1999/173/EC: Council Decision of 25 January 1999 adopting a specific programme for research, technological development and demonstration on improving the human research potential and the socioeconomic knowledge base (1998 to 2002)
Date: 1999-01-25
Institutions: Council of the European Union
Subjects: EU programme, research programme, research staff, socioeconomic conditions, technological change, vocational training

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COUNCIL DECISION

of 25 January 1999

adopting a specific programme for research, technological development and demonstration
on improving the human research potential and the socioeconomic knowledge base (1998
to 2002)

(1999/173/EC)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular Article 130i(4) thereof,

Having
regard
Commission (1),

to

the

proposal

from the

Having regard to the opinion of
Parliament (2),

the European

Having regard to the opinion of the Economic and
Social Committee (3),

of

fifth

framework

programme

(1) Whereas by Decision No 182/1999/EC (4), the
European Parliament and the Council adopted
the
the
European Community (hereinafter referred to as
the fifth framework programme) for research,
technological development and demonstration
(hereinafter
activities
for the period 1998 to 20002 setting out the
general outlines and scientific and technological
objectives of the activities to be carried out in
improving the human research
the field of
potential and the socioeconomic knowledge base;

referred to as RTD)

the

framework
through

programme
specific

(2) Whereas Article 130i(3) of the Treaty stipulates
shall
be
that
programmes
implemented
developed within each activity under
the
framework programme, and that each specific
programme shall define the detailed rules for
implementing it, fix its duration and provide for
the means deemed necessary;

(1) OJ C 260, 18.8.1998, p. 87.
(2) Opinion delivered on 15 December 1998 (not yet

published in the Official Journal).

(3) OJ C 407, 28.12.1998, p. 123.
(4) OJ L 26, 1.2.1999, p. 1.

(3) Whereas,

research,

technological development

in accordance with Article 4(2) of
the European
Decision No 1110/94/EC of
Parliament and of the Council of 26 April 1994
concerning the fourth framework programme of
the European Community activities in the field
of
and
demonstration (1994 to 1998) (5) and Article 4(2)
of
specific
programmes implementing the fourth framework
programme, the Commission has arranged for an
external assessment to be conducted which it has
the
transmitted to the European Parliament,
Council,
the Economic and Social Committee
and the Committee of the Regions together with
its conclusions and comments;

the Council Decisions on the

(4) Whereas, in accordance with Article 130j of the
Treaty, Council Decision
1999/65/EC of
22 December 1998 concerning the rules for the
participation of undertakings, research centres
and universities and for the dissemination of
research results for the implementation of the
the European
fifth framework programme of
(hereinafter
Community
for participation
referred to as
rules
to this
and dissemination’) applies
specific
programme; whereas
rules allow the
these
participation of the Joint Research Centre in the
specific
covered
indirect
programme;

(1998 to 2002) (6)

actions

(cid:28)the

this

by

(5) Whereas, for the purpose of implementing this
programme, in addition to cooperation covered
by the Agreement on the European Economic
Area or by an Association Agreement, it may be
appropriate
international
engage
cooperation activities, in particular on the basis
of Article 130m of
the Treaty, with third
countries or international organisations;

to

in

(6) Whereas implementation of this programme will
also comprise activities and mechanisms aimed
stimulating, disseminating and exploiting
at
in particular vis-a` -vis small and
RTD results,
medium-sized enterprises (SMEs);

(5) OJ L 126, 18.5.1994, p. 1. Decision as last amended by

Decision No 2535/97/EC (OJ L 347, 18.12.1997, p. 1).

(6) OJ L 26, 1.2.1999, p. 46.

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it

that

is
and

important
user

the scientific,
(7) Whereas
industrial
should
contribute substantially to the definition of
activities
to be undertaken and should be
involved, as appropriate, in the implementation
of this programme;

communities

(8) Whereas

fifth
research activities under
framework programme should also be geared
towards innovation in order to contribute, inter
alia, to the objectives of the first action plan for
innovation;

the

(9) Whereas the improvement of human potential is
an essential
enhancement of
competitiveness, innovation and employment in
the Community;

in the

factor

(10) Whereas special emphasis should be placed on

encouraging the participation of SMEs;

knowledge base (hereinafter referred to as the specific
programme) is hereby adopted for the period from
25 January 1999 to 31 December 2002.

Article 2

In accordance with Annex III

to the fifth
1.
framework programme, the amount deemed necessary
for carrying out the specific programme is EUR 1 280
million,
including a maximum of 6,55 % for the
Commission’s administrative expenditure.

An indicative breakdown of this amount is given in
Annex I.

2. Of the amount in paragraph 1:

— EUR 293 million is for the period 1998 to 1999,

(11) Whereas the equal opportunities policy of the
Community must be taken into account in the
implementation of the programme;

and

(12) Whereas efficient and transparent management
contributes to a more effective and user-friendly
programme;

(13) Whereas administrative expenditure should be
included in the Community budget
in a
transparent fashion;

— EUR 987 million is for the period 2000 to 2002.

In the case referred to in Article 2(1)(c) of the fifth
framework programme, the Council shall adapt the
latter figure in accordance with Article 2(1)(c), second
indent of the fifth framework programme. Pending a
decision by the Council, this specific programme shall
not be implemented beyond the provision of the first
indent.

(14) Whereas the implementation of this programme
should be monitored with a view to adapting it,
where appropriate, to scientific and technological
developments; whereas
there
should also be an assessment of progress with
the programme by independent experts;

in due

course

(15) Whereas the Scientific and Technical Research
Committee has been consulted on the scientific
and
specific
content
programmes,

technological

the

of

HAS ADOPTED THIS DECISION:

Article 1

In accordance with Article 3(1) of the fifth framework
programme, the specific programme on improving the
human research potential and the socioeconomic

The budgetary authority shall,

3.
in compliance
with the scientific and technological objectives and
priorities
the
laid down in this Decision,
appropriations for each financial year taking into
account
resources within the
multiannual financial perspective.

the availability of

set

Article 3

the

The

general

outlines,

and
1.
technological objectives and the priorities
for the
specific programme are set out in Annex II. They are
consistent with the principles and the three categories
of selection criteria indicated in Annex I to the fifth
framework programme.

scientific

In accordance with these principles and criteria
2.
the selection criteria indicated in Article 10 of the
rules for participation and dissemination shall be
applied for the selection of the RTD activities to be
carried out.

