Proposal for a COUNCIL DECISION adopting a specific programme 2002-2006 for research, technological development and demonstration aimed at structuring the European Research Area

EXPLANATORY MEMORANDUM

At its meeting on 23 and 24 March 2001, continuing its support for the European Research Area project as expressed in Lisbon, Feira and Nice, the European Council called upon the Council and the European Parliament to adopt the research Framework Programme 2002-2006 proposed by the Commission by June 2002.

In doing so, it stressed in particular that, in the context of a set of well defined priorities, full benefit should be derived from the new instruments designed to give this new Framework Programme the means to help bring about the European Research Area, in accordance with its objective.

The Commission submitted its Framework Programme proposal on 21 February 2001 [1]. Since then, Council and Parliament have had the opportunity to begin examining and discussing the proposal. On 2 and 3 March, at their informal meeting in Uppsala, the Research Ministers held a first exchange of views on it, and the Council bodies have started to examine it.

[1] COM (2001) 94.

For its part, the European Parliament has had three opportunities to debate this proposal, the last time on the basis of answers given by the Commission to a detailed questionnaire.

By presenting its proposals concerning the specific programmes through which the Framework Programme is to be implemented at this point in time, the Commission intends to facilitate the debate that has begun within the institutions, thus enabling it to take place in the best possible conditions of information.

With the same aim in mind, the Commission is at the same time presenting a communication on the possible ways of implementing Article 169 of the Treaty to enable participation by the Community in programmes implemented jointly by several Member States, within the general context of the networking of national research programmes.

The Commission will also be submitting proposals shortly concerning the "rules for participation and dissemination" applying to the Framework Programme.

The following main elements of these proposals, in particular, will help to give a better picture of the organisation, content and implementation arrangements proposed for the new Framework Programme:

- the structure in terms of specific programmes;

- the new instruments and the way they will operate;

- the scientific and technological content that is envisaged;

- the activities foreseen in the EURATOM area.

The structure

For the implementation of the Framework Programme, a structure based on five specific programmes is proposed:

- For the EC Framework Programme:

- A specific programme on "Integrating and strengthening the European Research Area" for the two blocks of activities "Integrating research" and "Strengthening the foundations of the European Research Area" of the Framework Programme proposal.

- A specific programme on "Structuring the European Research Area".

- A specific programme for JRC activities.

- For the EURATOM Framework Programme:

- A specific programme for all the indirect actions in the fields of nuclear fission and fusion.

- A specific programme for JRC activities.

This structure derives directly from that of the Framework Programme and is a faithful reflection of the underlying policy objectives. Simple and easy to follow, it will make it possible to ensure the coherent implementation of the different categories of actions proposed, while respecting the overall objective of making a reality of the European Research Area and taking account of the specific features of these actions.

It brings together, on the one hand, all research and research-coordination activities and, on the other, activities aimed at structuring several key aspects of research activity on a European scale.

In each case, coherent implementation can be ensured in particular by means of a single programme committee with a composition varying according to the fields concerned.

In addition, the particular nature of the JRC's activities justifies a separate specific programme both for the EC and for EURATOM.

On the basis of the indications given in Annex II to the Framework Programme proposal, and thanks to them, correspondence is ensured with the various activities foreseen in the Treaty both in terms of content and budget.

The new instruments

The contribution of the new Framework Programme to bringing about the European Research Area is based mainly on the means of intervention envisaged for implementing it, in particular the three new instruments, namely the networks of excellence, integrated projects and participation by the Community in jointly implemented national programmes.

The introduction of these new instruments, which was favourably received by the Council and the European Parliament in their resolutions on the European Research Area, is in response to the need for a change in the ways in which the Community intervenes in the research field, as stressed in various reports on Community research policy, and in particular the recent five-year assessment of the Framework Programme.

Work on the development of these instruments started as soon as the Framework Programme proposal was presented. Many contacts and detailed discussions about the way in which they will operate in practice have taken place between the Commission Services, the national authorities and the relevant programme users within research organisations, universities and businesses.

Two seminars were specifically organised on this topic on 19 and 20 April 2001 [2].

[2] Working papers are available on the following website: www.http://europa.eu.int/comm/research/.

On the basis of the results of this detailed work and discussions, the basic principles and the general conditions governing the operation of these new instruments have been established. They are presented in Annex III to the specific programme proposals and concern in particular:

- the objectives specifically pursued with each of the instruments;

- the type of activities involved;

- the general conditions governing the formation, operation and development of partnerships;

- the general conditions governing support by the Community.

These principles and conditions are designed to ensure that the new instruments will make an effective contribution towards attaining the objectives set, namely the deep integration of research and innovation activities in Europe under conditions of operational autonomy and flexibility, characteristics of the means of intervention foreseen for the new Framework Programme.

Their application will be accompanied by measures designed to derive full benefit from all the research and innovation potential present in Europe, in particular by encouraging SME participation in the activities concerned.

These remarks apply essentially to the networks of excellence and the integrated projects. Community participation in jointly implemented national programmes under Article 169 of the Treaty is of a different nature, necessitating and justifying separate treatment. The objective of the communication which the Commission is presenting on this subject, in parallel with these proposals, is to launch the political debate that needs to take place on this means of implementation within the Framework Programme.

The scientific and technological content

Alongside its organisation as a structuring instrument designed to integrate research efforts, a basic feature of the new Framework Programme underlined by the Stockholm European Council is the concentration of resources on a limited number of well defined priorities.

This is reflected in the specific programme proposals which explain in more detail, expand upon and clarify the indications given in the Framework Programme proposal as regards objectives, fields covered and, within each field, the particular themes taken into consideration.

The precise subjects of research that will be carried out will be determined when the work programmes are drawn up and the programmes of activities for the networks of excellence and integrated projects are formulated.

The objectives, content and implementation arrangements for activities to be carried out under the specific programmes have been the subject of an ex ante evaluation. In this context, a special effort has been made to define, in accordance with the indications given in the Framework Programme proposal, verifiable, measurable objectives where this is possible and useful.

Alongside the activities carried out in the context of the major priority themes, the specific programme on "Integrating and strengthening the European Research Area" will comprise several categories of activities that are new or carried out in new ways.

These are:

- Activities carried out under the heading "Anticipating the EU's scientific and technological needs" in response to the needs of Community policies, research at the frontiers of knowledge and new unforeseen requirements.

They will be conducted on the basis of a procedure for the multiannual programming of activities, carried out partly by means of an annual exercise of evaluation and selection of research themes.

- Activities in support of the networking of national research programmes and the coordination of research and innovation activities and policies. Light and flexible mechanisms will be used to this end.

International cooperation represents an important dimension of the Framework Programme. Activities will be carried out in this field in various forms: in the specific programme on "Integrating and strengthening the European Research Area" on the one hand by opening up the networks of excellence and integrated projects to third country researchers and entities and, on the other hand, through certain specific activities; in the programme "Structuring the European Research Area" by means of support for the international mobility of European researchers and third country researchers.

Under the heading of strengthening the foundations of the European Research Area, activities will be carried out in support of cooperation with and between the organisations concerned with European science and technology cooperation. These organisations will in fact have full access to all the activities under the programmes.

The description of the content of the programme on "structuring the European Research Area" specifies the implementation conditions and the possible themes for structuring activities, including a strengthening of the networking of innovation stakeholders; the various new forms of support for mobility; the integrated initiatives with regard to infrastructures and the themes and arrangements for activities in the field of relations between science and society.

In the implementation of the specific programmes, the regional dimension of European research will be fully taken into account in its different aspects, as well as the recognised role of regions in the process of innovation.

EURATOM activities

By their nature and on account of their different legal basis, the activities carried out in the EURATOM field have a particular character. In addition, in the nuclear field the issue of the European Research Area takes a specific form.

It might seem easier to make a reality of the European Research Area in the field of nuclear fission than in the rest of science and technology, given the limited size of the scientific and industrial community concerned and the existence within it of long-standing collaboration links.

The European Research Area is already to a large extent a reality in the field of controlled nuclear fusion thanks to the existence of an integrated European programme on research into magnetic fusion.

The proposal for a specific programme for indirect nuclear research activities substantially expands upon and clarifies the indications given in the corresponding part of the EURATOM Framework Programme proposal.

In the field of fission, the Framework Programme proposal identifies a thematic area: waste treatment and storage. Activities could be carried out in this area by means of two of the new instruments for the priority thematic areas of the programme on "Integrating and strengthening the European Research Area" of the EC Framework programme, namely the networks of excellence and integrated projects.

