Proposal for a Decision 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
Date: 2001-02-21
Institutions: European Commission
Subjects: EU programme, EU research policy, innovation, research and development, research programme

C 180 E/156

EN

Official Journal of the European Communities

26.6.2001

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

(2001/C 180 E/11)

(Text with EEA relevance)

COM(2001) 94 final (cid:151) 2001/0053(COD)

(Submitted by the Commission on 26 February 2001)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

Having regard to the Treaty establishing the European
Community, and in particular Article 166(1) thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of
Committee,

the Economic and Social

Having regard to the opinion of the Committee of the Regions,

Acting in accordance with the procedure laid down in Article
251 of the Treaty

Whereas:

(1) Article 163 of

the Treaty gives the Community the
objective of strengthening the scientific and technological
to
bases of Community industry and encouraging it
become more competitive at
level, while
promoting research activities deemed necessary by virtue
of other Community policies.

international

(2) Pursuant to Article 165 of the Treaty, the Community and
its Member States are required to coordinate their research
and technological development activities so as to ensure
that national policies and Community policy are mutually
consistent.

(3) Article 166 of the Treaty provides for the adoption of a
all
framework programme
and

setting out
technological development

multiannual
Community research,
demonstration (RTD) activities.

(4) In 2000 the Commission submitted two communications,
respectively on the prospects for and the objectives of
creating a European Research Area (1), and on making a
reality of the European Research Area and guidelines for
EU research activities in the period 2002-2006 (2).
In
2000 the Commission also submitted a communication
on (cid:145)Innovation in a knowledge-driven economy(cid:146) (3).

(1) COM(2000) 6 final, 18.1.2000.
(2) COM(2000) 612 final, 4.10.2000.
(3) COM(2000) 567 final, 20.9.2000.

(5) The European Councils in Lisbon in March 2000 and
Santa Maria de Feira in June 2000 adopted conclusions
aimed at the rapid establishment of a European research
and innovation area with a view to job creation and
economic growth.

(6) The European Parliament (4) (5),

the
Economic and Social Committee (8) and the Committee
of the Regions (9) have also supported the creation of
the European Research Area.

the Council (6) (7),

(7) On 19 October 2000 the Commission submitted the
conclusions of the external assessment of the implemen-
tation and results of the Community activities carried out
in the five years preceding that assessment, accompanied
by its observations (10).

(8) It is therefore necessary to adopt a framework programme
for the period 2002-2006 capable of exercising a struc-
turing effect on research and technological development
in Europe and making a significant contribution to
bringing about the European Research Area.

it

(9) In accordance with Article 166(1) of

the Treaty,

is
necessary to set the scientific and technological objectives
and priorities for the activities envisaged, the maximum
overall amount, the detailed rules for the Community’s
financial participation in the programme for the period
2002-2006, as well as the respective shares for each of
the activities envisaged, and to indicate the broad lines of
the activities in question, while respecting the objective of
protecting the financial interests of the Community.

(10) The Joint Research Centre is called on to contribute to the
implementation of
in
particular in those areas in which it can offer objective
and independent expertise and in which it can play a role
in the implementation of other Community policies.

framework programme,

the

(4) Resolution of 18 May 2000 PE 290.465, p. 48.
(5) Resolution of 15 February 2001.
(6) Resolution of 15 June 2000, OJ C 205, 19.7.2000, p. 1.
(7) Resolution of 16 November 2000, OJ C 374, 28.12.2000, p. 1.
(8) Opinion of 24 May 2000, OJ C 204, 18.7.2000, p. 70.
(9) Opinion of 12 April 2000, OJ C 226, 8.8.2000, p. 18.
(10) COM (2000) 659 final, 19.10.2000.

26.6.2001

EN

Official Journal of the European Communities

C 180 E/157

(11) Research activities carried out within the framework
programme should respect fundamental ethical principles,
notably those which appear in the Charter of Funda-
mental Rights of the European Union.

(12) Following the Commission Communication (cid:145)Women and
Science(cid:146) (1) and the Resolutions of the Council (2) and the
European Parliament (3) on this theme, an action plan is
being implemented in order to reinforce and increase the
place and role of women in science and research.

(13) The Commission should submit regular progress reports
on the implementation of the framework programme for
2002-2006 and, in good time and before submitting its
proposal
for the next framework programme, have an
independent assessment carried out of the implementation
of the activities undertaken,

HAVE DECIDED AS FOLLOWS:

Article 1

A multiannual

1.
research,
activities,
programme 2002-2006(cid:146)
2002-2006.

technological
hereinafter

development

framework programme for Community
demonstration
(cid:145)framework
the period

referred
the
is hereby adopted for

and

to

as

Article 3

All the research activities carried out under the framework
programme 2002-2006 must be carried out in compliance
with fundamental ethical principles.

Article 4

the

Progress with implementing
framework programme
2002-2006, and in particular progress towards achieving its
objectives and meeting its priorities, shall be presented in
detail in the report to be published by the Commission each
year pursuant to Article 173 of the Treaty.

Article 5

for

the next

submitting its proposal

the Commission shall have

framework
Before
programme,
an assessment
carried out by independent high-level experts of the implemen-
tation of Community activities during the five years preceding
that assessment. The Commission shall communicate the
conclusions thereof, accompanied by its observations, to the
European Parliament, the Council, the Economic and Social
Committee and the Committee of the Regions.

Article 6

2.
The framework programme 2002-2006 shall comprise all
Community activities envisaged in Article 164 of the Treaty.

The framework programme 2002-2006 is open to the partici-
pation of:

Annex I

3.
and technological
objectives and the related priorities and indicates the broad
lines of the activities envisaged.

sets out

scientific

the

Article 2

1.
The maximum overall amount for Community financial
participation in the entire framework programme 2002-2006
shall be EUR 16,270 billion: the proportion assigned to each of
the activities is fixed in Annex II.

The detailed rules

2.
financial participation by the
Community shall be governed by the Financial Regulation
applicable
European
Communities, supplemented by Annex III.

the General

Budget

the

for

to

of

(cid:151) the EEA countries, in accordance with the conditions estab-

lished in the EEA agreements;

(cid:151) the central and eastern European candidate countries
in accordance with the conditions established in
(CEEC),
the Europe Agreements,
additional protocols
thereto and in the decisions of the respective Association
Councils;

in the

(cid:151) Cyprus, Malta and Turkey, on the basis of bilateral

agreements to be concluded with these countries;

(cid:151) Switzerland and Israel, on the basis of bilateral agreements

to be concluded with these countries.