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Selection criteria specific to this programme are given
in Annex IV.

(b) the indicative timetable for the implementation of

the specific programme;

these criteria shall be complied with in the
All
implementation of the programme, including the work
programme referred to in Article 5(1), although they
may be weighted differently.

(c) the coordination arrangements set out in Annex III
and arrangements to secure the objectives, related
to innovation and the participation of SMEs,
of
the fifth framework
programme;

the third activity of

The rules for participation and dissemination

3.
shall apply to the specific programme.

(d) where necessary,

the selection criteria and the
arrangements for applying them for each type of
indirect RTD action.

4.
The detailed rules for financial participation by
the Community in the specific programme are those
referred to in Article 4 of
the fifth framework
programme.

indirect RTD actions

The
specific
programme are defined in Annexes II and IV to the
fifth framework programme.

under

the

Specific rules for implementing the programme are set
out in Annex III to this Decision.

Article 4

In the light of the criteria referred to in Article 3, and
the
and
priorities set out in Annex II, the Commission:

technological

objectives

scientific

and

(a) shall monitor, with appropriate assistance from
independent external experts, the implementation
of the specific programme and, where appopriate,
submit proposals to the Council for adapting it, in
accordance with Article
fifth
framework programme;

5(1)

the

of

in Article 5(2) of

(b) shall arrange for the external assessment provided
fifth framework
conducted concerning the
in the fields covered by

for
programme
activities carried out
the specific programme.

to be

the

The work programme shall

2.
take account of
relevant interests, in particular the scientific, industrial
and user communities. It shall serve as a basis for
implementing the indirect RTD actions according to
the procedures set out in the rules for participation
and dissemination.

The work programme shall be updated where
3.
appropriate and be made available by the Commission
to all
in a user-friendly form,
including in electronic form.

interested parties

Article 6

The Commission shall be responsible for the

1.
implementation of this specific programme.

The procedure laid down in Article 7 shall apply

2.
for the adoption of the following measures:

— the drawing-up and updating of

the work
programme referred to in Article 5(1), including
regarding the content of calls for proposals,

— approval of RTD actions proposed for funding,
including participation by entities
from third
the
countries, where the estimated amount of
Community contribution under this programme is
equal to or more than EUR 0,3 million,

— the drawing-up of the terms of reference for the
external assessment provided for in Article 5(2) of
the fifth framework programme,

Article 5

— any adjustment to the indicative breakdown of the

amount as set out in Annex I.

The Commission shall draw up a work

1.
programme specifiying:

Article 7

(a) in greater detail, the objectives and RTD priorities

of Annex II;

The Commission

1.
a
programme committee (hereinafter referred to as (cid:28)the

assisted

shall

by

be

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composed of

committee’)
the
Member States and chaired by the representative of
the Commission.

representatives of

implementation of the specific programme, and shall
in particular provide it with information about the
progress of all RTD actions
this
programme.

funded under

In the cases referred to in Article 6(2),
the Commission shall submit

the
2.
representative of
to
the committee a draft of measures to be taken. The
committee shall deliver
its opinion on the draft
measures referred to above within a time limit which
the Chairman may lay down according to the urgency
of the matter. The opinion shall be delivered by the
majority laid down in Article 148(2) of the Treaty in
the case of decisions which the Council is required to
adopt on a proposal from the Commission. The votes
of the representatives of the Member States within the
committee shall be weighted in the manner set out in
that Article. The Chairman shall not vote.

3(a) The Commission shall adopt

the measures
they are in accordance with the

envisaged if
opinion of the committee.

(b) If the measures envisaged are not in accordance
the committee, or if no
with the opinion of
opinion is delivered,
the Commission shall,
without delay, submit to the Council a proposal
relating to the measures to be taken. The Council
shall act by a qualified majority.

If, on expiry of a period of nine weeks from the
referral of the matter to the Council, the Council
has not acted, the proposed measures shall be
adopted by the Commission.

4.
committee

The Commission shall

of

the

overall

regularly inform the
the

progress

of

be

composed of

committee will

supported
representatives

a
5.
The
subcommittee
from
Member States. Its task will be to provide expert
advice both on the implementation of socioeconomic
research in this programme as well as to provide an
overview of socioeconomic research across the whole
of the framework programme.

by

Article 8

In accordance with Article 5(4) of the fifth framework
programme, the Commission shall regularly inform
the
the Council and the European Parliament of
overall progress of
the
implementation of
the
programme, including on the participation of SMEs
and the simplification of admininistrative procedures.

Article 9

This Decision is addressed to the Member States.

Done at Brussels, 25 January 1999.

For the Council

The President

J. FISCHER

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ANNEX I

INDICATIVE BREAKDOWN OF THE AMOUNT DEEMED NECESSARY

Type of activity

— Supporting training and mobility of researchers

— Enhancing access to research infrastructures

— Promoting scientific and technological excellence

— Key action: improving the socioeconomic knowledge base

— Support for the development of scientific and technology policies in

Europe

(million EUR)

Amount

858

182

50

165

25

Total

1 280

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ANNEX II

THE GENERAL OUTLINES, THE SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES AND
THE PRIORITIES

INTRODUCTION

The world is increasingly based on knowledge. The Community’s prime asset in this area is the quality
of its researchers, engineers and technicians. The aim is to preserve and help develop this knowledge
potential through greater support for the training and mobility of researchers and by enhancing access
to research infrastructures.

The Community also has a solid tradition of research in social and economic science and the
humanities, which needs to be mobilised to identify economic and social trends and requirements, both
current and future, in order to contribute to the Community’s competitiveness and quality of life of its
citizens.

GENERAL OBJECTIVES

The general objectives of this programme, to be realised in concert with related activities elsewhere in
the framework programme, are centred on two main areas of activity, to improve the human research
potential and to strengthen the socioeconomic knowledge base. To this end, actions will be
undertaken:

— to develop the Community’s human research potential, making special efforts to ensure equality of
access and a better balance between men and women, notably through the training and mobility of
researchers so as to contribute, inter alia , to efforts for creating new jobs,

— to enhance access to research infrastructures,

— to help make the Community an attractive location for researchers and to promote European
research in the international arena and to promote a European scientific and technological culture,

— to strengthen, through a specific key action, the socioeconomic knowledge base for a better

understanding of key problems facing European society,

— to help develop scientific and technological policies and other Community policies.