The rest of the activities relating to fission concern other aspects of nuclear safety: radiation protection, the study of innovative concepts and training concerning nuclear matters. These activities could be carried out in the form of projects of limited size and the networking of national activities, with the possibility of making use of the new instruments where necessary.

In the field of thermonuclear fusion, the specific programme proposal expands upon and clarifies the guidelines given in the EURATOM Framework Programme proposal following on from the results of the Ministerial Meeting held on 19 January 2001 on the basis in particular of a Commission staff working document [3].

[3] SEC (2001)385.

It specifies the priorities proposed and the activities to be carried out during the period 2002-2006 in accordance with the "reactor" orientation of Community activities in this field which it is thought desirable to maintain: participation in the Next Step and use of the JET facilities.

Choices will need to be made in order to put this orientation into practice. In order to increase the impact of Community efforts in this area, and in accordance with the spirit of the European Research Area, it is proposed that resources should be concentrated on multilateral activities bringing together European research players on joint projects such as JET today, and ITER in due course if a decision is taken to build this new machine.

Overall coordination at European level, the usefulness of which has been demonstrated, would be maintained, but the Member States would take responsibility for a larger proportion than at present of the activities where the "reactor" orientation and the link with the Next Step are less marked.

The period 2002-2006 should be a period of transition towards a programme dominated by commitments connected with the Next Step. Of the EUR 700 million proposed for the whole of fusion research, EUR 200 million are foreseen as a contribution to the construction of ITER which could commence during the second half of the period of implementation of the Framework Programme, i.e. 2005-2006, and which necessitates a specific decision.

The bulk of the Community fusion research activities for 2002-2006 are therefore intended to ensure the transition between the activities at present carried out in the associations and what should become a fusion physics and technology accompanying programme once the ITER project has reached "cruising speed" after 2006 if a decision is taken to go ahead and start building the machine.

Efficient implementation

Designed to help bring about the European Research Area, the Framework Programme 2002-2006 is based on three fundamental principles: concentration on a selected number of priorities; structuring effect by means of close liaison with the national efforts; simplification and streamlining of implementation conditions.

The need for this sort of improvement in the conditions governing the implementation of the Framework Programme and the specific programmes has been stressed repeatedly: by the Council and the European Parliament, by the Framework Programme five-year assessment panel, and by the Court of Auditors, in particular.

For the most part, the improvement in implementation conditions will be brought about by adopting the new means of intervention and the new instruments designed to help achieve the twin objectives of concentration and of strengthening the links between efforts at the various levels.

The networks of excellence and the integrated projects have been designed with this in mind, based on a more decentralised approach enabling the participants to have a large measure of operational autonomy as well as the requisite degree of flexibility in implementation. The partnerships, more particularly, are designed to be able to evolve so that new participants can join, and the initial participants can withdraw, throughout their duration.

The basic principles applying to the new instruments are described in Annex III to the specific programme proposals. The detailed rules for implementing them will be set out in the "Rules for participation and dissemination" taking account of the objectives of protecting the Communities' financial interests.

Other aspects of the management of the activities under the programmes will also be "externalised", more particularly certain aspects of the management of research activities for SMEs and activities in support of mobility.

An essential debate

When the Commission submits a proposal for a new EU Research Framework Programme there is always a wide-ranging and intense debate.

This debate, which is already under way, should go beyond a discussion of the priorities and areas to which it is often reduced:

- because the Framework Programme 2002-2006 is essentially characterised by the introduction of new means of intervention with considerable potential to have positive effects on the European research fabric, which should be put into effect under the best possible conditions;

because implementing the Framework Programme for this reason requires greater involvement on the part of those responsible for research in Europe, at a high level of decision taking, in the national research organisations, universities and industry, and greater initiative and the assumption of greater responsibility on the part of the participants.

2001/0123 (CNS)

Proposal for a COUNCIL DECISION adopting a specific programme 2002-2006 for research, technological development and demonstration aimed at structuring the European Research Area

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 166 thereof,

Having regard to the proposal from the Commission [4]

[4] OJ No.

Having regard to the opinion of the European Parliament [5]

[5] OJ No.

Having regard to the opinion of the Economic and Social Committee [6]

[6] OJ No.

Whereas:

(1) In accordance with Article 166 (3) of the Treaty Decision No. .../../EC [7] of [...] of the European Parliament and the Council concerning the multi-annual framework programme 2002-2006 of the European Community for research, technological development and demonstration activities aimed at contributing towards the creation of the European Research Area (hereinafter referred to as "the framework programme") is to be implemented through specific programmes that define detailed rules for their implementation, fix their duration and provide for the means deemed necessary.

[7] OJ No.

(2) The framework-programme 2002-2006 is organised in three main blocks of activities, "integrating research", "structuring the European Research Area" and "strengthening the foundations of the European Research Area", the second of which should be implemented by this specific programme.

(3) The rules for the participation of undertakings, research centres and universities and for the dissemination of research results, for the framework programme, adopted by the European Parliament and Council in Decision No. .../../EC [8] (hereinafter referred to as "the rules for participation and dissemination") should apply to this programme.

[8] OJ No

(4) New instruments, involving simplified and decentralised management, and the exploitation of external technical support should, if fully exploited in this programme, enable personnel and administrative expenses to be reduced to a maximum of 5.5% of the overall amount deemed necessary for its implementation.

(5) In implementing this programme, emphasis should be given to the participation of SMEs, and it may be appropriate to engage in international co-operation activities with third countries and international organisations. Special attention should be paid to the Accession countries.

(6) Research activities carried out within this programme should respect fundamental ethical principles, notably those which appear in the Charter of Fundamental Rights of the European Union.

(7) Following the Commission Communication "Women and Science" [9] and the Resolutions of the Council [10] and the European Parliament [11] on this theme, an action plan is being implemented in order to reinforce and increase the place and role of women in science and research.

[9] COM(1999) 76

[10] Resolution of 20 May 1999, OJ C 201, 16.7.1999

[11] Resolution of 3 February 2000, PE 284.656

(8) This programme should be implemented in a flexible, efficient and transparent manner, taking account of relevant interests, in particular of the scientific, industrial, user and policy communities; the research activities carried out under it should be adapted where appropriate to the needs of Community policies and to scientific and technological developments.

(9) Since the measures for the implementation of this Decision are management measures within the meaning of Article 2 of Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission [12]. They should be adopted by the use of the management procedure provided for in Article 4 of that Decision.

[12] OJ L 184, 17.7.1999, p. 23

(10) The Commission should in due course arrange for an independent assessment to be conducted concerning the activities carried out in the fields covered by this programme.

HAS ADOPTED THIS DECISION

Article 1

1. In accordance with the framework programme, a specific programme on structuring the research area (hereinafter referred to as "the specific programme") is hereby adopted for the period from [.....] to 31 December 2006.

2. The objectives and scientific and technological priorities for the specific programme are set out in Annex I.

Article 2

In accordance with Annex II to the framework programme, the amount deemed necessary for the execution of the specific programme is EUR 3 050 million, including a maximum of 5.5% for the Commission's administrative expenditure. An indicative breakdown of this amount is given in Annex II.

Article 3

1. The detailed rules for financial participation by the Community in the specific programme shall be those referred to in Article 2(2) of the framework programme.

2. Instruments for implementing the specific programme are defined in Annexes I and III to the framework programme.and described in Annex III.

3. The rules for participation and dissemination shall apply to the specific programme.

Article 4

1. The Commission shall draw up a work programme for the implementation of the specific programme, setting out in greater detail the objectives and scientific and technological priorities set out in Annex I, and the timetable for implementation.

2. The work programme shall take account of relevant research activities carried out by the Member States, Associated States and European and international organisations. It shall be updated where appropriate.

Article 5

1. The Commission shall be responsible for the implementation of the specific programme.

2. The procedure laid down in Article 6 shall apply for the adoption of the following measures:

- the drawing up and updating of the work programme referred to in Article 4(1),

- any adjustment to the indicative breakdown of the amount as set out in Annex II.

Article 6

1. The Commission shall be assisted by a committee, composed of representatives of the Member States and chaired by the representative of the Commission.

2. Where reference is made to this paragraph, the management procedure laid down in Article 4 of Decision 1999/468/EC [13] shall apply, in compliance with Article 7 (3) thereof.

[13] OJ L 184, 17.7.1999, p. 23

3. The period provided for in Article 4(3) of Decision 1999/468/EC shall be two months.

Article 7

1. The Commission shall regularly report on the overall progress of the implementation of the specific programme, in accordance with Article 4 of the framework programme.

2. The Commission shall arrange for the independent assessment provided for in Article 5 of the framework programme to be conducted concerning the activities carried out in the fields covered by the specific programme.