(1) COM(1999) 76.
(2) Resolution of 20 May 1999, OJ C 201, 16.7.1999.
(3) Resolution of 3 February 2000, PE 284.656.

C 180 E/158

EN

Official Journal of the European Communities

26.6.2001

SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES AND BROAD LINES OF THE ACTIVITIES

ANNEX 1

Activities under the framework programme for research and technological development (2002-2006) will be carried out
in accordance with the three general objectives set out in the Treaty:

(cid:151) strengthening the scientific and technological bases of Community industry;

(cid:151) encouraging it to become more competitive;

(cid:151) promoting research activities deemed necessary by virtue of other Chapters of the Treaty.

In order to achieve these objectives more effectively, the framework programme will be restructured around three
targets:

1. integrating European research;

2. structuring the European Research Area;

3. strengthening the foundations of the European Research Area.

The activities carried out in order to achieve the last two targets are intended to structure various dimensions of the
European Research Area that are closely connected with research and constitute its environment, as well as helping to
establish or consolidate the foundations underpinning its operation. They will therefore be implemented across the
whole field of science and technology.

The activities carried out to further the first objective, which will represent the bulk of the efforts deployed under the
framework programme, are intended to integrate research efforts and activities on a European scale. They will be carried
out:

(cid:151) in a limited number of priority thematic areas exclusively by means of strongly integrating and powerful
integrated projects and EU participation in national research programmes

instruments: networks of excellence,
implemented jointly pursuant to Article 169 of the Treaty;

(cid:151) in areas related to the anticipation of EU science and technology needs in the form of certain specific needs of EU

policies or new emerging needs;

(cid:151) in the field of science and technology as a whole in the case of complementary research activities for SMEs.

International cooperation activities will be an integral part of the activities carried out under the first target of the
framework programme. They may take the form:

(cid:151) in the priority thematic areas:

(cid:151) of initiatives aimed at securing for Europe a leading role in international research efforts on global issues, and

ensuring a coherent contribution by Europe to these;

(cid:151) of integrated bilateral cooperation activities with third countries (1) or groups of third countries;

(cid:151) of participation of third country researchers and organisations in projects and networks in areas of particular

interest to those countries.

(cid:151) as regards anticipating EU science and technology needs, of specific cooperation activities with certain third

countries or groups of third countries.

As a fundamental and general principle, the rule of support on the basis of competitive calls for proposals and the
evaluation of the scientific and technological quality of those proposals by means of peer review will be used to
implement the bulk of the activities under the framework programme.

(1) Third countries: countries that are not members of the EU and are not associated with the Framework Programme. The countries
associated with the Framework Programme, whose organisations and researchers can, by virtue of this, participate in Framework
Programme activities under the same conditions as those of the Member States of the EU are: the European Economic Area countries,
the candidate countries, Switzerland and Israel.

26.6.2001

EN

Official Journal of the European Communities

C 180 E/159

1.

INTEGRATING EUROPEAN RESEARCH

1.1.

Priority thematic areas of research

The activities carried out under this part of the framework programme are intended to assemble a critical mass
of resources and support a high level of integration of research capacities in Europe in areas in which this is
especially necessary on account of the particular importance of those areas for the competitiveness of European
industry or the major political and social implications of the issues in question.

Seven priority thematic areas have been selected.

1.1.1. Genomics and biotechnology for health

O b j e c t i v e

The activities carried out in this area are intended to help Europe exploit, by means of an integrated research
effort, breakthroughs achieved in decoding the genomes of living organisms, more particularly for the benefit of
public health and citizens and to increase the competitiveness of the European biotechnology industry.

J u s t i f i c a t i o n o f

t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

(cid:145)Post-genomic(cid:146) research based on analysis of the human genome and genomes of model (animal, plant and
microbial) organisms, will culminate in numerous applications in various sectors, and notably in the devel-
opment of new diagnostic tools and new treatments capable of helping to combat diseases that are not at present
under control, offering major potential markets.

However, this work requires considerable and sustained financial outlay. In the United States, public and private
spending on post-genomic research is rising steadily and significantly: nearly 2 billion dollars of public-sector
funding per annum, essentially managed by the NIH (1) (the total budget for which will increase by 14,4 % in
2001) and twice as much industrial funding.

Europe’s spending on research is at present much lower and less coherent. The launching of publicly funded
research programmes on post-genome research in several Member States is a big step in the right direction. All
in all, however, the efforts made are inadequate and dispersed.

European industry also spends much less on research than US industry does: 70 % of genomics companies are
located in the United States and a substantial and increasing proportion of European private-sector investment is
made in that country.

To enable the EU to improve its position in this area and benefit fully from the economic and social spin-offs of
the expected developments, it is necessary both to increase investment significantly and integrate the research
activities conducted in Europe within a coherent effort.

A c t i o n s e n v i s a g e d

The Community activities carried out to this end will address the following aspects:

(cid:151) Fundamental knowledge and basic tools for functional genomics:

(cid:151) gene expression and proteomics;

(cid:151) structural genomics;

(cid:151) comparative genomics and population genetics;

(cid:151) bioinformatics;

(cid:151) Application of knowledge and technologies in the field of genomics and biotechnology for health:

(cid:151) technological platforms for the development of new diagnostic, prevention and therapeutic tools;

(cid:151) support for innovative research in genomics start-up companies.

(cid:151) Application of medical genomics knowledge and technologies in the following fields:

(cid:151) combating cancer, degenerative diseases of the nervous system, cardiovascular diseases and rare diseases;

(1) National Institutes of Health

C 180 E/160

EN

Official Journal of the European Communities

26.6.2001

(cid:151) combating resistance to drugs;

(cid:151) studying human development, the brain and the ageing process.

A broader approach will be pursued with regard to combating the three poverty-linked infectious diseases (Aids,
malaria and tuberculosis) which have priority in terms of disease control at EU and international level.

1.1.2.

Information Society technologies

O b j e c t i v e

The activities carried out in this area, pursuant to the conclusions of the Lisbon European Council and the
objectives of the e-Europe initiative, are intended to stimulate the development in Europe of technologies and
applications at the heart of the creation of the Information Society in order to increase the competitiveness of
European industry and allow European citizens in all EU regions the possibility of benefiting fully from the
development of the knowledge-based society.