1. ACTIONS SPECIFIC TO THE PROGRAMME

A. Improving human research potential

( i ) S u p p o r t i n g t r a i n i n g a n d m o b i l i t y o f r e s e a r c h e r s

The individual and collective expertise of the Community’s researchers is a considerable asset.
However, scientific research takes place in a strongly competitive worldwide environment and
compared with our main competitors, the Community has a relative shortage of researchers; a rather
high fragmentation and duplication of research effort; a certain isolation of research teams,
particularly in the peripheral and less-favoured regions of the Community; a relatively low mobility of
researchers, both geographically and between academia and industry; a general tendency towards an
ageing workforce, which also affects the research field; and underuse of the potential of female
scientists.

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To address these issues, (cid:28)Supporting training and mobility of researchers’ will concentrate on helping
to create a European research area through the following overall objectives: stimulating training
through research of young researchers, especially those in the early stages of their professional career;
promoting equality of opportunities between women and men in the research field; promoting
transnational cooperation between research teams, including interdisciplinary approaches, particularly
through networking around a common research project; promoting the mobility of researchers
throughout Europe; encouraging cooperation, interactions and staff mobility between academic and
industrial research; and promoting the scientific and technological cohesion of the Community,
particularly with respect to its less-favoured regions.

This action of the programme will be implemented through two lines: research training networks and
a coherent system of Marie Curie fellowships. They will be open to all fields of scientific research that
contribute to the Community’s objectives in research, technological development and demonstration,
for projects chosen freely by the participants themselves. In the selection of projects, there will be no
pre-established target in terms of scientific discipline or topic — the selection being made on the
criteria of scientific excellence and relevance to the objectives of the actions alone (i.e. a bottom-up
approach). However, there will be an (ex-post) assessment of project allocation in relation to research
areas and participation by men and women.

Research training networks

The primary objective is to promote training through research, especially of young researchers at
pre-doctoral and at post-doctoral level, within the frame of high-quality transnational collaborative
research projects, including those in emerging fields of research. Community support will be awarded
both to reinforce the research teams of a network through the temporary appointment of young
researchers coming from a country other than that of the team concerned and to contribute towards
the costs of coordinating the collaborative research project on which the network is based.

Each network will be required to define an appropriate training programme for its young researchers.
Its training programme will take advantage of the international nature of the network and, when
relevant, the multidisciplinarity of its joint project, the complementarity of its teams and the network’s
connections with industry. Research training networks will promote the training of researchers in an
industrially relevant environment as well as encourage interplay between academic and industrial
research, where these features are relevant to the networks training programme. All networks will be
required to offer equal opportunities to male and female researchers.

System of Marie Curie fellowships

This line consists of a coherent system of Marie Curie fellowships centred on individual fellowships for
young high-quality researchers with the necessary research experience, awarded for topics chosen by
the researchers themselves. This system is a focused attempt at a more efficient use of Community
funding of fellowships for training through research.

The researchers participating are of three categories: (i) postgraduates; (ii) young researchers with the
necessary research experience; these are typically researchers with a doctoral degree or at least four
years of
(iii)
experienced researchers; these are typically researchers with at least 10 years of research experience at
post-doctoral level and who are established staff members of a research institution. This action will
provide equal opportunities for men and women.

full-time research experience at postgraduate level other than doctoral studies;

Marie Curie individual fellowships

The scheme will provide advanced training through research for the best of Europe’s young researchers
with a view to these fellows becoming Europe’s leading researchers. The research institutions will host
young researchers with the necessary research experience.

In addition, after completion of a two-year individual
fellows originating from a
less-favoured region and who wish to return to a less-favoured region in their country of nationality
may receive a return fellowship.

fellowship,

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Additional and complementary schemes include:

Marie Curie industry host fellowships

The scheme will provide young researchers with opportunities to carry out research in industrial or
commercial environments. The aim is also to stimulate cooperation between industry and academia.
The industrial and commercial enterprises will host postgraduates and young researchers with the
necessary research experience. The host will be expected to provide adequate research facilities and
supervision arrangements for the fellow. There will be special measures for SMEs in order to stimulate
the participation of these enterprises in the scheme.

Marie Curie development host fellowships

The scheme will help develop high-level research capacity in research institutions in the less-favoured
regions of the Community. Research institutions established in less-favoured regions with a need to
develop new areas of competence will host young researchers with the necessary research experience.
By this means the scientific and technological cohesion of the Community will be enhanced.

Marie Curie experienced researchers fellowships

This scheme will harness the expertise of Europe’s experienced researchers for the transfer of
knowledge and technology between industry and academia (in both directions) and for similar transfer
to the less-favoured regions. The experienced researcher will come from an industrial or commercial
enterprise and go to a university or research centre, or vice versa; or will come from, or go to a
research institution in a less-favoured region.

Stays at Marie Curie training sites

The scheme will provide young researchers pursuing their doctoral studies with the possibility to
undertake part of them at a Marie Curie training site, and by this means optimising the use of
specialist training sites in order to create Community added-value.

( i i ) E n h a n c i n g a c c e s s t o r e s e a r c h i n f r a s t r u c t u r e s

Access to major research infrastructures is increasingly indispensable for researchers working at the
forefront of science. The ability of European research teams to remain competitive with teams
elsewhere in the world depends on their being supported by such state-of-the-art infrastructures.

The term (cid:28)research infrastructures’ refers to facilities and establishments that provide essential services
to the research community.
for example, singular large-scale research installations,
collections, special habitats, libraries, databases, integrated arrays of small research installations, as
well as infrastructural centres of competence which provide a service for the wider research
community based on an assembly of techniques and know-how.

It covers,

As most of
the major research infrastructures in Europe are operated by national authorities
principally for the benefit of their national researchers, access to these infrastructures is often restricted
largely or even entirely to national research teams.

The result is that researchers do not always have the opportunity to access the infrastructures in
Europe most appropriate for their work. In addition, some scarce state-of-the-art facilities owned by
industrial companies tend to be closed to researchers working outside the company.

Another feature of Europe’s research infrastructures is the relatively low level of transnational
cooperation that exists between infrastructure operators in many fields. A strong Community
added-value would arise if the same culture of cooperation could be created among infrastructure
operators as is now beginning to exist between Europe’s researchers.