Article 8

This decision is addressed to the Member States.

Done at Brussels, [...]

For the Council

The President [...]

ANNEX I Scientific and technological objectives and broad lines of the activities

Introduction

This programme will attack a number of key structural weaknesses that are manifested across all fields of European research and which are likely to have progressively more important effects on the EU's capacity to meet the aspirations of its citizens as its economies and societies become more knowledge-based. It will:

- enhance the propensity, at all levels, to turn research into useful and commercially valuable innovations;

- promote the development of human resources which constitute the underlying raw material on which research capabilities must be built, as well as the mobility of researchers - and of their knowledge and expertise - between European countries and to Europe from outside;

- stimulate the development and upgrading of research infrastructures of the highest quality on a more rational and cost-effective basis, and make facilities and associated resources more universally available to researchers throughout Europe who are able to benefit from them;

- develop the means for more constructive and effective communication and dialogue between research and citizens in general, so as to enable society at large to have a better-informed and more constructive influence on the future development and governance of science, technology and innovation.

By their nature and means of implementation, the activities carried out within this programme are applicable to all fields of research and technology. They have specific vocations, distinct from, and complementary to, the activities implemented within other parts of the framework programme, notably those within the "Integrating and strengthening the European Research Area" programme in the priority thematic areas defined for EU research in that programme, and attention will be given to ensure coherence with them.

This complementary relationship will be reflected in:

- improved provisions for human resource development and knowledge transfer arising from the implementation of the activities covered by this programme, which would apply, inter alia, to the thematic priority areas of research, as well as research infrastructures of broad application, including those crossing the boundaries between priority areas;

- the use, as appropriate, of consistent methods and tools to promote innovation through research and to reconcile better research with the concerns of society, as well as consistent frameworks for the implementation of actions on human resources, infrastructure support and ensuring the ethical conduct of research, which may be implemented, inter alia, within the context of integrated projects and networks of excellence.

Participation of the candidate countries in this programme will be encouraged.

1. Research and innovation

Objectives

The overall aim is to make a tangible improvement in Europe's innovation performance, in the short, medium and long term, by stimulating a better integration between research and innovation, and by working towards a more coherent and innovation-friendly policy and regulatory environment across the European Union.

To this end, and in accordance with the objectives of the communication [14] « Innovation in a knowledge-driven economy », activities will be implemented in a number of specific areas that are complementary and mutually supportive, within themselves and with the actions carried out under the heading « Integrating and strengthening the European Research Area ». They will focus on improving the knowledge, understanding and capabilities of the actors involved - researchers, industrialists, investors, public authorities at European, national and regional levels, and others - by encouraging more intensive and fruitful interactions between them, and by providing strategic information and services, as well developing new methodologies and tools, to assist them in their particular endeavours. A general principle underlying all these actions is that innovation cannot be separated from research ; the actions serve to reinforce the links between research and innovation, from the point of the conception of research activities, right through the period of their realisation.

[14] COM(2000)567, of 20.9.2000

To strengthen their structuring effect in Europe, these activities will, where appropriate, be carried out in cooperation with other forums or organisations at regional, national or European level, such as the Structural Funds or the EIB and the EIF in the context of the "Innovation 2000 Initiative".

Activities envisaged

i) Networking the players and encouraging interaction between them

The effectiveness of innovation systems depends on the intensity of interactions and exchanges between the players concerned. The European networks involved in this activity will, among other things, have the aim of encouraging interfaces between research and industry and between business and funding. The activities will concern the encouragement and validation of local and regional initiatives to promote the creation and development of innovative businesses; exchanges of good practice and the implementation of transnational cooperation involving universities, incubators, risk capital funds, etc.; and the optimisation of practices with regard to communication, training, transfer and sharing of knowledge between universities, businesses and the financial world.

ii) Encouraging transregional cooperation

The regional level is the most appropriate for putting in place innovation strategies and programmes involving the main local players. The purpose of this activity, to be carried out in close cooperation with activities in the context of regional policy and the Structural Funds, will be to promote exchanges of information on specific innovation-related themes; facilitate transfers of good practice and put in place innovation strategies in the regions in countries due to join the EU; and encourage the carrying out at regional level of schemes or measures that have proved successful at European level.

iii) Experimenting with new tools and approaches

The purpose of these activities is to experiment with new innovation concepts and methods. These activities will concern experimenting on a European scale with new concepts applied in a national or regional environment to promote innovation and the setting-up of innovative businesses; analysis of the potential, for reproducing and/or exploiting proven methods, tools or results in new contexts; and putting into place integrated platforms making it possible to input and disseminate knowledge and know-how concerning the socio-technical processes of innovation.

iv) Putting services in place and consolidating them

The establishment of the European Research Area and the gradual integration of innovation systems in Europe will require a supply of information and services transcending the existing national fragmentation. The activities to be carried out will concern the CORDIS research and innovation information service, which will be supplemented by other media in order to reach the various target populations; the network of innovation relay centres, the geographical coverage of which will continue to be extended, and which will be supplemented by instruments to encourage the transnational transfer of knowledge and technologies; and information and support services in fields such as intellectual or industrial property and access to innovation funding.

v) Stepping up economic and technological intelligence

In the knowledge-based economy, economic and technological intelligence is a vital component of competitive research and innovation strategies. The activities to be carried out will centre on the innovation players: SMEs, researcher-entrepreneurs and investors. They will mainly involve intermediaries working with/for these players as well as organisations with economic and technological intelligence expertise. They will concentrate on specific S&T themes or industrial sectors and may concern: innovation promotion in SMEs, in particular by means of activities aimed at facilitating their participation in the Community research programmes; support for activities concerning the gathering, analysis and dissemination of information on S&T developments, applications and markets which may be of assistance to the stakeholders; and identification and dissemination of best practice with regard to economic and technological intelligence.

vi) Analysing and evaluating innovation in Community research projects

The research and innovation activities carried out in the context of Community projects, in particular within the networks of excellence and the integrated projects, represent a plentiful source of information about obstacles to innovation and the practices to be deployed in order to overcome them. The ex-post analysis of these practices will concern the gathering and analysis of information about measures taken to promote innovation in Community projects, as well as the obstacles encountered and the actions needed to remove them; the comparison of experience derived from Community projects with the lessons learnt from other national or intergovernmental programmes and the validation of the information obtained; and the active dissemination of this information among businesses and other participants in the generation and exploitation of knowledge.

2. Human resources and mobility

Today's knowledge-based societies are heavily dependent on their capacity to produce, transfer and utilise knowledge. This requires mobilising cognitive resources, beginning with the research community. The overall strategic objective of the Human Resources and Mobility activity is to provide broad support for the development of abundant and dynamic world-class human resources in the European research system, taking into account the inherent international dimension of research.

This will involve a coherent set of actions, largely based on the financing of structured mobility schemes for researchers. These will essentially be geared at the development and transfer of research competencies, the consolidation and widening of researchers' career prospects, and the promotion of excellence in European research. The widely-recognised Marie Curie name will apply to all the actions concerned.

The activity will be open to all fields of scientific and technological research that contribute to the Community's RTD objectives. However, the possibility of refining priorities, as regards for example, scientific disciplines, participating regions, types of research organisations, and the level of experience of the targeted researcher populations, will be retained, in order to respond to the evolution of Europe's requirements in the area.

Attention will be paid to:

- the participation of women within all actions, and appropriate measures to promote a more equitable balance between men and women in research.

- the personal circumstances relating to mobility, particularly with respect to the family, career development and languages.

- the development of research activity in the less-favoured regions of the EU and Associated Countries, and to the need for increased and more effective co-operation between research disciplines and between academia and industry, including SMEs.

With a view to further reinforcing the human potential for European research, this activity will also aim to attract the best and most promising researchers from third countries [15], promote the training of European researchers abroad and stimulate the return of European scientists established outside Europe.

[15] Participation of researchers from third countries is foreseen in all of the host-driven mobility schemes (section -i), as well as in one of the individual-driven schemes (section -ii). In such cases, account will be taken of any relevant arrangements between the EU and those countries - or groups of countries, as well as of the relevant Framework Programme participation and financing rules.

Actions to be pursued

Three main strands of actions will be implemented.

i) Host-driven actions

This first strand is aimed at supporting research networks, research organisations and enterprises in the provision of structured global schemes for the training and mobility of researchers, and the development and transfer of competencies in research. The actions concerned are intended to have a strong structuring effect on the European research system, in particular by encouraging junior researchers to pursue a research career. Training elements in this strand will be directed at researchers at the early stages (typically the first 4 years) of their research careers, such as those who are undertaking a doctoral degree, while the transfer of competencies and knowledge will involve more experienced researchers.