J u s t i f i c a t i o n o f

t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

At the dawn of the 21st century, information and communication technologies are revolutionising the func-
tioning of the economy and society, and are generating new ways of producing, trading and communicating. The
effort devoted to these technologies in Europe is still insufficient, particularly when compared with the United
States. In that country, public and private sector funding combined is three times as much for this sector as the
corresponding spending in Europe.

This has become the EU’s second most important sector of the economy, with an annual market of EUR 2 000
billion and employing more than 2 million persons in Europe, a number that is steadily rising.

Industrial and commercial successes of the kind that Europe has achieved in mobile communications as a result
of the GSM standard will not be repeated unless a concerted effort is made to invest a critical mass of research
resources in this area, by integrating public and private sector efforts on a European scale.

The objective of ambient intelligence

With a view to exerting maximum impact in economic and social terms, effort should focus on the future
generation of those technologies in which computers, interfaces and networks will be more integrated into the
everyday environment and will render accessible, through easy and (cid:145)natural(cid:146) interactions, a multitude of services
and applications. This vision of (cid:145)ambient intelligence(cid:146) seeks to place the user, the human being, at the centre of
the future development of the knowledge-based society.

Community actions will concentrate on the technological priorities that will make it possible to realise this
vision. They will aim at mobilising the community of researchers around targeted initiatives, such as the
development of
the next generations of mobile communication systems, so as to achieve medium and
long-term objectives while being able to react to the new needs and demands of markets as well as public policy.

A c t i o n s e n v i s a g e d

The actions undertaken will therefore address the following technological priorities:

Integrating research into technological areas of priority interest for citizens and businesses.

Completing and building on progress expected in the development of basic technologies, research aimed at
finding solutions for major societal and economic challenges and, accordingly, focusing on:

(cid:151) ambient intelligence systems offering access to the information society for all, whatever their age and
situation, as well as interactive and intelligent systems for health, mobility, security, leisure, preservation
of the cultural heritage and environmental monitoring;

(cid:151) electronic and mobile commerce, as well as technologies for secure transactions and infrastructures, new
for corporate knowledge

tools and new methods of work,
management, for integrated business management and for e-government;

learning and systems

technologies

for

26.6.2001

EN

Official Journal of the European Communities

C 180 E/161

(cid:151) large-scale distributed systems and platforms, including GRID-based systems that provide effective solutions
to complex problems in areas such as the environment, energy, health, transport and industrial design.

Communication and computing infrastructures

Information access, transmission, storage, distribution and location systems intended to meet the growing needs
for the connectivity and processing of information, with the research effort relating to communication and
computing infrastructure addressing as a matter of priority:

(cid:151) the new generations of wireless and mobile communications systems and networks; satellite communications
systems; all-optical
integration and management of communication networks; capacity
-enhancing technologies necessary for the development of systems, infrastructures and services, in particular
for audiovisual applications;

technologies;

(cid:151) software technologies and architectures assuring multifunctional services and distributed systems; engin-

eering and control of complex and large-scale systems to ensure reliability and robustness.

Components and microsystems

Miniaturised and low-cost components based on new materials and integrating extended functionalities, with the
effort focusing on:

(cid:151) the design and production of micro- and opto-electronic and photonic components,

(cid:151) nanoelectronics, microtechnologies and microsystems, and multidisciplinary research into new materials and

quantum devices; new computing models and concepts.

Information management and interfaces

Research into information management
everywhere and at all times with knowledge-based services and applications, addressing:

tools and interfaces, with a view to enabling easier interaction

(cid:151) knowledge representation and management systems based on context and semantics, including cognitive

systems, as well as tools for creating, organising, sharing and disseminating digital content;

(cid:151) multisensorial interfaces capable of understanding and interpreting the natural expression of human beings
through words, gestures and the various senses, virtual environments, as well as multilinguistic and multi-
cultural systems indispensable to the establishment of the knowledge-based society on a European scale.

1.1.3. Nanotechnologies, intelligent materials, and new production processes

O b j e c t i v e

The activities carried out in this area are intended to help Europe achieve a critical mass of capacities needed to
develop and exploit, especially for greater eco-efficiency,
leading-edge technologies for the knowledge- and
intelligence-based products, services and manufacturing processes of the years to come.

J u s t i f i c a t i o n o f

t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

Manufacturing industry in Europe at present produces goods and services valued at around EUR 4 000 billion a
year. In an increasingly competitive world market,
it must maintain and increase its competitiveness while
meeting the requirements of sustainable development. To do so, it is necessary to put substantial effort into
the design, development and dissemination of advanced technologies: nanotechnologies, knowledge-based
materials and new production processes.

Lying at the frontier of quantum engineering, materials technology and molecular biology, and one of the
foreseeable hubs of the next industrial revolution, nanotechnologies are attracting considerable investment on
the part of the EU’s competitors (500 million dollars of public funding in 2001 in the United States, i.e. twice as
much as current spending there and five times as much as Europe spends at present).

Europe has significant expertise in certain sectors such as nanomanufacturing and nanochemistry, and needs to
increase and coordinate its investment effort in this area.

C 180 E/162

EN

Official Journal of the European Communities

26.6.2001

the aim is to develop intelligent materials which are expected to add
Where materials are concerned,
considerable value in terms of applications in sectors such as transport, energy and the biomedical sector and
for which there is a potential market of several tens of billions of euros.

The development of flexible, integrated and clean production systems will also require a substantial research
effort concerning the application of new technologies to manufacturing and management.

A c t i o n s e n v i s a g e d

Nanotechnologies:

(cid:151) long-term interdisciplinary research into understanding phenomena, mastering processes and developing

research tools;

(cid:151) supramolecular architectures and macromolecules;

(cid:151) nano-biotechnologies;

(cid:151) nanometre-scale engineering techniques to create materials and components;

(cid:151) development of handling and control devices and instruments;

(cid:151) applications in areas such as health, chemistry, energy, optics and the environment.

Intelligent materials:

(cid:151) development of fundamental knowledge;

(cid:151) technologies associated with the production and transformation of new materials;

(cid:151) support engineering.

New production processes:

(cid:151) the development of flexible and intelligent manufacturing systems incorporating advances in virtual manu-

facturing technologies, interactive decision-aid systems and high-precision engineering;

(cid:151) systems research needed for waste management and hazard control;

(cid:151) development of new concepts optimising the life-cycle of industrial systems, products and services.