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In the context that the construction and operation of infrastructures is the responsibility of national
authorities, (cid:28)Enhancing access to research infrastructures’ has the following general objectives:

— to sponsor new opportunities for transnational access to major research infrastructures of

Community-wide interest,

— to stimulate infrastructure operators and users to work together in order to make more effective
use of research infrastructures and hence to improve the service they provide to the scientific
community,

— to arrange coordinating, supporting and accompanying actions that ensure consistency with related

actions undertaken in other specific programmes.

It will be open to infrastructures in all fields of scientific research that contribute to the Community’s
objectives in research, technological development and demonstration, to the extent that such measures
are not undertaken by other activities of the framework programme. It will be implemented primarily
through an action to help researchers with transnational access to major research infrastructures. In
there will be two complementary actions — infrastructure cooperation networks and
addition,
research infrastructure RTD projects.

Transnational access to major research infrastructures

The objective is to sponsor new opportunities for research teams (including individual researchers) to
obtain access to the major research infrastructures most appropriate for their work, irrespective of
where in the Member States or Associated States they or the infrastructure is located.

To be considered for Community support, the infrastructure must provide a world-class service
essential for the conduct of top quality research, must be rare in Europe, must have investment or
operating costs that are relatively high in relation to those costs in its particular field, and must
provide adequate scientific, technical and logistic support to external, particularly first-time, users.

Community support will be awarded to the selected infrastructure operators for them to provide
access to their facilities free of charge to transnational users. Each selected infrastructure operator will
be expected to publicise widely the opportunities being offered and to arrange for an independent
peer-review of proposals submitted to it based on scientific merit, where in addition priority is to be
given to first-time users and to users coming from countries where no similar facility exists.

As a general rule, users conducting proprietary research will not be supported under this action. An
exception will, however, be made in the case of SMEs which wish to use a particular infrastructure for
the first time.

Infrastructure cooperation networks

The objective is to catalyse the self-coordination and the pooling of resources between infrastructure
operators in order to foster a culture of cooperation between them, to generate critical mass for
research into higher performance techniques,
to spread good
practice, to promote common protocols and interoperability, to encourage complementarity and to
stimulate the creation of (cid:28)distributed’ and (cid:28)virtual’ large facilities.

instrumentation and technologies,

Community support will be awarded to help coordinate those joint activities that could lead to the
more effective use and exploitation of present and future infrastructures relevant to the network.
Participants in these networks will be operators of research infrastructures, research teams in
universities, in research centres and in industry, representatives of users of the infrastructures, and
equipment manufacturers. Each network will be devoted to different aspects of Europe’s research
infrastructures.

Research infrastructure RTD projects

The objective is to support cooperative research efforts that could have widespread significance at a
Community level for enhancing access to and improving the service provided by infrastructures in a

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particular field. Such RTD projects will be particularly encouraged when they are in support of the
work of the infrastructure cooperation networks of this programme or of the precursor concerted
actions of the earlier training and mobility of researchers’ programme.

( i i i ) P r o m o t i n g s c i e n t i f i c a n d t e c h n o l o g i c a l e x c e l l e n c e

Scientific and technological excellence are essential prerequisites for Europe to succeed in the
competitive environment of international research and scientific development. The promotion of
excellence would be expected to encourage the best individuals and teams to become involved in and
be committed to European research and to increase the visibility of outstanding research findings
produced by European researchers.

At the same time it will be important to improve the public understanding of science and research in
society with the objective of creating a favourable environment for research and technological
development, and in particular for activities carried out under Community framework programmes.
Scientific activities and research can only succeed and have the expected beneficial impact if citizens
develop a basic understanding of science and scientific issues and come to an overall positive
perception of relevant activities and their results.

Where possible, activities will build on and complement national activities.

High-level scientific conferences

High-level scientific conferences will contribute to the advancement of science through exchange and
to create conditions for experienced researchers, working at
the cutting edge of scientific and
technological development, to impart their knowledge and experience to the younger generation.
Scientific conferences will also create the framework for the networking of Community researchers
active outside the Community to build up or preserve their contacts and scientific relations with
colleagues in Europe.

Scientific conferences may be organised as Euro-conferences, Euro-courses, Euro-workshops or
Euro-summer schools. They will, as a general rule, be small-scale events. Bigger events may be
supported with the objective of facilitating the participation of young researchers. Non-traditional
forms of
scientific conferencing such as electronic conferences will be encouraged. Scientific
conferences will be open to all fields of scientific research on topics freely chosen by the researchers
themselves.

Distinctions for high-level research work

These distinctions will give public recognition and visibility to researchers having successfully
completed outstanding scientific or technological results from European collaborative research.
Distinctions for younger people who have carried out remarkable scientific work while still in the
secondary or tertiary educational system will motivate them to continue their efforts in the interest of
Europe’s scientific and technological future and also encourage other individuals of the same age to
take an active interest in science and research.

Distinctions will be foreseen as follows: the Descartes Prize for outstanding scientific and technological
achievements resulting from European collaborative research; an award to undergraduate students of
higher education institutions in Europe having developed original scientific ideas or concepts in areas
which are relevant to the advancement of European science; the European Union Contest for Young
Scientists, catering for scientific talents in the age range 15 to 20 years, to be organised in conjunction
with the appropriate (cid:28)public awareness’ activities.

Raising public awareness

The main objective will be to raise public awareness for scientific activities and technological
developments, in particular those undertaken in European research programmes, and thereby bridge
the gap between science in its European dimension and the public. This should help European citizens

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to better understand both the beneficial impact of science and technology on their day-to-day lives as
well as limitations and possible implications of research and technological developments. The activity
will also aim to increase scientists’ awareness of issues and subjects that are of concern to the public.

Community support will be provided: to promote European networking and the exchange of best
practice between successful projects and initiatives at national or regional level; to arrange for regular
encounters between scientists and science communicators; to promote the participation of women in
science; to support the organisation of a European Science and Technology Week as a showcase for the
concerted and coordinated display of European efforts in science and research; to provide, via
electronic networks and other appropriate means, information on topical scientific and technological
subjects in a language that is understandable to the scientifically interested but non-specialist citizen.