- Marie Curie Research Training Networks - These provide the means for research teams of recognised international stature to link up, in the context of a well-defined collaborative research project, in order to formulate and implement a structured training programme for researchers in a particular field of research. Networks will provide a cohesive, but flexible framework for the training and professional development of researchers, especially in the early stages of their research career. Networks also aim to achieve a critical mass of qualified researchers, especially in areas that are highly-specialised and/or fragmented; and to contribute to overcoming institutional and disciplinary boundaries, notably through the promotion of multidisciplinary research. They will also provide a straightforward and effective means to involve the less-favoured regions of the EU and Associated Countries in internationally-recognised European research co-operation. Partners will be given significant autonomy and flexibility in the detailed operation of the networks. The duration of a network will typically be 4 years, with associated fellowships of up to 3 years, including short-term stays.

- Marie Curie Host Fellowships for Early Stage Research Training - These will be targeted at higher education and research institutions, training centres and enterprises, with a view to reinforcing their training capability. The scheme will be directed at researchers in the early stages of their professional career. It will focus on the acquisition of specific scientific and technological competencies in research, as well as of complementary skills such as those relating to research management and ethics. Hosts will be selected on the basis of their area of specialisation in research training. The associated fellowships will allow for fellows' stays for up to a maximum duration of 3 years. The scheme will also work towards more co-ordinated approaches to training among the organisations concerned, particularly between those involved in international doctoral studies.

- Marie Curie Host Fellowships for the Transfer of Knowledge - These will be directed at European organisations (universities, research centres, enterprises, etc.) in need of developing new areas of competence, as well as at furthering the development of research capabilities in the less-favoured regions of the EU and Associated countries. Knowledge transfer fellowships will allow experienced researchers to be hosted at such organisations for the transfer of knowledge, research competencies and technology. Fellowships will have a maximum duration of 2 years.

- Marie Curie Conferences and Training Courses - These will enable junior researchers to benefit from the experience of leading researchers. Support will be given to specific training activities (including virtual ones) that highlight particular European achievements and interests. Two categories of measures are foreseen: the first concerns support for a coherent series of high-level conferences and/or training courses (summer schools, laboratory courses etc.) proposed by a single organiser, and covering a specific theme or several linked themes; the second involves support for the participation of junior researchers in large conferences selected for their specific training interest. Such activities would typically be for a few days, but could extend to a few weeks, for example in the case of summer schools.

ii) Individual-driven actions

This second strand of actions concerns the support to individual researchers, in response to Europe's particular needs in terms of acquisition and transfer of competencies in research. It also addresses the professional re-integration of European researchers who have benefited from the Marie Curie scheme, as well as the return to Europe of European researchers who have been abroad for longer periods. It involves a number of schemes organised according to the geographical origin and destination of the researcher. Participation in these schemes will be open to researchers with at least 4 years of research experience, including those in possession of a doctorate degree.

- Marie Curie Intra-European Fellowships - these will allow the most promising researchers from EU and Associated countries to undertake training through research in the European organisations most appropriate to their individual needs. The application will be made by the fellow in conjunction with the host organisation. The topic will be freely chosen by the researcher in collaboration with the host, with a view to completing or diversifying his/her expertise. These fellowships will have a duration of 1 to 2 years.

- Marie Curie Outgoing International Fellowships - These will be awarded to researchers from EU and Associated countries to work in established third country research centres, thereby widening their international experience in research. This scheme will require the submission of a coherent individual training programme, involving a first phase abroad, followed by a mandatory second phase in Europe.

- Marie Curie Incoming International Fellowships - These will aim at attracting high-level researchers and promising young researchers from third countries to work and undertake research training in Europe, with the view to developing mutually-beneficial research co-operation between Europe and third countries. In the case of emerging economies and developing countries, the scheme may include provision to assist fellows to return to their country of origin.

- Marie Curie Re-integration Grants - These will be directed at researchers from the EU and Associated countries who have just completed a Marie Curie fellowship of at least two years. It will consist of a lump sum in the form of a personal grant to be used within one year. It will be allocated to the fellow on the basis of the submission of a defined project, which will be evaluated on its own merits. The re-integration would not be restricted to the researcher's country of origin. A similar mechanism (but covering a period of re-integration of up to two years) will apply to European researchers who have carried out research outside Europe for at least 5 years.

iii) Excellence Promotion and Recognition

This third strand of actions will focus on the promotion and recognition of excellence in European research, thereby increasing its visibility and attractiveness. It will aim at promoting European research teams, especially in new and/or emerging areas of research, and at highlighting personal achievements of European researchers, with a view to supporting their further development and international recognition, while also promoting the diffusion of their work for the benefit of the scientific community.

- Marie Curie Excellence Grants - These aim at providing support to individual researchers or research teams of the highest level of excellence for the establishment or expansion of their teams, more particularly for leading edge or interdisciplinary research activities. The grant will cover a period of up to 4 years and will be awarded on the basis of a well-defined research programme.

- Marie Curie Excellence Awards - These aim at the public recognition of the excellence achieved by researchers who have in the past benefited from training and mobility support by the Community. Prize money will be awarded as a grant to be used for professional advancement, with the obligation to report within two years about the use made of the grant. Beneficiaries may propose themselves or be proposed by others.

- Marie Curie Chairs - These will be awarded for the purpose of making top-level appointments, in particular to attract world-class researchers and encourage them to resume their careers in Europe. Awards will normally have a duration of three years. This scheme may be developed in synergy with the host-driven actions.

Co-operation with Member States and Associated Countries

The Human Resources and Mobility activity will seek to co-finance initiatives which foster co-operation and create synergies with national and regional programmes where these coincide with the specific objectives of the schemes outlined above. Such co-operation will be established on the basis of relevant Community criteria, with a view to creating genuine access to these initiatives for all EU and Associated Country researchers, as well as promoting the adoption of mutually-recognised research training standards.

In terms of management of the activity, beyond the increased importance of host-driven actions, initiatives will be undertaken to reinforce co-operation with Member States and Associated Countries in the provision of 'proximity support' to researchers, which is a key element of any mobility scheme for researchers moving within or returning to Europe. This could be undertaken through the co-financing of existing and new structures, at national or regional level, with the aim of providing practical assistance to foreign researchers in matters (legal, administrative, familial or cultural) relating to their mobility.

A further aspect of this co-operation might concern a number of tasks associated with the management and follow up of individual fellowship contracts. This would require prior establishment of a clear demarcation of tasks and responsibilities in accordance with Community financial regulations and rules, and the undertaking of relevant cost/benefit analyses.

Internal, Framework Programme Co-operation

The role of the Human Resources and Mobility activity is to support research training and the development of research competencies. This does not preclude other activities within the new Framework Programme from incorporating similar elements. The Human Resources and Mobility activity will provide assistance with regard to the adoption of consistent criteria in relation to the evaluation, selection and monitoring of such actions, as well as the promotion of common approaches among the activities, with a view to ensuring coherence and developing possible synergies, and an equitable balance in the participation of men and women.

3. Research infrastructures

The ability of Europe's research teams to remain at the forefront of all fields of science and technology depends on their being supported by state-of-the-art infrastructures. The term "research infrastructures" refers to facilities and resources that provide essential services to the research community in both academic and industrial domains. Research infrastructures may be "single-sited" (single resource at a single location), "distributed" (a network of distributed resources, including infrastructures based on Grid-type architectures), or "virtual" (the service being provided electronically).

The overall objective of this activity is to promote the development of a fabric of research infrastructures of the highest quality and performance in Europe and their optimum use on a European scale based on the needs expressed by the research community. Specifically this will aim at:

- ensuring that European researchers may have access to the infrastructures they require to conduct their research, irrespective of the location of the infrastructure;

- providing support for a co-ordinated approach for the development of new research infrastructures and for the operation and enhancement of existing infrastructures, including where appropriate facilities of world-wide relevance not existing in Europe.

Where relevant, support for research infrastructures in this programme will be implemented in association with the thematic priorities of the Framework Programme and with the other available forms of support.

Five schemes for support will be implemented:

- Integrated Initiatives. The objective is to support the provision of essential services to the research community at European level. For this purpose the initiatives combine cooperation networks with one or more other specific activities, including for example transnational access and research activities to improve the performance of the infrastructure. The scheme will also encourage the bridging of gaps that may limit the potential for exploitation of research results by industry, including SME's. Integrated initiatives will be selected on the basis of a wide-scale but flexible scientific and technological programme of European dimension aiming, where appropriate, at the long-term sustainability of the programme.