1.1.4. Aeronautics and space

O b j e c t i v e

The aim of activities carried out in this area is two-fold: to consolidate, by integrating its research efforts, the
position of the European aerospace industry vis-(cid:224)-vis increasingly strong world competition; and to help exploit
the potential of European research in this sector with a view to improving safety and environmental protection.

J u s t i f i c a t i o n o f

t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

The aerospace industry consists of two technologically and economically separate sectors but they are closely
associated on account of their industrial and political implications and the stakeholders involved and they are
examples of European economic and commercial success stories. However, US investment in aerospace is three
to six times higher, depending on the sector.

In an increasingly demanding competitive environment, foreseeable aviation requirements worldwide correspond
to some 14 000 new aircraft over the next 15 years, representing a market worth EUR 1 000 billion. The efforts
made to integrate industrial capacities and development activities which have brought about European successes
in this area now need to be matched by similar efforts to integrate research into priority themes and subjects.

With this aim in view, the (cid:145)Vision for 2020(cid:146) (1) report of eminent European personalities in this sector of industry
recommends optimising European, national and private sector research efforts around a common vision and a
strategic research agenda.

(1) (cid:145)European Aeronautics: A Vision for 2020(cid:146) (Report of the Group of Personalities).

26.6.2001

EN

Official Journal of the European Communities

C 180 E/163

On space, following on from the Commission’s communication (cid:145)Europe and space: Turning to a new chapter(cid:146) (1),
the EU will support research designed to make use of space for the benefit of markets and society.

A c t i o n s e n v i s a g e d

Aeronautics

Community aeronautical research activities will address research and technological development activities
necessary to:

(cid:151) increase the competitiveness of the European industry with regard to commercial aircraft, engines and

equipment;

(cid:151) reduce environmental nuisances and loads (CO2 and NOX emissions, noise);

(cid:151) increasing aircraft safety in the context of the substantial rise in air traffic:

(cid:151) increase the capacity and safety of the aviation system, in support of a (cid:145)Single European Sky(cid:146) (air traffic

control and management systems).

Space

Community space activities carried out in close coordination with the ESA, the other space agencies and
industry, in order to strengthen the coherence of the very major investment involved, will address the implemen-
tation of:

(cid:151) the Galileo satellite navigation project;

(cid:151) the GMES platform for monitoring for environment and security;

(cid:151) advanced research needed to integrate the space segment and the Earth segment in the field of communi-

cations.

1.1.5. Food safety and health risks

O b j e c t i v e

The activities carried out in this area are intended to help establish the integrated scientific and technological
bases needed to develop a system of production and distribution of safe and healthy food and control food
-related risks, relying in particular on biotechnology tools, as well as health risks associated with environmental
changes.

J u s t i f i c a t i o n o f

t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

The recent food crises, and in particular BSE, have highlighted both the complexity of food safety issues and the
fact that in most cases they have international and cross-border implications. The integration of the European
internal market as regards agriculture and food makes it necessary to address the problems that arise in this area,
and hence to carry out related research, on a European scale. It is against this background that the European
Food Authority will shortly be established.

Citizens and consumers expect that research will help to guarantee that the food and products marketed are safe
and healthy and can be consumed in total safety.

This requires the availability of the most complete, precise and up to date scientific knowledge. Apart from the
public health aspect, the prosperity of a sector representing some EUR 600 billion in terms of annual turnover
and 2,6 million jobs is at stake.

Europe also needs to be able to make a substantial contribution to the research efforts on these issues, which
now arise at world level, as well as a coherent contribution to the international debate on them, based on the
most precise and complete knowledge.

The same remarks apply to the various aspects of the problems associated with the health impact of environ-
mental changes which are a source of growing concern for European citizens, and which often manifest
themselves on an international scale. For all these reasons, but also in order to derive the benefit of the
combination of the best sources of expertise available in complex areas, the research in question should be
carried out at European level in such a way as to ensure genuine coordination of national activities.

(1) COM(2000) 597.

C 180 E/164

EN

Official Journal of the European Communities

26.6.2001

A c t i o n s e n v i s a g e d

Community activities will cover research relating to various aspects of the control of health risks and links
between health and food:

(cid:151) methods of analysis and detection of chemical contaminants and pathogenic micro-organisms (viruses,

bacteria, parasites, and new agents of the prion type);

(cid:151) impact of animal feed, and the use of sub-products of different origins for that feed, on human health;

(cid:151) (cid:145)traceability(cid:146) processes, in particular relating to genetically modified organisms, including those based on

recent biotechnology developments;

(cid:151) safer production methods and healthier foodstuffs, including those based on biotechnologies and on organic

farming processes;

(cid:151) epidemiology of food-related diseases and genetic susceptibilities;

(cid:151) impact of food, and in particular products containing genetically modified organisms, on health;

(cid:151) environmental health risks, with emphasis being placed on cumulative risks, transmission routes to human
beings, long-term effects and exposure to small doses, as well as the impact on particularly sensitive groups,
and especially children.

1.1.6. Sustainable development and global change (1)

O b j e c t i v e

The activities carried out in this area are intended to strengthen the scientific and technological capacities needed
for Europe to be able to implement sustainable development and make a significant contribution to the inter-
national efforts to understand and control global change and preserve the equilibrium of ecosystems.

J u s t i f i c a t i o n o f

t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

The global implementation of sustainable development requires more particularly:

(cid:151) the design, development and dissemination of technologies making it possible to ensure more rational use of
less waste production and a reduction in the impact of economic activity on the

natural resources,
environment;

(cid:151) a better understanding of the mechanisms of global change, and in particular climate change and our related

forecasting capacities.

Where technology is concerned, as highlighted in the Commission Green Paper (cid:145)Towards a European strategy for
the security of energy supply(cid:146) (2), two areas concerned as a matter of priority are energy and transport, which are
responsible for over 80 % of total emissions of greenhouse gases and more than 90 % of CO2 emissions.

Under the Kyoto Protocol, the EU is required to reduce its greenhouse gas emissions by 8 % compared with the
1990 levels in the period 2008-2012.

Achieving this objective in the short term requires a major large-scale effort to deploy technologies currently
under development.

Above and beyond this objective, the long-term implementation of sustainable development in the coming
decades makes it necessary to ensure the availability, under economic conditions, of the most appropriate
energy sources and carriers in this respect. This will require a sustained longer-term research effort.