B. Key action: improving the socioeconomic knowledge base

The European Union draws its strength both from the social and cultural diversities between its
members as well as from the similarities of their experiences and common values. The Community
also has a solid tradition of research in social and economic science and the humanities, which need to
be mobilised to identify economic and social trends and requirements, both current and future, in
order to contribute to the Community’s competitiveness and quality of life of its citizens.

In a period of
increasing challenges, such as unacceptable levels of unemployment, an ageing
population, the globalisation of economies, an increase in inequalities, and a declining relative
contribution to the world economy, European society will have to undergo changes towards achieving
sustainable socioeconomic development, the improvement of the quality of life of all its citizens and to
maintain and enhance Europe’s competitive position in the world. Social sciences must therefore be in
a position to respond to these challenges, overcome national boundaries,
through reinforcing
cooperation between them and enhancing their analytical capacity and thereby supporting
policy-making. Furthermore the process of European integration itself has given rise to a new object of
study, European society, which is different from the sum of its components, although clearly dependent
on them.

The objective of this key action will be to improve our understanding of the structural changes taking
place in the European society in order to identify ways of managing change and to involve European
citizens more actively in shaping their own futures. This will involve the analysis of the main trends
giving rise to these changes, the analysis of the relationships between technology, employment and
society, the impact of new technologies on working conditions, the reappraisal of participation
mechanisms for collective action at all levels of governance and the elaboration of new development
strategies fostering growth of employment and economic and social cohesion.

This key action covers a number of subjects linked to the general objectives of the framework
programme and aims at defining the base for employment-generating social, economic and cultural
development and for building a European knowledge society. These subjects should not be seen in
isolation, but as interrelated parts of a coherent and comprehensive framework.

Support will aim at developing a conceptual understanding of the processes described above, built on
empirical, comparative and prospective research,
including constructing and integrating data and
indicator systems and establishing a common research infrastructure. These activities will therefore
contribute to provide the policy decision-making process with a sound knowledge of the challenges
facing Europe, of their main consequences and of possible policy options to tackle them.

Societal trends and structural changes

Against a background of profound structural, demographic and social changes, research within this
theme will aim at elucidating the complex interactions between societal trends, life chances, changes in
family structures, economic changes, labour-market institutions, cultural patterns and value systems,
taking into account European regional diversities. The analysis will
include the phenomena of
xenophobia,
racism and migration. Attention will be accorded on the impact on economic
development, social integration, social protection and factors of social inequalities and discrimination.

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The study of these interactions will provide a better understanding of the changing patterns of work
and organisation of time, of the use of new types of atypical and part-time or temporary jobs, of the
capacity of education and training to prepare individuals over their lifetime to a changing environment
and to enhance knowledge of the gender issue in European society. Research work will provide a
sound knowledge base and contribute to the formulation and development of the relevant European
policies.

Technology, society and employment

interdependency and
Research under this theme aims to understand better the relationship of
embeddedness between technology and society and to contribute to an integrated approach to
institutional and environmental
planning and development. While the need for integrating social,
concerns in the technological development process is now accepted,
the possible options vary
according to different kinds of technologies, the state of their development and diffusion in society.
Research will be undertaken on methods of interaction between the various actors concerned —
suppliers, users, advisory bodies, decision-makers and public authorities. An improved understanding
of the deployment and the impact of technologies in various socioeconomic, territorial, institutional,
political and cultural contexts in the Union is expected to arise from this work. Research will also
examine the role of the public sector in the innovation process and how authorities interact with other
partners.

Attention will be paid to the relationships between technology and employment, in particular the new
information and communications technologies and the new ways of organising production and labour,
including newly emerging professions, the geographical
location of employment, changes in the
working conditions and in the workforce skills. The role of innovation in education and training, the
concept of lifelong learning, as well as how education and training can stimulate innovation, promote
employment, social integration and equal opportunities, will also be examined.

Governance and citizenship

In the context of European integration, there is a need to reassess the role of the different levels of
governance in Europe (local, regional, national and supranational). The aim will be to analyse the
mutual articulation of responsibility and accountability at all levels and their real capacity as agents of
change, while allowing for
the development of mechanisms of dialogue, deliberation and
decision-making to ensure effective cooperation between all the actors concerned.

Research will set out to explain to what extent the various types of economic and social regulation in
Europe are the consequences of a specific socio-institutional and cultural construction, in order to
define better European integration strategies. It will address both regulation by public authorities as
initiatives and structures such as political parties, public interest groups and social
well as civil
partners. The examination of the role of public authorities will also cover the reassessment of their
missions, and of the concept of public service and the notion of public interest. In this framework, the
analysis of the evolution of welfare systems will be a key element. In these analyses of governance, the
notion of political, economic and social power will also be taken into account.

The analyses will be accompanied by the study of the concept of citizenship across Europe, and of
types and systems of participation of citizens and regulation to which they give rise. Research will also
analyse the influence of the various components of culture (traditions, language, history, heritage,
religions, migrations) and of educational models on the development of values. Analysis at the level of
the individual could complement, where appropriate, research in this area. The role of media in a
global economy, in which international audiovisual cultural products are increasingly present, will also
be examined. The analyses will examine the interrelationships between governance and citizenship.

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New development models fostering growth and employment

This prospective work will seek to explore new sustainable development models to foster growth, job
creation, equal opportunities, the reduction of inequalities and the improvement of quality of life. It
will investigate the dynamics of creation and distribution of wealth and the role of the public sector in
this context in a globalised economy where intangible and service factors predominate. This will
involve the development of indicators and methodologies for assessing the social and economic
added-value of the various production models, identifying competitiveness factors including human
capital, and characterising the different policies best adapted to the European economic area, taking
into account Europe’s regional divergencies, and to the evolution of Europe in the world economic
relations.

Research will concentrate on analyses of issues such as organisational innovations, new types of work
and employment, including the working potential of older population, the responses to the increasing
demand for services, the development of non-profit mutual supporting activities, and innovations in
socioeconomic partners’ cooperation. Socioeconomic and demographic differences across Europe and
the impact of the development models on economic and social cohesion will be included in the
analysis.

C. Support for the development of scientific and technology policies in Europe

To fulfil the tasks conferred on it by the Treaty in the field of research and innovation, the European
Union needs to increase its ability to anticipate the issues at stake for Europe in the field of science
and technology by exploiting the resources available to it in this area more effectively.