- Communication Network Development. The objective of this scheme in support existing research infrastructures is to create a denser network between related initiatives, in particular by establishing a broadband communications network for all researchers in Europe and specific high performance Grids and test-beds.

- Transnational Access. The objective is to sponsor new opportunities for research teams (including individual researchers) to obtain access to individual major research infrastructures most appropriate for their work. Community financing will cover the necessary operating costs of providing access to such infrastructures for research teams working in Member States and Associated States other than the state where the operator of a given infrastructure is located.

- Design studies. The objective is to contribute, on a case-by-case basis, to feasibility studies and technical preparatory work for those new infrastructures to be undertaken by one or a number of Member States, which have a clear European dimension and interest.

- Development of new infrastructures. In appropriate circumstances, this scheme could contribute towards the development of a new infrastructure alongside with other funding agencies.

In general, funding provided for new or enhanced infrastructures will be limited to the minimum necessary to catalyse the activity; the major part of construction and operation, and the long-term sustainability of the infrastructures in question being assured by national and/or other sources of finance. Such funding would only be provided on the basis of a detailed justification, based on European added value, addressing the scientific, legal and financial dimensions of the proposed development. Feasibility studies and technical preparatory work should investigate the possibilities of combining funding with other sources of finance from the European Union (e.g. the European Investment Bank and the Structural Funds).

Broadband communication networks, which are highly relevant to the political goals set out by the European Research Area and the e-Europe initiative, should also be used as a means to enhance scientific co-operation with third countries.

Support for research infrastructures in this programme should, where relevant, take into account existing or future mechanisms for a co-ordinated approach to research infrastructures in Europe, as well as the scientific advice of existing European and international organisations (e.g. ESF). Accompanying measures under this programme may be implemented, where appropriate, to sustain these mechanisms.

4. Science and Society

Today, and even more in the knowledge-based society of tomorrow, science and technology have a ubiquitous presence throughout the economy and in everyday life. If they are to realise their full potential in securing a continually-increasing quality of life - in the broadest sense - to Europe's citizens, new relations and a more productive dialogue between the scientific community, industrialists, policy-makers and society at large will be needed.

Such a dialogue cannot be confined to the EU alone. It must be international in scope, taking full account of the enlargement perspective and the global context. Given the very broad range of issues and interactions that are implied in the relations between science and technology, on one hand, and the broader community, on the other, these considerations must be integrated within all areas of activity of the framework programme. The role of this specific activity is to develop the structural links between the institutions and activities concerned and provide a central focus, through common reference frameworks and the development of appropriate tools and approaches, to guide activities in this domain covered by the different parts of the framework programme.

It will be implemented by means of networks, benchmarking, exchange of best practices, developing and promoting awareness of methodologies, studies and the bringing together of national efforts. In specific cases, where appropriate, dedicated research will be supported.

i) Bringing research closer to society

The aim is to examine systematically the various components of "science and governance" in order to create conditions under which policy decisions are more effective in meeting society's needs, more soundly based in science and at the same take account of the concerns of civil society. This requires consideration of effective processes of dialogue on emerging scientific and technological issues ultimately having consequences for prospective policy development; developing appropriate means for creating scientific references and channelling scientific advice to policy makers; and equipping the latter with tools to assess and manage scientific uncertainty, risk and precaution.

- Science and governance: analysing and support to best practice; developing new consultation mechanisms to promote more productive involvement of civil society and relevant stakeholders in policy formulation and implementation, including the communication of scientific outputs necessary to decision taking in terms readily understandable to civil society and other stakeholders; monitoring activities concerning the functioning of policy-making processes to assess the interaction between experts, industry, civil society and policy-makers.

- Scientific advice and reference systems: exchange of experience and good practice; monitoring the production of scientific advice world-wide and how this advice is provided as input to decision; developing new and better methodologies for reliable and recognised reference systems; ensuring the smooth operation and effective use of the European Research Advisory Body and its sub-committees in order to provide scientific advice for the development of the European research area.

ii) Responsible research and application of science and technology

The aim is to ensure that rapidly advancing progress in science is in harmony with the ethical values of all Europeans. Activities will promote "responsible research" in Europe, in which the requirements for investigative freedom are better reconciled with social and environmental responsibilities in the development and application of science and technology, as well as the public dialogue, monitoring, and early warning, of ethical and social issues, and risks arising from new technological developments, for the benefit of national and international policy makers and other interested groups.

- Ethics: networking between existing ethics bodies and activities in Europe, and promotion of dialogue on ethics in research with other regions in the global context; awareness raising and training activities in ethics; co-ordination and development of codes of conduct for research activities and technological developments; research on ethics in relation to science, technology developments and their applications, for example, in relation to information society, nanotechnologies, human genetics and biomedical research and in food technologies.

- Uncertainty, risk, and implementing the precautionary principle: analysis and support to best practice in the application of the precautionary principle in different areas of policy making and in the assessment, management and communication of uncertainty and risk.

iii) Stepping up the science/society dialogue and women in science

Support for the responsible development of science and technology requires not only a continued dialogue between the relevant stakeholder, but also better public awareness of scientific and technological advances and their possible implications, and a wider understanding of scientific and innovation culture. There are also particular needs to stimulate young peoples' interest in science, to increase the attractiveness of scientific careers, and to make progress towards gender equality in research, which will also enhance human resources and improve levels of excellence in European research

- Public understanding: supporting awareness-raising events and the recognition of achievements in European research; analysis of the factors influencing public opinion, including the role of the media and science communicators; developing new ways of raising public awareness and knowledge; encourage comprehensive "stakeholder" debates and stimulate awareness for innovation in society.

- Young peoples' interest in scientific careers: initiatives to attract the younger generation to participate in the discussion on science and technology and their societal impact and to raise the S&T awareness among youth; support for the development of better approaches to science for girls and boys within and outside the formal education system, and for actions concerning a better understanding of the relative attractiveness and social aspects of taking science as a career.

- Women and Science: actions to stimulate the policy debate at national and regional level to mobilise woman scientists and boost the participation of the private sector; promoting the enhancement of the Gender Watch System and associated activities to promote gender equality throughout the framework programme; specific actions to develop a better understanding of the gender issue in science.

ANNEX II

INDICATIVE BREAKDOWN OF THE AMOUNT

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ANNEX III - MEANS FOR IMPLEMENTING THE PROGRAMME

In order to implement the specific programme, and in accordance with the Decisions of the European Parliament and of the Council concerning the multiannual Framework Programme 2002-2006 of the European Community for research, technological development and demonstration activities aimed at contributing towards the creation of the European Research Area (2002/.../EC) and with the rules for the participation of undertakings, research centres and universities and for the dissemination of research results (2002/.../EC), the Commission may use, across the whole field of science and technology:

- experimental projects relating to innovation aimed at experimenting with, validating and disseminating on a European scale new innovation concepts and methods in the area of "Research and innovation".

- specific targeted projects in order to carry out research or demonstration activities in the area of "Science and society".

- integrated initiatives relating to infrastructure, combining activities that are essential for strengthening and developing research infrastructures for the provision of services on a European scale, in the area of "Research infrastructures".

- mobility and training actions implementing certain Marie Curie activities such as research training networks, conferences and training courses and individual training fellowships in the area of "Human resources and mobility".

- specific coordination and support actions in order to achieve the objectives identified in all the areas of the programme.

- accompanying actions by way of additional measures to achieve the objectives of the programme or to prepare future activities in the context of the Community's research and technological development policy.

The Commission will evaluate the proposals in accordance with the evaluation criteria set out in the above mentioned Decisions in order to verify their relevance with regard to the objectives of the programme, their scientific and technological excellence, their Community added value and the participants' management capacity.

The Community contribution will be granted in accordance with the above mentioned decisions. In the case of participation of bodies from regions lagging in development, it may be possible to obtain complementary funding from the Structural Funds within the limits specified by the Community framework for state aid for research.

LEGISLATIVE FINANCIAL STATEMENT

Policy area(s): Research

Activity(ies): Research actions under the EC Treaty.

Title of action

Proposal for a Council Decision adopting a specific programme for research, technological development and demonstration activities aimed at "Structuring the European Research Area"

1. BUDGET LINE(S) + HEADING(S)

Subsection B6 6 Indirect Actions: these lines will be specified at the beginning of the 2003 budget procedure, taking into account the ABB nomenclature, which is being drawn up.