Medium and long-term research efforts will also be necessary to develop the sustainable European transport
system that is likely to be mentioned as a priority objective for the EU in the White Paper on the Common
Transport Policy currently being prepared by the Commission.

On the study of climate change, the efforts made today at world level represent some EUR 2 billion per annum.
Europe spends EUR 500 million compared with EUR 900 million in the case of the United States.

(1) The priority objectives for nuclear research are set out in the Annex (cid:145)Scientific and technological objectives(cid:146) of the proposal for the

Euratom Framework Programme.

(2) COM(2000) 769.

26.6.2001

EN

Official Journal of the European Communities

C 180 E/165

The European Union is a party to the international agreements in the various areas associated with global change
such as the Kyoto Protocol on Climate change and the UN Conventions on Biodiversity and Desertification. It has
a duty to make a substantial and coherent contribution to the efforts made through the major international
research programmes on these themes.

Action by the Community can help to ensure this vital coordination of Europe’s contribution to the world effort.

A c t i o n s e n v i s a g e d

Technologies for sustainable development

The Community’s effort in the short and medium term will concentrate on a limited number of large-scale
actions in the following areas:

(cid:151) renewable energy sources, energy savings and energy efficiency, especially in the urban environment, as well
as clean transport, with the development of new vehicle concepts in particular for road transport, as well as
the development of alternative motor fuels;

(cid:151) intelligent transport, especially in the form of technologies making possible a rebalancing as well as the
integration and increasing intermodality of different modes of transport, for example by means of inno-
vations in the management of the logistic chain (in particular containers).

Turning to the longer term, activities will concentrate as a matter of priority on:

(cid:151) fuel cells for stationary applications and in transport;

(cid:151) hydrogen technology;

(cid:151) new concepts in solar photovoltaic technologies and advanced uses of biomass.

Global change

Community activities will address the following aspects as a matter of priority:

(cid:151) impact and mechanisms of greenhouse gas emissions on climate and carbon sinks (oceans, forests and soil);

(cid:151) water cycle;

(cid:151) biodiversity, protection of genetic resources, operation of terrestrial and marine ecosystems and interactions

between human activities and the latter;

(cid:151) mechanisms of desertification and natural disasters connected with climate change;

(cid:151) global climate change observation systems.

1.1.7. Citizens and governance in the European knowledge-based society

O b j e c t i v e

The activities carried out in this area are intended to mobilise in a coherent effort, in all their wealth and
diversity, European research capacities in economic, political, social and human sciences with a view to under-
standing and addressing issues related to the emergence of the knowledge-based society and new forms of
relationships between its citizens and institutions.

J u s t i f i c a t i o n o f

t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

At the European Councils in Lisbon in March 2000 and Nice in November 2000, the European Union set itself
the ambitious objective of becoming (cid:145)the most competitive and dynamic knowledge-based economy in the world,
capable of sustained economic growth providing more and better jobs and greater social cohesion(cid:146).

In this perspective, the European Council
in Lisbon underlined that (cid:145)human resources are Europe’s main
strength(cid:146), stressing the need for Europe’s education and training systems to (cid:145)adjust both to the needs of the
knowledge-based society and to the need to raise the level of employment and improve quality(cid:146).

C 180 E/166

EN

Official Journal of the European Communities

26.6.2001

Europe’s transition towards a knowledge-based economy and society, and its sustainable development in the
interests of the quality of life of all citizens will be all the easier if it takes place in a way which is properly
understood and managed. This requires a substantial research effort concerning the issues of integrated and
sustainable economic and social progress based on the fundamental values of justice and solidarity which
characterise the European model of society. In this respect, economic, political, social and human sciences
research should more particularly help to ensure the harnessing and exploitation of an exponentially increasing
quantity of information and knowledge and an understanding of the processes at work in this area.

In Europe, this issue arises in particular in connection with the functioning of democracy and new forms of
governance, and in the general context of this. What is at stake is the relationship between citizens and
institutions in a complex political and decision-making environment characterised by the coexistence of
national, regional and European decision-making levels and the increasing role of civil society and its represen-
tatives in the political debate.

Issues such as these have a clear and intrinsic European dimension, and there is much to be gained by examining
them from a global perspective.

This European dimension is only just starting to be taken into account in research conducted at national level,
and is not yet receiving all the attention that it requires.

It seems highly appropriate to address these aspects on the European scale. What is more, action taken at EU
level will make it possible to ensure the requisite degree of methodological coherence and guarantee that full
benefit is derived from the rich variety of approaches existing in Europe and European diversity.

A c t i o n s e n v i s a g e d

Action by the Community will focus on the following themes:

Knowledge-based society

(cid:151) improving the production, transmission and utilisation of knowledge in Europe;

(cid:151) options and choices for the development of a knowledge-based society serving the EU objectives set at the
Lisbon and Nice European Councils, in particular as regards improving the quality of life, employment and
labour market policies, life-long education and training, and strengthening social cohesion and sustainable
development;

(cid:151) variety of transition dynamics towards the knowledge-based society at local, national and regional

level.

Citizenship, democracy and new forms of governance

(cid:151) consequences of European integration and enlargement of the EU for democracy, the concept of legitimacy,

and the functioning of the institutions;

(cid:151) redefinition of areas of competence and responsibility, and new forms of governance;

(cid:151) security issues connected with the resolution of conflicts and restoration of peace and justice;

(cid:151) emergence of new forms of citizenship and identities, forms and impact of cultural diversity in Europe.

In operational terms, Community activities will focus on support for:

(cid:151) transnational research and comparative studies and the coordinated development of statistics and qualitative

and quantitative indicators;

(cid:151) interdisciplinary research in support of public policies;

(cid:151) the establishment and exploitation on a European scale of research infrastructures and data and knowledge

bases.

1.2.

Anticipating the EU’s scientific and technological needs

The activities carried out under this heading are intended to:

(cid:151) respond to the scientific and technological needs of the policies of the Community and of the Union in all
the areas corresponding to those policies,
including the priority thematic areas which do not require
recourse to the three major instruments used in the priority areas but which require specific actions and
methods of intervention;

26.6.2001

EN

Official Journal of the European Communities

C 180 E/167

(cid:151) respond flexibly and rapidly to emerging scientific and technological needs and major unforeseeable devel-
opments, as well as needs appearing at the frontiers of knowledge, more specifically in multithematic and
interdisciplinary areas, including areas linked to the priority areas.