A considerable amount of research work and studies are carried out and indicators produced ahead of
the framing of science and technology policy at national and European level. The inadequate
interaction between very diverse national approaches, and the complexity and often transnational
dimension of the issues addressed by the work in question call for networking and the collation and
coordinated exploitation of results at European level in order to shed light on certain major issues in
good time.

In order to support the development of the specific base of knowledge about scientific and technology
policy issues which is needed by both national and European decision-makers and other users, these
activities provide a flexible, strategic intelligence-gathering, collating and evaluation service. By
underpinning and complementing the activities carried out at national and international level, the
information and experience between
activities are
decision-makers and researchers and enable knowledge to be put to better use.

intended to promote

exchange of

the

Strategic analysis of specific political issues

This activity involves the provision of support for the analytical and collating work to be carried out
on a limited number of specific issues relating to scientific and technology policy. This work will be
carried out by groups of experts from specialised national and international organisations and include
studies, seminars and conferences. They will also provide policy-makers with a source of scientific
advice. The matters to be dealt with will be identified by decision-makers and other players concerned
with science and technology policies in the following fields:

— matters relating to the implications, for science and technology policies, of the challenges posed by
scientific and technological change, globalisation, changes in social demands, the new forms of
competition and cooperation between businesses, and job-creation and growth in a manner that is
environmentally sound and contributes to social cohesion,

— matters relating to how the objectives and priorities of these policies and the instruments used to

implement them enable them to be tackled and analysis of their socioeconomic impact.

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Common basis of science, technology and innovation indicators

The design, coordination and assessment of RTD strategies in Europe require the availability of
relevant and comparable indicators at different levels (national, regional, European, world), including
indicators measuring progress towards sustainable development. This second type of activity, carried
out in conjunction with the Statistical Office and the relevant Commission Services and in cooperation
with the specialist institutes in Europe, should gradually establish a common European base of science,
technology and innovation indicators.

It will be a question of coordinating and funding the work needed in order to compile appropriate
statistics and new indicators covering the Union and the main third countries; it will in this way be
possible to make available to the authorities concerned in the Member States, the European and
national parliamentary assessment offices, and the Commission Services and all interested parties, a
coherent set of data sent electronically and accompanied by the services needed for their processing,
analysis and proper use.

2.

INTERACTION WITH RELATED ACTIONS IN THE OTHER FRAMEWORK PROGRAMME

ACTIVITIES

A major feature of this programme will consist of the coordination and support of relevant activities
throughout the framework programme, concerning, in particular, researchers’ training, support for
research infrastructures and the overall socioeconomic dimension of Community research. The
thematic programmes makes
horizontal
coordination an important factor for the success of the framework programme. More specifically:

socioeconomic research dimension within the vertical

— for the Marie Curie fellowships: these could also be implemented by the thematic programmes. In
implementation
order to ensure consistency, common rules will apply concerning eligibility,
modalities, legal and financial provisions, and a single entry point for the reception of proposals
will be set up,

— for major research infrastructures: consistency and complementarity of approach will be ensured

with the relevant actions of the other specific programmes,

— for socioeconomic research: coordination will be achieved through participation in the elaboration
of the work programmes, support in the creation of appropriate evaluation mechanisms,
in
particular through the participation of socioeconomic scientists, and collection and dissemination
of relevant information, in order to ensure that the socioeconomic dimension is consistently taken
into account in the specific programmes,

— for the activities in support of the development of science and technology policies in Europe:
consistency and complementarity with the actions of the other specific programmes will be ensured
through coordination, the use of harmonised instruments (e.g. policy-oriented thematic networks
and expert panels) and a common approach for the dissemination of results (e.g. publications,
seminars and conferences).

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ANNEX III

SPECIFIC RULES FOR IMPLEMENTING THE PROGRAMME

The specific programme will be implemented through the indirect RTD actions as provided for in
Annexes II and IV of the fifth framework programme. In addition, the following rules specific to this
programme will apply:

1. SPECIAL CONDITIONS

Supporting training and mobility of researchers

Research training networks

A research training network will normally consist of at least five mutually independent legal entities
from at least three Member States or Associated States.

Community funding will cover up to 100 % of the additional eligible costs connected with the
temporary appointment of young researchers, both pre-doctoral and post-doctoral, and with
coordinating the joint project on which the network is based. The maximum funding for a network as
a whole will correspond to the cost of taking on a young researcher in each of its partners as well as
making a contribution to the costs of coordinating the project. At least 60 % of the funding for each
network will be attributed to the costs of appointing young researchers.

Community support will normally not be granted to procure durable equipment nor to finance the
research work itself.

System of Marie Curie fellowships

Only legal persons established and international organisations located in a Member State or Associated
State are eligible to participate as host institutions.

Researchers eligible to participate in the system of Marie Curie fellowships are of three categories, as
defined in Annex II to this programme. They must be nationals of a Member State or an Associated
State or residing in the Community for at least the last five years (1).

The research will be undertaken in a country other than the one where the research fellow’s
nationality and most recent centre of activity is located. Exceptions however shall apply, in cases
where knowledge and technology will be transferred to the less-favoured regions for:

— individual return fellows,

— experienced researchers, provided that their research be undertaken in a country other than the

one in which the experienced researcher is an established member of a research institution.

M a r i e C u r i e i n d i v i d u a l f e l l o w s h i p s

The application for an individual fellowship will be made by the fellow in conjunction with the host
institution. The fellows will be selected by the Commission on the basis of the criteria stipulated in
Annex IV of the present programme.

The fellowships will be paid to the host institution in accordance with Annex IV to the fifth
framework programme. The amount of the allowance for the fellow will be established for each
Member State and Associated State taking into account both the high standard of the Marie Curie

(1) Applicants for Marie Curie fellowships should ensure that they are able to fulfil the immigration and visa

requirements for the Member State or Associated State in which they intend to undertake their fellowship.

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fellows and the overall situation of researchers of a corresponding level in the host country; it will
include a provision for proper social security expenses.

Each host must ensure that the fellow is covered under the social security scheme which is applied to
employed workers within the Member State or Associated State concerned, or under a social security
scheme providing a protection which is at least comparable, in terms of level and scope.