2. OVERALL FIGURES

2.1. Total allocation for action (Part B): EUR3 050 million for commitments

2.2. Period of application:

2002-2006

2.3. Overall multiannual estimate of expenditure:

a) Schedule of commitment appropriations/payment appropriations (financial intervention) (see point 6.1.1)

EUR million (to 3rd decimal place)

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b) Technical and administrative assistance and support expenditure (see point 6.1.2)

This budget category does not apply in this field.

c) Overall financial impact of human resources and other administrative expenditure (see points 7.2 and 7.3)

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2.4. Compatibility with the financial programming and the financial perspective

|X| Proposal compatible with the existing financial programming

| | This proposal will entail reprogramming of the relevant heading in the financial perspective.

| | This may entail application of the provisions of the Interinstitutional Agreement.

2.5 Financial impact on revenue

| | No financial implications (involves technical aspects regarding implementation of a measure)

|X| Financial impact - the effect on revenue is as follows:

Certain Associated States will contribute to the funding of the Specific Programme.

These association agreements are linked to a Framework Programme. Their renewal will be renegotiated following adoption of the new Framework Programme and it is therefore impossible to forecast the amount of revenue in question.

In accordance with Article 27 of the Financial Regulation, certain revenue may be reused.

3. BUDGET CHARACTERISTICS

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4. LEGAL BASIS

Article 166 of the EC Treaty.

Proposal for a Decision of the European Parliament and of the Council adopting the framework programme 2002-2006 of the European Community for research, technological development and demonstration activities aimed at contributing towards the creation of the European Research Area.

5. DESCRIPTION AND GROUNDS

5.1. Need for Community intervention

5.1.1 Objectives pursued

As recognised at the highest political level by the European Council in Lisbon, Feira, Nice and again recently in Stockholm, research is a central component of the knowledge-based economy and society developing worldwide. The objective set for the EU in Lisbon was "to become the most competitive and dynamic knowledge-based economy in the world, capable of sustainable economic growth, more and better jobs and greater social cohesion" over the next decade. More than ever, research is proving to be one of the main driving forces for economic and social progress, a key factor in business competitiveness, employment and the quality of life. In addition, science and technology are key elements in the policy-making process at both EU and national level.

However, Europe still has structural weaknesses where research is concerned. These can be summed up in four main points:

I. Insufficient and dispersed investment in research and technological development and more generally in knowledge (RTD, education and software), with the result that we are lagging behind our competitors. In 1999, the EU invested EUR 76 billion less than the US in research and development. It is now lagging behind its competitors in terms of research spending as a proportion of GDP (in 1999, the figure was 1.9% for the EU compared with 2.6% for the US and 2.9% for Japan [16]). In 1999, the US invested some 9% in knowledge, ahead of the EU (7.6%) and Japan (6.9%). And the gap is continuing to widen.

[16] 1998 figure.

II. Insufficient human resources in research. Researchers represent 5.3/1000 of the workforce in the EU (1998), 7.4/1000 in the US (1993) and 8.9/1000 in Japan (1998) where there are twice as many researchers in industry. Direct public spending on higher education corresponds to 0.9% of GDP in the EU, 1.4% in the US and 0.5% in Japan (1997).

III. A limited capacity to translate scientific breakthroughs into innovative and competitive products and services, despite high-quality scientific production. The figures for the number of patents granted by the European, American and Japanese patents offices per million inhabitants are 32 in the EU, 49 in the US and 88 in Japan. In 1998, the trade balance for high-tech products was a EUR28 billion deficit for the EU (a trend confirmed throughout the decade), compared with a EUR8 billion deficits for the US and an EUR 39 billion surplus for Japan. Risk capital investment in the advanced sectors corresponds to 80% in the US and, while it is on the increase, only 26 % in the EU and 23% in Japan.

IV. A fragmentation of research policies in Europe. The EU has not yet adopted a fully-fledged research policy. The 15 national policies co-exist side by side and alongside the Community framework programme without adequate coordination between them to achieve efficient organisation and exploitation. This lack of coordination also affects the establishment and efficient exploitation of research infrastructures.

To alleviate this situation, the Commission has proposed and Council and Parliament have endorsed the creation of a "European Research Area". Bringing it about will necessarily be the product of a joint effort by the Community, the Member States and research stakeholders. The Community research framework programmes (2002-2006) and the specific programmes will make a contribution to this in particular through the significant leverage effect that they can have for integrating, coordinating and structuring research in the EU and strengthening the foundations of the European Research Area.

A structural change in the EU's S&T fabric to remedy the above mentioned weaknesses will need resources commensurate with the objective. The Commission has proposed funding for the framework programme totalling EUR 17.5 billion, corresponding to the previous level of funding plus inflation and growth (but still representing only 5 to 6% of public spending on RTD). The Commission takes the view that this sort of amount could have a significant effect on the research system as such, improve at least some of the overall research indicators, and have a significant effect in the priority areas of the framework programme which will generate growth in the EU. In overall terms, this level of funding will make it possible to maintain the Community's RTD effort expressed as percentage of GDP at its present level during the period 2003-2006.

The plan is to implement the framework programmes by five specific programmes, three of which come under the European Community Treaty and two under the European Atomic Energy (Euratom) Treaty. Each specific programme is identified according to the nature of the instruments deployed, reflecting the objectives and organisation of the framework programme:

- A programme on "Integrating and strengthening the European Research Area" comprising the indirect actions proposed under the heading "Integrating research" and under the heading "Strengthening the foundations of the European Research Area", thus bring together research and coordination activities.

- A programme on "Structuring the European Research Area", comprising horizontal, support and structuring activities.

- Two "Joint Research Centre (JRC)" programmes comprising the direct actions carried out by the JRC in the non-nuclear and nuclear fields respectively.

- A "Nuclear energy" programme comprising the indirect actions carried out in the field of nuclear energy.

The objectives of the specific programme "Structuring the European Research Area" are set out below by action areas, together with their justification and the European added value that they can provide.

1. Research and innovation

The objective of these actions is to promote technological innovation, the exploitation of research results, the transfer of knowledge and technologies and the setting-up of technology businesses within the Community and all its regions.

Justification and European added value

- Need to reduce performance gaps between European regions

- Need to promote policies and development strategies for innovation

- Need for participants in Community research actions to have information and specialised services on a European scale

- At present, information about economic and technological trends is lacking or does not have a sufficiently high profile

- Need to promote cooperation between players with additional know-how in order to innovate.

2. Human resources and mobility

The objective of the activities carried out under this heading is to provide support for the development of abundant and world-class human resources in all the regions of the Community, by promoting trans-national mobility for training purposes, the development of expertise or the transfer of knowledge in particular between different sectors; support for the development of scientific excellence; and helping to make Europe more attractive to third-country researchers. This should be achieved by attempting to make the most of the potential of all components of the population, and more particularly women, by taking appropriate measures to this end.

Justification and European added value

- Low proportion of European workforce in R&D (5.3 in every thousand in 1998) compared to US (7.4 in 1993) and Japan (8.9 in 1998).

- Brain drain to the US of European scientists, with stay rates of up to 50 % (in 1998) after completion of a doctoral degree in the US.

- Low take up in 1998 of scientific studies and academic research assignments, with 23% of people aged 20 to 29 years in the EU in higher education, compared to 39% in the USA and 21% in Japan.

- Rigidity of academic careers and more attractive career prospects in industry.

- Differing national and regional laws and practices affecting the mobility of researchers.

3. Research infrastructures

The objective of the activities carried out under this heading is to help establish a fabric of research infrastructures at the highest level in Europe and to promote their optimum use on a European scale.

Justification and European added value

- Obstacles remain to transnational access to facilities.

- The potential of electronic communications networks is not yet fully exploited.

- Multinational funding agreements are difficult to establish.

- Technological development related to infrastructures is handicapped by a lack of critical mass.

4. Science and society

The objective of the actions carried out under this heading is to encourage the development in Europe of harmonious relations between science and society and openness to innovation as a result of establishing new relationships and an informed dialogue between researchers, industrialists, policy makers and citizens.

Justification and European added value

- Recent events in Europe, such as BSE, GMOs, have resulted in a loss of public confidence in science and technology

- Policy-makers have required rapid and precise answers to complex scientific issues, usually transcending geographical boundaries

- Traditional methods of education appear to be failing

- Women are widely underrepresented in scientific research (for instance, women represent 50% of the graduates in Europe, but account for only 10% of the full professors).