These activities will be carried out in the following areas and will address the following themes:

1.2.1. Activities carried out on the basis of calls for proposals

These will cover two non-exclusive categories of research:

(cid:151) research necessary for the formulation, implementation and enforcement of Community and EU policies:

(cid:151) research in support of the implementation of common policies such as the common agricultural policy

and the common fisheries policy;

(cid:151) research in support of EU policy objectives such as, for example, those set out in the 6th Environment
Programme (1) and the Green Paper (cid:145)Towards a European Strategy for the Security of Energy Supply(cid:146) (2);

(cid:151) research in support of the objectives set for the EU by the European Council, for example the objectives
set by the Lisbon and Feira European Councils with regard to economic policy, Information Society and
e-Europe, enterprise, social policy and employment, education and training,
including the requisite
statistical methods and tools;

(cid:151) research necessary for other Community or EU policies in areas such as,

in
trade, external relations and development aid or

for example, health,

particular public health, regional development,
justice and home affairs;

(cid:151) research that responds to needs in new, interdisciplinary and multidisciplinary areas or areas at the leading
edge of knowledge, especially in order to help European research cope with unexpected major developments,
including in areas linked to the priority fields.

The activities carried out in these areas will be implemented under the following conditions, on the basis of the
following principles and with the help of the following mechanisms:

(cid:151) The activities concerned will essentially take the form of:

(cid:151) specific targeted projects generally of a limited scale carried out in partnerships of a size commensurate

with the needs to be met;

(cid:151) the networking of research activities carried out at national level, where the existing capacities in the

Member States need to be mobilised in order to achieve the objectives.

In certain duly justified cases, where the objectives in question can be better achieved by these means,
limited use may be made of the instruments used in the priority thematic areas such as the networks of
excellence or, where appropriate, the integrated projects.

(cid:151) The choice of research topics, areas and subjects will be made by the Commission on the basis of assessment
by an internal group of users, taking account of the opinion of an independent consultative body made up
of high-level scientific and industrial experts.

(cid:151) For the implementation of

these activities, recourse may be had to a two-step mechanism: calls for
expressions of interest open to any entity or organisation in the EU to identify needs precisely and then
evaluate them; calls for proposals on themes selected on this basis.

(cid:151) Of the projects judged to be of sufficient scientific and technical quality by peer review, the Commission will

select those most likely to help support the policies it is responsible for implementing.

(cid:151) In accordance with their spirit and objective, the activities carried out under this heading will be imple-

mented on the basis of annual decisions.

(1) COM(2001) 31.
(2) COM(2000) 769.

C 180 E/168

EN

Official Journal of the European Communities

26.6.2001

These activities will also comprise in particular:

(cid:151) Specific research activities for SMEs

SMEs will participate in the framework programme essentially in the context of the activities carried out in
the priority thematic areas.

Carried out in support of European competitiveness and enterprise and innovation policy, these specific
actions are intended to help European SMEs in traditional or new areas to boost their technological
capacities and develop their ability to operate on a European and international scale.

These actions, which may be carried out in the entire field of science and technology, will take the form of:

(cid:151) Collective research activities

Large-scale medium-term research activities carried out by technical research centres for industrial
associations or industry groupings in entire sectors of industry dominated by SMEs at the European
level;

(cid:151) Cooperative research activities

Research activities carried out by research centres for a number of SMEs in different European countries
on themes of common interest or by high-tech SMEs in collaboration with research centres and
universities;

(cid:151) Specific international cooperation activities:

These specific activities, carried out in support of the EU’s foreign policy and development aid policy, will be
in the field of cooperation with, in particular:

(cid:151) Mediterranean third countries;

(cid:151) Russia and the States of the CIS;

(cid:151) Developing countries.

1.2.2.

Joint Research Centre activities (1)

In accordance with its mission of providing scientific and technical support for EU policies, the JRC will focus on
priority themes relating to the formulation and implementation of sectoral policies. The activities carried out will
have a strong European dimension, and will draw on a range of specific expertise.

These activities will be carried out by the JRC within its areas of specific competence, for which it has special or
even unique facilities, as well as in the areas in which its impartiality in terms of national and private sector
interests allows it
to conduct as efficiently as possible research activities related to the formulation and
implementation of Community policies, and the performance of the resulting tasks, some of which are the
Commission’s responsibility.

The JRC will carry out these activities in close cooperation and by networking with scientific circles, national
research organisations and businesses in Europe.

The essential common denominator of the JRC’s activities will be the safety of citizens in its different aspects:
health, environment, nuclear safety, public security, combating fraud.

To these ends, two specific research areas have been selected (a third being covered by the activities to be carried
out by way of Euratom actions):

(cid:151) Food, chemical products and health:

Food safety and quality, in particular to combat BSE; genetically modified organisms; chemical products;
biomedical applications (more particularly establishment of references in this area).

(1) The JRC’s activities in the field of nuclear research are described in the Annex (cid:145)Scientific and technological objectives(cid:146) to the proposal
for a Euratom Framework Programme. The JRC will also carry out activities in connection with the structuring of the European
Research Area, and will be able to participate in all the research activities under the Framework Programme carried out on the basis
of calls for proposals in the priority areas and under the heading (cid:145)Anticipating the EU’s scientific and technological needs(cid:146). It will carry
out a limited amount of exploratory research in connection with those activities.

26.6.2001

EN

Official Journal of the European Communities

C 180 E/169

(cid:151) Environment and sustainability:

Climate change (carbon cycle, modelling, impacts) and technologies for sustainable development (renewable
energy sources, tools for the integration of policies); protection of the European environment; development
of reference measurements and networks; technical support for the objectives of GMES.

Three types of activities of a general nature will also be carried out:

(cid:151) Technology foresight:

Technological and economic foresight work based on the activities of European networks;

(cid:151) Reference materials and measurements (1):

The Community Reference Bureau (BCR) and certified reference materials: validation and qualification of
chemical measurement methods.

(cid:151) Public security and combating fraud:

Detection of anti-personnel mines; prevention of natural and technological hazards; networks in support of
cybersecurity in the EU; fraud control technologies.

2.

STRUCTURING THE EUROPEAN RESEARCH AREA

2.1.

Research and innovation

O b j e c t i v e

These activities are intended to stimulate technological innovation, utilisation of research results, transfer of
knowledge and technologies and the setting-up of technology businesses in the Community and in all its regions.