M a r i e C u r i e i n d u s t r y h o s t f e l l o w s h i p s

The host institutions will be selected by the Commission on the basis of the criteria stipulated in
Annex IV to the present programme. The fellows will subsequently be selected by the host institution.
The Commission will establish detailed criteria, concerning notably qualification and equal access
opportunities to be followed by the industry host in the selection of fellows. Before a fellowship
contract is offered, the selected fellows will have to be confirmed by the Commission.

A joint funding from the Community and the host institution will enable the host institution to finance
postgraduates and young researchers with the necessary research experience.

M a r i e C u r i e d e v e l o p m e n t h o s t f e l l o w s h i p s

The host institutions will be selected by the Commission on the basis of the criteria stipulated in
Annex IV to the present programme. The fellows will subsequently be selected by the host institution.
The Commission will establish detailed criteria, concerning notably qualification and equal access
opportunities to be followed by the host in the selection of fellows. Before a fellowship contract is
offered, the selected fellows will have to be confirmed by the Commission.

Community funding will enable the host institution to finance young researchers with the necessary
research experience.

M a r i e C u r i e e x p e r i e n c e d r e s e a r c h e r s ’ f e l l o w s h i p s

The application for an experienced researcher fellowship will be made by the fellow in conjunction
with the host institution. The experienced researchers will be selected by the Commission on the basis
of the criteria stipulated in Annex IV to the present programme.

Community funding will enable the host institution to finance an experienced researcher.

S t a y s a t M a r i e C u r i e t r a i n i n g s i t e s

A training site is a clearly identifiable part of a research organisation, such as a research group or
interrelated research groups. The training site must be internationally recognised within its respective
field and have proven experience in doctoral training, particularly the training of postgraduate
students from abroad. In addition, organisers of international doctoral studies, in the framework of a
formal collaboration between participating organisations in different countries having the form of
certain common requirements for achieving the doctoral degree, are considered possible training sites.

The training sites will be selected by the Commission on the basis of the criteria stipulated in Annex IV
to the present programme. The young researchers will subsequently be selected by the training site.
The Commission will establish detailed criteria, concerning notably qualification and equal access
opportunities to be followed by the training site in the selection of fellows. Before a fellowship
contract is offered, the selected fellows will have to be confirmed by the Commission.

The young researchers must be pursuing doctoral studies in a country other than that of the host
institution in a subject area similar to that of the training site. They must undertake the period of
training at the training site as an integral part of their doctoral studies.

Community funding will enable the training site to finance short stays for the young researchers of a
maximum duration of an academic year.

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Enhancing access to research infrastructures

Transnational access to major research infrastructures

Participants in this line will be legal entities which operate major research infrastructure. International
organisations operating major research infrastructure in the Member States or Associated States may
exceptionally participate with financing from the programme provided that the access being financed
by the programme is both complementary to the mission of the organisation concerned and not
eligible for support from the organisation’s own financial resources.

Community funding is intended to cover 100 % of the travel and subsistence costs of visits to the
infrastructure by teams of researchers working in Member States and Associated States other than the
State where the owner and operator of the facility is located. Community funding will also cover up to
100 % of
the additional eligible costs of providing teams of researchers with access to the
infrastructure; such costs will be calculated either on the basis of a unit user-fee to be negotiated with
each infrastructure operator and to be derived from its direct operating costs, or on the basis of the
actual additional costs connected with making the facility available to the visiting teams of researchers.
Eligible costs will exclude all contributions to capital costs.

Infrastructure cooperation networks

Infrastructure cooperation networks will be implemented as thematic networks. Each network will
contain at least three mutually independent legal entities which operate research infrastructure from at
least three different countries of the Member States and Associated States and will be coordinated by a
legal entity which operates a research infrastructure.

Research infrastructure RTD projects

RTD projects will contain at least two mutually independent legal entities which operate research
infrastructure in at least two countries of the Member States and Associated States. The project will be
coordinated by a legal entity which operates a research infrastructure.

Concerted actions

The Commission may initiate, in conjunction with legal entities which operate research infrastructure
and are contractors under this programme (or under the earlier training and mobility of researchers
programme), concerted actions, to encourage the exchange of information between infrastructure
operators and researchers from Member States or Associated States on subjects of common interest,
complementing national and international efforts.

Promoting scientific and technological excellence

High-level scientific conferences

Participants in this line will be legal entities from all fields of scientific endeavour who wish to
organise a scientific conference, involving researchers from a cross-section of the respective scientific
community.

Community funding is intended to contribute to organisational costs, to the participation of speakers
or teaching staff and to cover up to 100 % of expenses related to the participation of young
researchers in the selected event. Support will also be made available to facilitate the participation of
researchers who are nationals of one of the Member States and Associated States and who at the time
of the event are active in laboratories or institutions outside Member States or Associated States.

Distinctions for high-level research work

Participants in the Descartes Prize will be researchers who have obtained outstanding scientific or
technological results from European collaborative research.

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Participants in the award for undergraduate students of higher education institutions and in the
European Union Contest
for Young Scientists will be legal entities, organising corresponding
procedures at national level and young people whose projects have been selected in that frame.

Community funding will cover up to 100 % of costs related to the preparation and organisation of
appropriate selection procedures, including the awarding of monetary prizes or equivalent recognition
to the most deserving projects.

2. ACCOMPANYING MEASURES

The accompanying measures will comprise in particular:

— studies in support of the specific programme including the preparation of future activities,

including on strategic issues arising in the course of the programme,

— exchanges of information, conferences, seminars, workshops, round tables, study panels,

— recourse to external expertise in particular for the purposes of the monitoring of the specific
the external
programme provided for in Article 5(1) of
assessment of the actions provided for in Article 5(2) of the fifth framework programme, the
evaluation of indirect RTD actions and the monitoring of their implementation,

the fifth framework programme,

— dissemination,

information and communication activities,

including scientific publications and

activities for the promotion and exploitation of results and the transfer of technology,

— the promotion of the identity and prestige of Marie Curie fellows, especially through the Marie

Curie Fellowship Association,

— support in order to bring together potential participants for the purpose of elaborating a detailed
work plan for a research proposal, in particular as a means of stimulating proposals in newly
emerging fields of science and technology or in novel transdisciplinary approaches, or in fields
where there is little history of transnational cooperation,

— support for schemes to provide information and assistance to research players, including SMEs.