5.1.2 Measures taken in connection with ex ante evaluation

An ex-ante evaluation was carried out by the Commission services when preparing the specific programme proposals. Its results reflect in particular:

- the recommendations of the five-year assessment of the framework programmes and specific programmes carried out by independent experts in the course of the year 2000;

- the Commission's mid-term review of the fifth framework programme (1998-2002) presented in COM(2000)612 of 4 October 2000 and detailed in Commission staff paper SEC(2000)1780 of 23 October 2000;

- wide-ranging consultations among the protagonists relating to the two communications on the European Research Area in the course of the year 2000 [17] and the framework programme proposal at the beginning of 2001;

[17] COM (2000) 612 of 4 October 2000 COM (2000) 6 of 18 January 2000

- a series of internal and external Commission studies relating to economic, political and foresight areas and the impact of RTD activities.

The results of the ex-ante evaluation carried out are reflected in particular in the choices made with regard to the structure of the programmes, the objectives and priorities and the implementing instruments.

The objectives and priorities were selected in accordance with the rigorous application of the criterion of European added value.

This covers the following aspects applied to the priority themes and activities selected, the justification and European added value of which are described in greater detail in point 5.1. and the expected results in point 5.2.

- Importance of collaboration in economic terms (economies of scale) and as a result of its beneficial effects on the private research effort and industrial competitiveness

- Maintenance or development of the position of the EU in RTD areas strategic for the EU

- Need to combine the complementary expertise present in the different countries, more particularly in the face of interdisciplinary problems and the need to have recourse to comparative studies on a European scale

- Links with the priority interests of the EU as well as with Community legislation and policies

- The necessarily transnational nature of the research as the result of the scale on which the problems arise or for scientific reasons.

With regard to the implementing instruments, new instruments, which by their nature can only be implemented at Community level, have been designed to contribute at EU level to:

- promoting the interaction between research and innovation

- developing human resources and reinforcing mobility

- supporting research infrastructures

- developing harmonious relations between science and society.

These instruments and the corresponding objectives are described in point 5.2.

5.1.3 Measures taken following ex post evaluation

The recommendations of the five-year assessment of the framework programmes and the specific programmes carried out in 2000 have been taken into account in preparing the specific programme proposals, in particular those concerning:

- the need to make up for Europe's trailing position in the field of RTD compared with its competitors;

- the need for complementarity and coherence between national and Community RTD policies and the essential role of the Commission in achieving this objective;

- the beneficial impact of the framework programme which "fills a gap in Europe by enabling researchers in universities and in industry to carry out applied work together";

- the need to lighten the procedures of the 1998-2002 programme and the need to "rethink the structures and procedures for managing the framework programme";

- placing Community research activities in the broader context of a genuine European research policy;

- reinforcing the concentration of the programmes;

- continuing with the research needed to achieve the objectives of Community policies;

- the desired move towards an adapted range of instruments that are more flexible, taking account of all the possibilities offered by the Treaty.

In addition, the mid-term review of the fifth framework programme has resulted in particular in adjustments to the annual work programmes for the specific programmes, aimed at concentrating efforts to a greater extent and launching pilot projects for the measures envisaged for the next framework programme (networks, clusters, industrial platforms, larger-scale projects, etc.).

5.2. Actions envisaged and means of budget intervention

The actions envisaged for the specific programme on "Structuring the European Research Area" are set out below presented by detailed action areas. This presentation makes it possible to highlight the estimated results expected, the contributions to the overall objectives of the framework programme or of the Community or potential performance parameters associated with these. These indications are intended as yardsticks and not definitively adopted goals.

A correspondence between the action areas and the types of instruments used is given further on in the form of a table.

1. Research and innovation

i) Networking the players and encouraging interaction between them

ii) Encouraging transregional cooperation

iii) Experimenting with new tools and approaches

iv) Putting services in place and consolidating them

v) Stepping up economic and technological intelligence

vi) Analysing and evaluating innovation in the Community research projects

Expected results, contributions to overall objectives or potential performance parameters

- Increasing the number of business "start-ups"

- Increasing the amount of risk capital invested in innovative businesses

- Increasing the number of collaborations established between regions and with the associated countries

- Increasing the number of users and the number of transactions involving specifically European information services

- Doubling the number of members of networks working with SMEs.

2. Human resources and mobility

i) Host-driven actions

(Marie Curie Research Training Networks, Marie Curie Host Fellowships for Early Stage Research Training, Marie Curie Host Fellowships for the Transfer of Knowledge, Marie Curie Conferences and Training Courses)

ii) Individual-driven actions

(Marie Curie Intra-European Fellowships, Marie Curie Outgoing International Fellowships, Marie Curie Incoming International Fellowships, Marie Curie Re-integration Grants)

iii) Excellence Promotion and Recognition

(Marie Curie Excellence Grants, Marie Curie Excellence Awards, Marie Curie Chairs)

(Cooperation with Member States and Associated Countries, Internal Framework Programme Co-operation)

Expected results, contributions to overall objectives or potential performance parameters

- Evaluation of the number of international collaborative projects and individual moves, countries involved, length of stays, age of the researchers.

- Evaluation of the number of researchers/researcher-months, age profile, disciplines and types of training.

- Increase in the number of permanent positions following mobility

- Promotion of the return to Europe of European scientists

- Increase in the number of researchers/teams awarded.

3. Research infrastructures

Integrated Initiatives,

Communication network development,

Transnational Access,

Design studies,

Development of new infrastructures.

Expected results, contributions to overall objectives or potential performance parameters

- Provision of access to, or services from, around 100 infrastructures for on average about 8,000 researchers per EUR 100 million of financing

- Promotion of co-operation among on average about 100 participants in 10 networks or research projects per EUR 100 million of financing.

- Increase of the number of new techniques, technologies or electronic networks, which will significantly enhance the provision of services by relevant infrastructures in their fields.

4. Science and society

i) Bringing research closer to society

(Science and governance, Scientific advice and reference systems)

ii) Responsible development and application of science and technology

(Ethics, Uncertainty, risk and implementing the precautionary principle)

iii) Stepping up the science/society dialogue and women in science

(Public understanding, Young peoples' interest in scientific careers, Women and Science)

Expected results, contributions to overall objectives or potential performance parameters

- Guidelines for science and governance, and scientific reference systems, aimed at better connection between the scientific community, policy-makers and civil society.

- Mapping of the scientific advice structures in the EU and world-wide

- Carrying out ethical reviews in order to ensure the adherence to ethical principals in Community research activities, and developing codes of conduct

- To reach the objective of 40% for women's participation in assemblies and panels.

The means of intervention and financial participation under the framework programme will be as follows, according to the objectives:

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(1) Accompanying actions can also be implemented throughout the specific programme.

The Community's budgetary intervention is aimed at businesses (and in particular SMEs), research centres, universities and national or European organisations, that fund research activities. The latter may also act as intermediaries for the Community's budgetary intervention.

5.3. Means of implementation

The Commission will ensure the implementation of the actions. In certain duly justified cases, it may call upon external bodies for assistance.

6. FINANCIAL IMPACT

6.1. Total financial impact on Part B - (over the entire programming period)

For the record, the reference allocation for the Framework Programme of the European Community is EUR 16 275 million. The total amount for the Framework Programmes 2002-2006 is EUR 17 500 million.

6.1.1 Financial intervention: Commitments in EURmilllion (to the third decimal place)

Breakdown by objective

// Total

Structuring the European research area // 3 050

1) Research and innovation // 300

2) Human resources // 1 800

3) Research infrastructure // 900

4) Science and society // 50

TOTAL // 3 050

An annual schedule for each of these objectives is not significant at this level. It could only be defined as being strictly proportional to that for the entire specific programme, itself in line with that of the framework programme. The annual internal breakdown will be established subsequently within the work programmes.

6.1.2 Technical and administrative assistance, support expenditure and IT expenditure (Commitment appropriations)

This budget category does not apply in this field.

6.2. Calculation of costs by measure envisaged in Part B (over the entire programming period)

For the indirect actions of the Fifth RTD Framework Programme of the European Community (1998-2002), the annual volume is in the order of 3500 new contracts signed (all categories included), for an annual budget of EUR 3000 million.

For the indirect actions of the Framework Programme 2002-2006, the annual budget will be in the order of EUR 3700 million, an increase in real terms by 13 %.

Nevertheless, as set out in point 5.1.2, new instruments have been designed for the implementation of this new Framework Programme

Compared to previous Framework Programmes, these instruments go beyond merely scientific projects and introduce the concept of integration and structuring of research, in particular by critical mass and networking of competences and resources in identified areas.

As concerns the management of the Framework Programme 2002-2006, this concept of critical mass will be reflected in a significant increase of the mean financial contribution to projects and is expected to result in a substantial reduction of the number of contracts concluded annually.