J u s t i f i c a t i o n o f

t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

Europe’s comparatively poor ability to transform the results of research work and scientific and technological
breakthroughs into industrial, economic and commercial successes is one of its most notable weaknesses. Actions
to stimulate business innovation at European level can help to raise the overall level of Europe’s performance and
increase European capacities in this area, by helping businesses and innovators in their efforts to operate on a
European scale and on international markets, and by giving stakeholders in all regions of the EU the benefit of
the experience and knowledge acquired in other regions through initiatives undertaken at this level.

A c t i o n s e n v i s a g e d

Activities will be carried out under this heading to complement activities relating to innovation included in those
carried out under the heading (cid:145)Integrating research(cid:146).

These will be in the form of actions providing general support to innovation, complementing and in liaison with
national and regional activities, with a view to increasing the coherence of efforts in this area.

The activities carried out in this area will take the form of support for:

(cid:151) networking of stakeholders in the European innovation system and carrying out analyses and studies in

order to promote exchanges of experience and good practice;

(cid:151) actions to encourage transregional cooperation regarding innovation and support for the setting-up of

technology businesses, as well as for the preparation of regional strategies in this area;

(cid:151) actions to experiment with new tools and new approaches concerning technological innovation;

(cid:151) establishment or consolidation of information services and in particular electronic services, such as Cordis,
and assistance services relating to innovation (technology transfer, protection of intellectual property, access
to risk capital);

(1) Metrology activities in the nuclear field are described in the Annex (cid:145)Scientific and technological objectives(cid:146) to the proposal for a

Euratom Framework Programme.

C 180 E/170

EN

Official Journal of the European Communities

26.6.2001

(cid:151) economic and technological intelligence activities (analyses of technological developments, applications and
markets and processing and dissemination of information which may help researchers, entrepreneurs, and in
particular SMEs, and investors in their decision-making);

(cid:151) analysis and evaluation of innovation activities carried out in the framework of Community research projects

and exploitation of lessons which can be drawn from innovation policies.

Some of these activities will be carried out in liaison with those of the EIB (in particular by means of the EIF)
under its (cid:145)Innovation 2000 Initiative(cid:146) as well as the Structural Funds.

2.2. Human resources and mobility

O b j e c t i v e

The activities carried out under this heading are intended to support the development of abundant world class
human resources in all the regions of the Community by promoting transnational mobility for training purposes,
the development of expertise or the transfer of knowledge, in particular between different sectors; supporting the
development of excellence; and helping to make Europe more attractive to third country researchers. This should
be done with the aim of making the most of the potential offered by all sectors of the population, especially
women, taking appropriate measures for this purpose.

J u s t i f i c a t i o n o f

t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

Promoting transnational mobility is a simple, particularly effective and powerful means of boosting European
excellence as a whole, as well as its distribution in the different regions of the EU. It creates opportunities for
significantly improving the quality of the training of researchers, promotes the circulation and exploitation of
knowledge, and helps to establish world-class centres of excellence that are attractive throughout Europe. EU
level action in this area (as in human resources in general) leading to the attainment of critical mass will
inevitably have a major impact.

A c t i o n s e n v i s a g e d

These activities, which will be carried out in the whole field of science and technology, will take in particular the
following forms:

(cid:151) global support measures for universities, research centres, businesses and networks, for the hosting of

European and third country researchers;

(cid:151) individual support measures for European researchers for the purposes of mobility to another European or a

third country, and for top-class third-country researchers wishing to come to Europe;

(cid:151) mechanisms for return to the countries and regions of origin, as well as professional

(re-)integration

mechanisms, in particular linked to the granting of global and individual support;

(cid:151) financial contribution to national or regional programmes in support of researcher mobility open to

researchers from other European countries;

(cid:151) support for European research teams of the highest level of excellence, more particularly for leading edge or

interdisciplinary research activities;

(cid:151) scientific prizes for work of excellence carried out by a researcher having received EU financial support for

mobility.

2.3.

Research infrastructures

O b j e c t i v e

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

J u s t i f i c a t i o n o f

t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

The development of a European approach with regard to research infrastructures, and the carrying out of
activities in this area at EU level, can make a significant contribution to boosting European research potential
and its exploitation: by helping to ensure wider access to the infrastructures existing in the different Member
States and increasing the complementarity of the facilities in place; by promoting the development or estab-
lishment of infrastructures ensuring a service on a European scale, as well as optimum construction choices in
European terms and in terms of regional technological development.

26.6.2001

EN

Official Journal of the European Communities

C 180 E/171

A c t i o n s e n v i s a g e d

These activities will be carried out in the whole field of science and technology,
including in the priority
thematic areas. The need for European research in all areas and disciplines to have a high-capacity and
high-speed communication infrastructure (based more particularly on GRID-type architectures), as well as elec-
tronic publishing services, will in particular receive special attention. These activities, which will be defined and
carried out using the scientific advice of the European Science Foundation in particular, will take the form of
support for:

(cid:151) transnational access to research infrastructures;

(cid:151) implementing integrated activities, by means of European-scale infrastructures or consortia of infrastructures,
making it possible to ensure the provision of services on a European scale and possibly covering, in addition
to transnational access, the establishment and operation of cooperation networks, and the execution of joint
research projects; raising the level of the performance of the infrastructures concerned;

(cid:151) carrying out feasibility studies and work in preparation for the creation of new European scale infra-

structures;

(cid:151) optimising of European infrastructures by providing limited support for the development of new infra-
structures. This support may supplement contributions from the EIB or the Structural Funds to the
funding of these infrastructures; the feasibility studies should systematically explore the possibilities of
such a contribution.

2.4.

Science/society

O b j e c t i v e

The activities carried out under this heading are intended to encourage the development of harmonious relations
between science and society and the opening-up of innovation in Europe as a result of the establishment of new
relations and an informed dialogue between researchers, industrialists, political decision-makers and citizens.

J u s t i f i c a t i o n o f

t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

Science/society issues need to a large extent to be addressed at European level on account of their strong
European dimension. This is bound up with the fact that very often they arise on a European scale (as the
example of food safety problems shows), with the importance of being able to benefit from the often comple-
mentary experience and knowledge required in the different countries and with the need to take into account the
variety of views on them, which reflects European cultural diversity.