3. COORDINATION ARRANGEMENTS

The Commission will endeavour to ensure complementarity between the indirect RTD actions under
the programme, in particular by grouping them around a common objective, and to avoid duplication,
while respecting the legitimate interests of proposers of indirect RTD actions.

As far as possible, coordination will also be ensured between actions under the specific programme
and those carried out in:

— other specific programmes implementing the fifth framework programme,

— the research and training programmes implementing Council Decision 1999/64/Euratom of
22 December 1998 concerning the fifth framework programme of the European Atomic Energy
Community (Euratom) for research and training activities (1998 to 2002) (1),

— other European research frameworks including Eureka and COST,

(1) OJ L 26, 1.2.1999, p. 34.

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— other Community research-related instruments such as PHARE, TACIS, MEDA, the EIF, the

Structural Funds, the EIB and programmes in the field of education, training and youth.

It will comprise:

(i)

the identification of common themes or priorities, resulting in particular in:

— the exchange of information,

— the carrying out of work decided on jointly, entailing in particular the joint initiation of one of

the procedures referred to in Article 9 of the rules for participation and dissemination;

(ii) the reassignment of proposals for indirect RTD actions between specific programmes or between a

specific programme and a research and training programme.

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ANNEX IV

SELECTION CRITERIA FOR THE IMPLEMENTATION OF THE PROGRAMME

The specific selection criteria for certain parts of this programme, which supplement those referred to
in Article 3, are the following:

Supporting the training and mobility of researchers

Research training networks

Networks will be selected on the basis of the scientific merit of the collaborative research project on
which the network is based and the quality and content of the network’s training programme.
Networks promoting interactions between different disciplines and those containing complementary
teams as well as those involving meaningful connections with industry will be preferred over networks
of otherwise equal merit, where these features are relevant to the network’s training programme.

System of Marie Curie fellowships

M a r i e C u r i e i n d i v i d u a l f e l l o w s h i p s

The selection criteria will include the research experience and the aptitude of the candidate, the impact
and benefit of the training for the candidate, the research quality of the hosting research group, the
ability of the host to meet the specific research training needs of the candidate, and the scientific and
technological quality and relevance of the project.

For return fellowships, the selection criteria will include the results and research experience gained by
the candidate during the initial fellowship, and the benefit to the new hosting research group.

M a r i e C u r i e i n d u s t r y h o s t f e l l o w s h i p s

The host institutions will be selected by the Commission. The fellows will subsequently be selected by
the host institution. The Commission will establish detailed criteria, concerning notably qualification
and equal access opportunities, to be followed by the industry host in the selection of fellows. Before a
fellowship contract is offered, the selected fellows will have to be confirmed by the Commission.

The selection criteria will include the research quality of the host, the ability to provide adequate
training, supervision arrangements and research facilities for the fellow, collaborative arrangements
with other research organisations, and the scientific and technological quality and relevance of the
proposed research area.

The fellows will be selected by the host on the basis of their scientific ability and on the compatibility
of their research experience with the proposed research area.

M a r i e C u r i e d e v e l o p m e n t h o s t f e l l o w s h i p s

The host institutions will be selected by the Commission. The fellows will subsequently be selected by
the host institution. The Commission will establish detailed criteria, concerning notably qualification
and equal access opportunities to be followed by the development host in the selection of fellows.
Before a fellowship contract is offered, the selected fellows will have to be confirmed by the
Commission.

The selection criteria will include the relevance and impact of the competence which is sought, the
compatibility of the new competence with the existing competence of the host, the appropriate size of
the hosting research group in order to allow adequate working conditions for the fellows, and the
international nature of the research activities of the hosting research group.

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The fellows will be selected by the host on the basis of their scientific ability and on the compatibility
of their research experience with the needs of the host.

M a r i e C u r i e e x p e r i e n c e d r e s e a r c h e r s ’ f e l l o w s h i p s

The selection criteria will
technological quality and relevance of the project, and the relevance,
fellowship for the parties involved.

include the scientific excellence of

the candidate,

the scientific and
impact and benefit of the

S t a y s a t M a r i e C u r i e t r a i n i n g s i t e s

The training sites will be selected by the Commission. The young researchers will subsequently be
selected by the training site. The Commission will establish detailed criteria, concerning notably
qualification and equal access opportunities to be followed by the training site in the selection of
fellows. Before a fellowship contract is offered, the selected fellows will have to be confirmed by the
Commission.

The selection criteria will include the research quality of the training site, the ability of the training site
to provide research training, the evidence of past successful international doctoral training, and the
appropriate size of the training site in order to allow adequate working conditions for the young
researchers.

The young researchers will be selected by the training site on the basis of their scientific ability and on
the suitability of the training site for their particular doctoral studies.

Enhancing access to research infrastructures

Transnational access to major research infrastructures

The criteria for selecting infrastructure to be supported will be the quality of the infrastructure, the
quality of the research that external users are able to conduct there, the quality of the scientific,
interest being
technical and logistic support provided for
demonstrated by new transnational users coming from countries where no similar infrastructure exists,
and the cost-effectiveness of Community support.

these external users,

the scale of

Infrastructure cooperation networks

Infrastructure cooperation networks will be selected on the basis of their potential to enhance the
access to and the service provided by research infrastructures that have a Community-wide interest
and on the basis of the ability of the participants to provide an effective coordination of the network’s
activities.

Research infrastructure RTD projects

RTD projects will be selected on the basis of the scientific originality of the project, the quality of its
research method and work plan, the potential of the project to improve infrastructure provision in
Europe, and the degree of interest shown generally by infrastructure operators in the field and by the
user community.

Promoting scientific and technological excellence

High-level scientific conferences

The criteria for the selection of scientific meetings to be supported will be the interest of the proposed
topic for a wider scientific community, the quality of the proposed conference programme and its
relevance for the training of the younger generation of European researchers.

Distinctions for high-level research work

Distinctions will be awarded on the basis of the scientific quality and the relevance of presented
projects. Age and scientific background of participants will be duly taken into consideration.

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Raising public awareness

To qualify for Community support, projects need to address an issue of broader European interest and
involve high quality interaction between scientists and science communicators for the benefit of
European citizens. Preference will be given to projects and initiatives involving at least three mutually
independent partners from at least three different Member States or Associated States. Other projects
may qualify for support if they promise to produce transferable results that could be used by actors
not involved in the respective project.