7. IMPACT ON STAFF AND ADMINISTRATIVE EXPENDITURE

Determined to fundamentally modify the implementation of the Framework Programme, the Commission proposes to lower the ceiling for human resources and other administrative expenditure to 5.5 % for the two indirect, non-nuclear research programmes.

Currently in the parts of the 5th Framework Programme related to indirect, non-nuclear research, the overall ceiling for human resources and other administrative expenditure is 7.0%.

On present current trends, actual expenditure under the 5th Framework Programme is likely to remain close to this ceiling, perhaps a little below.

Assuming there were to be no change in the methods of implementing the Framework Programme, and given the need to allow for some margin in this category of expenditure, the Commission would have no reason to depart from the overall ceiling of 7%. This is largely because the proposed budget for the next programme increases in line with inflation, allowing for a little more in line with growth in the economy.

Any reduction in the overall ceiling could only be achieved on the assumption of significant gains in productivity, including significant changes in the management of the programme. A relatively restrictive set of assumptions would include :

- A freeze on the total number of statutory staff at its 2002 level of 1654 posts, assuming productivity gains of 2% per annum to compensate for the increase in the real volume of the programme

- An inflation rate of 2% a year, even though staff costs tend to rise at a slightly higher rate

- A freeze in expenditure on external personnel at its 2002 level

The above scenario would allow the Commission to propose a reduction in the overall ceiling to about 6.3 %.

The Commission is, however, prepared to commit itself to a much more significant reduction in the ceiling from 7.0% to 5.5%. This would allow an important amount of additional resources, roughly EUR 230 million, to be allocated directly to research projects.

This requires equitable efforts in productivity gains in all research activities. The ceiling of 5.5% proposed for administrative expenditure is a global one, covering the specific programmes 'Integrating and Strengthening the European Research Area' and 'Structuring the European Research Area' as a whole. In implementing these programmes, the Commission will ensure an appropriate share of administrative expenditure between the services responsible for managing research activities. This share will take account of the overall budget to be managed, the intensity of the use of the three new instruments, the labour-intensiveness and the latest technological developments of the activities at the various stages of their life-cycle, including their length, and the need to ensure effective management of the contracts committed under previous Framework Programmes.

The main factor that would allow this to be achieved is the introduction on a widespread scale of the new instruments and means of implementation proposed in the next Framework Programme. These would allow net reductions in the costs of administering the programme.

In other terms, a ceiling of 5.5 % expresses the determination of the Commission to fundamentally modify the implementation of the Framework Programme.

- It is useful to recall that even if the new instruments are used fully in line with the Commission's proposal, their impact on administrative expenditure will be gradual. During the 2003-2006 period, an important part of the administrative activities undertaken by the Commission will still be to implement and conclude previous Framework Programmes.

The average duration of contracts for indirect research being four years, , some 13000 open contracts with a financial volume of EUR 6600 million could be expected at the end of the 5th FP.

The ceiling of 5.5 % for the human and administrative resources for indirect, non-nuclear programmes will therefore require exploiting all the potential of the new management approach to the Framework Programme:

- Full use would need to be made of the new instruments to reduce the number of individual projects and contracts to be administered by the Commission.

- Their management will need to be largely simplified and decentralised.

- All possibilities will need to be exploited to externalise technical support activities and certain aspects of the management of specific categories of activities, whenever this reduces overall administrative expenditure.

It requires also efficient programme and budget structures and this reduced 5.5% ceiling should apply for the total of the two indirect, non-nuclear research programmes.

This proposal is critically dependent on the introduction of the new instruments in line with the Commission's proposal. Any revision of this will imply a change in the ceiling for administrative costs.

7.1. Impact on human resources

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There is a specific establishment plan for the indirect research actions comprising a total of 954 A posts, 273 B posts and 427 C posts, giving a total of 1654 posts (EC and EURATOM, including SAB 3/2001).

To this establishment plan should be added 166 operating budget posts with no financial impact on the budget for these programmes, under the heading of participation in the formulation and implementation of research policy.

7.2 Overall financial impact of human resources

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The amounts correspond to total expenditure for the duration of the programme.

7.3 Other administrative expenditure deriving from the action

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The amounts correspond to total expenditure for the action for the four years of implementation of this specific programme, i.e. total annual expenditure of EUR42.000 million.

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8. FOLLOW-UP AND EVALUATION

8.1 Follow-up arrangements

The specific programmes are designed to help bring about the European Research Area and they will be implemented in parallel with and in close collaboration with other Community and national activities in pursuit of the same objectives. The very nature of research and the different types of actions at different levels make it difficult to determine causes and effects, and monitoring and evaluating the result and impact are complex.

Based on the experience of the earlier programmes and methodological studies in progress, a series of instruments has already been or is being finalised in order to develop the objectives and monitor and evaluate the results and impact of the framework programme and programmes implementing it, as well as the activities relating to bringing about the ERA. The Commission will take stock of the development of these instruments in good time before the programmes are implemented.

By these means, a structured system for collection of information and statistics will be progressively put in place.

Within this context general indicators specifically adapted to the framework programme will be developed, to make it possible to evaluate in particular the contributions of the programmes in relation to the challenges facing the EU identified in point 5.1 (Investment in RTD and in knowledge, overall and in the priority fields for the EU, human RTD resources, exploitation of RTD results, coherence of national and Community research policies and with regard to research infrastructures).

In addition, more specific indicators will be identified for the different objectives of the programmes; relating in particular to the production, management and networking, exploitation and impact of the knowledge arising from the activities carried out under the programmes. First thoughts in this connection are already indicated in point 5.2 under the heading of results expected, contributions to overall objectives or potential performance parameters.

8.2 Arrangements and schedule for the planned evaluation

- Annual monitoring: The Commission will, where appropriate by calling upon suitable expertise, continuously monitor the implementation of the Framework Programme and the specific programmes in the light of the objectives set. It will assess, in particular, whether the objectives, priorities, instruments, financial resources and management are still appropriate to the changing situation.

The objective is to step up and improve the systematic collection, coherence and quality of the basic information, in order to allow efficient analysis and monitoring as well as a substantial contribution to the five-year assessment. In order to make Community research managers more aware of issues relating to the monitoring of the implementation and the results and the impact of the programmes, it is also planned to draw up a joint self-assessment format. In addition, measures will be taken to ensure greater coherence between the monitoring of the framework programme, the specific programmes and progress with the European Research Area.

Annual report: Progress with implementing the Framework Programme and the specific programmes will be published in the annual report submitted to the European Parliament and the Council pursuant to Article 173 of the Treaty. It will set out in particular the results of the annual monitoring, a description of the activities carried out in the field of research and technological development, realisation of the European Research Area and dissemination of results during the preceding year, and the work programme for the current year.

- Five-year assessment: Before submitting its proposal for the next Framework Programme and the specific programmes, the Commission will have an assessment carried out by independent high-level experts of the implementation of Community activities during the five years preceding that assessment, the achievement of the objectives and the impact of the activities in the light of the objectives applicable to the periods in question. The Commission will communicate the conclusions of this assessment, accompanied by its observations, to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions.

9. ANTI-FRAUD MEASURES

By submitting reports which may give rise to the consolidation of revenue in the participants' accounts, the financial coordinator should make all the financial documentation available to the Commission to enable it to carry out its financial audits, indicating the timetable and the consolidation of the participants' accounts.

Where appropriate, the Commission will carry out such financial audits, in particular if it has reasons to doubt the realistic nature of the accounts vis-à-vis the progress of work described in the activity reports.

The Community's financial audits will be carried out either by its own staff or by accounting experts approved according to the law of the participant audited. The Community will chose the latter freely, while avoiding any risks of conflicts of interest which might be indicated to it by the participant subject to the audit.

In addition, the Commission will make sure in carrying out the research activities, that the financial interests of the European Communities are protected by effective checks and, in case of detected irregularities, measures as well as deterrent and proportionate sanctions.

In order to achieve this aim, rules on checks, measures and sanctions, with references to the Regulations No 2988/95,02185/96, 1073/99 and 1074/99 will be taken up in all legal instruments used in the implementation of the programmes, including the specific contracts and the model contracts.

In particular, the following points will have to be provided for in the contracts :

- the introduction of specific contractual clauses to protect the financial interests of the EC in carrying out checks and controls in relation to the awards ;

- the participation of administrative checks in the field of fraud-fighting, in accordance with Regulations Nos 2185/96, 1073/99 and 1074/99 ;

- the application of administrative sanctions for all intentional or negligent irregularities in the implementation of the contracts, in accordance with the framework Regulation No 2988/95, including a black listing mechanism ;

- the fact that possible recovery orders in case of irregularities and fraud be enforceable according to Article 256 of the EC Treaty.