interest could also be considered.  
 RSFF will be offered in all Member States and Asso ciated Countries in order to ensure that all 
legal entities, irrespective of size (including SMEs and research or ganisations, including 
universities) in all Member States, may benef it from this facility for the funding of their 
activities in eligible actions.  Innovation activities of a commercial nature are e ligible for RSFF only via the use of the EIB's 
own contribution. 
• In accordance with the regulation on Rules for Pa rticipation adopted pursu ant to Article 167 of 
the Treaty, the agreement will also establish pr ocedures for the Community to object, in duly 
justified cases, to the use of the Community contribution by the EIB. 
30.12.2006 EN Official Journal of the European Union L 400/363 
 • The rules for defining the share of the financial risk that wi ll be covered by the Community 
contribution and the risk threshold beyond which the EIB can use the Comm unity contribution as 
well as sharing of corresponding income. The level of the Community contribution for eac h operation shall depend on the financial risk 
evaluation carried out by the EIB. The level of  total provisioning and capital allocation for the 
majority of RSFF operations is expected to fall  within the range of 15 %-25 % of the nominal 
value of such operations. In no case shall the le vel of total provisioning  and capital allocation 
amounts of the Community contribution exceed 50 % of the nominal loan or guarantee value. 
There will be risk sharing under each operation. 
• The arrangements by which the Community will monitor the EIB lending and guarantee 
operations related to the Community cont ribution, including operations through the 
EIB financing partners. 
The EIB may use the Community contribution only for operations approved between the date of 
entry into force of this Specific Programme and 31 December 2013. 
Interests and incomes generated by the Community contribution duri ng this period shall be reported 
annually by the EIB to the Commission, which sha ll inform the European Parliament and the 
Council. In accordance with Article 18(2) of the financial regulation, they shall be considered as 
assigned revenues to the RSFF and entered into the budget. 
L 400/364 EN Official Journal of the European Union 30.12.2006 
 When adopting the Work Programme, the Commission may decide to reallocate, for the purpose of 
any other indirect actions of th e "Research Infrastructure" of th is Specific Programme, any amount 
not used by RSFF and, therefore, recovered from th e EIB, after mid-term evaluation referred to in 
Annex II of the Framework Programme. The mid- term evaluation will include an external 
assessment of the impact of the RSFF. 
The Commission will closely monitor the effectiv e use of the Community Contribution, including 
ex-post assessments of the successful features of  the action, and regularly report to the Programme 
Committee. In addition, the Commis sion will include main findings in  this respect to the annual 
report on research and technological development activities which it will send to the European 
Parliament and the Council pursuant  to Article 173 of the Treaty. 
 
30.12.2006 EN Official Journal of the European Union L 400/365 
 ANNEX IV  
Joint implementation of non-Community research programmes 
One initiative for the joint implementation of nati onal research programmes is identified below, on 
an indicative basis, and could be the subject of a separate decision on the basis of Article 169 of the 
Treaty. Further initiatives may be identified and proposed during the implementation of the 
Seventh Framework Programme. 
Were such a decision to be taken, a dedicated im plementation structure would be set up, together 
with the organisational structure and appr opriate governance bodies necessary for the 
implementation of the action. In accordance with Annex II, the Community could provide financial 
support to the initiative up to th e amount set out in Annex II and c ould participate actively in the 
implementation by the means which are most appropriate for the action. 
Article 169 (EC Treaty) initiative in th e field of Research  Performing SMEs 
The aim will be to launch and implement a joint R&D programme for the benefit of research 
performing SMEs with the objective of boosting thei r research and innovation capability. Building 
on EUREKA, it will stimulate and support transna tional R&D projects led by such SMEs. This 
initiative complements other SME-targeted acti ons carried out in the context of the Seventh 
Framework Programme. 
The Community will provide financial support fo r the initiative and w ill participate in the 
implementation by the means which are most appropriate for the action. 
 
L 400/366 EN Official Journal of the European Union 30.12.2006 
 ANNEX V  
Information to be provided by the Commi ssion in accordance with Article 8(5)  
1. Information on actions, enabling the monitori ng of the entire life time of each proposal, 
covering in particular: 
– submitted proposals, 
– evaluation results for each proposal, 
– grant agreements, 
– completed actions. 
2. Information on the outcome of each call a nd implementation of actions, covering in 
particular: 
– the results of each call, 
30.12.2006 EN Official Journal of the European Union L 400/367 
 – the outcome of negotiations on grant agreements, 
– implementation of actions, including pa yment data and outcome of actions. 
3. Information on programme implementation, incl uding relevant information at the level of 
the Framework Programme, the Specific Programme and each activity. 
This information (in particular , on proposals, their evaluation and grant agreements) should be 
provided in a uniform structured electronically-readable and treata ble format accessible through an 
IT-based information and reporting system  which readily enables data analysis.