A c t i o n s e n v i s a g e d

In line with the Commission Staff Working Paper (cid:145)Science, Society and Citizens in Europe(cid:146) (1), the activities
carried out in this area in the whole field of science and technology will particularly address the following
themes:

(cid:151) Bringing research closer to society: Science and governance; scientific advice;

involvement of society in

research; foresight;

(cid:151) Ensuring that use of scientific and technological progress takes place in a responsible fashion: risk; expertise;

implementing the precautionary principle; European reference system; ethics;

(cid:151) Stepping up the science/society dialogue: new forms of dialogue; knowledge of science by citizens; young

people’s interest in scientific careers; women in science and research.

They will take the form of activities in support of:

(cid:151) networking and establishment of structural

links between the institutions and activities concerned at

national, regional and European level;

(cid:151) exchange of experience and good practice;

(cid:151) carrying out specific research;

(1) SEC(2000) 1973.

C 180 E/172

EN

Official Journal of the European Communities

26.6.2001

(cid:151) high-profile awareness-raising initiatives such as prizes and competitions;

(cid:151) establishing data and information bases and carrying out studies, in particular statistical and methodological

studies, on the different themes.

3.

STRENGTHENING THE FOUNDATIONS OF THE EUROPEAN RESEARCH AREA

O b j e c t i v e

The activities carried out under this heading are intended to step up the coordination and to support the
coherent development of research and innovation-stimulation policies and activities in Europe.

J u s t i f i c a t i o n o f

t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

Making a reality of the European Research Area depends first and foremost on improving the coherence and
coordination of research and innovation activities and policies conducted at national, regional and European
level. Action by the Community can help to promote efforts to this end, as well as to lay the foundations in
terms of the information, knowledge and analyses that are essential for the successful completion of this project.

A c t i o n s e n v i s a g e d

These activities, to be carried out in the whole field of science and technology, will take the following forms:

(cid:151) To step up the coordination of research activities carried out in Europe, at both national and European level,

financial support for:

(cid:151) the mutual opening-up of national programmes;

(cid:151) networking of research activities conducted at national level;

(cid:151) scientific and technological cooperation activities carried out in other European cooperation frameworks,

in particular the cooperation activities of the European Science Foundation;

(cid:151) collaboration and joint initiatives of specialised European scientific cooperation organisations such as

CERN, EMBL, ESO and the ESA (1).

These actions will be implemented in the general context of efforts undertaken to optimise the overall
performance of European scientific and technological cooperation and ensure that its different components,
including COST and Eureka, are complementary.

(cid:151) In order to support the coherent development of research and innovation policies in Europe:

(cid:151) carrying out analyses and studies, and work relating to scientific and technological foresight, statistics

and indicators;

(cid:151) setting-up and support for the operation of specialised working groups and forums for concertation and

political debate;

(cid:151) support for work on the benchmarking of research and innovation policies at national, regional and

European level;

(cid:151) support for carrying out work on the mapping of scientific and technological excellence in Europe;

(cid:151) support for carrying out the work needed to improve the regulatory and administrative environment for

research and innovation in Europe.

(1) CERN: European Organisation for Nuclear Research; EMBL: European Molecular Biology Laboratory; ESO: European Southern

Observatory; ESA: European Space Agency.

26.6.2001

EN

Official Journal of the European Communities

C 180 E/173

ANNEX II

MAXIMUM OVERALL AMOUNT, RESPECTIVE SHARES AND INDICATIVE BREAKDOWN

The maximum overall financial amount and the respective shares of the various activities as referred to in Article 164 of
the EC Treaty are as follows:

First activity (1):

Second activity (2):

Third activity (3):

Fourth activity (4):

Maximum overall amount (*)

(*) Indicative breakdown:

1.

Integrating research (5) (6)

(cid:151) Genomics and biotechnology for health

(cid:151) Information Society technologies

(cid:151) Nanotechnologies, intelligent materials, new production processes

(cid:151) Aeronautics and space

(cid:151) Food safety and health risks

(cid:151) Sustainable development and global change

(cid:151) Citizens and governance in the European knowledge-based society

(cid:151) Anticipating the EU’s scientific and technological needs (7)

2. Structuring the European Research Area

(cid:151) Research and innovation

(cid:151) Human resources

(cid:151) Research infrastructures

(cid:151) Science/society

3. Strengthening the foundations of the European Research Area

(cid:151) Support for the coordination of activities

(cid:151) Support for the coherent development of policies

EUR million

13 570

600

300

1 800

16 270

12 770

2 000

3 600

1 300

1 000

600

1 700

225

2 345

3 050

300

1 800

900

50

450

400

50

Total

16 270 (8)

(1) Covering the activities carried out under the heading (cid:145)Integrating research(cid:146), with the exception of international cooperation activities;
research infrastructures, and the theme (cid:145)Science/Society(cid:146) carried out under the heading (cid:145)Structuring the European Research Area(cid:146), and
activities carried out under the heading (cid:145)Strengthening the foundations of European Research Area(cid:146).

(2) Covering the international cooperation activities carried out under the heading (cid:145)Integrating research(cid:146), in the priority areas and under

the heading of anticipating the EU’s scientific and technological needs.

(3) Covering the specific activities on the theme (cid:145)Research and innovation(cid:146) carried out under the heading (cid:145)Structuring the European

Research Area(cid:146) in addition to innovation actitivites carried out under the heading (cid:145)Integrating research(cid:146).

(4) Covering the activities concerning human resources and support for mobility carried out under the heading (cid:145)Structuring the European

Research Area(cid:146).

(5) The aim is to allocate at least 15 % of the financial resources assigned to this heading to SMEs.
(6) Including EUR 600 million in total for international cooperation activities.
(7) Including EUR 715 million for JRC activities.
(8) To which should be added the sum of EUR 1,230 million under the Euratom Framework Programme, broken down indicatively as
follows: Treatment and storage of nuclear waste EUR 150 million; Controlled thermonuclear fusion EUR 700 million (of which
EUR 200 million is foreseen for participation in the ITER project); other activities EUR 50 million; JRC activities EUR 330 million
(of which EUR 110 million for the treatment and storage of waste).

C 180 E/174

EN

Official Journal of the European Communities

26.6.2001

INSTRUMENTS AND DETAILED RULES FOR COMMUNITY FINANCIAL PARTICIPATION

ANNEX III

To help bring about the European Research Area, the Community will contribute financially, under the specific
in the
programmes,
priority thematic areas of the framework programme as well as in other areas and other themes in the field of
science and technology.

including demonstration activities, carried out

to the research and technological activities,

The Community’s financial contribution to these activities, which will incorporate measures to encourage innovation,
will be carried out by means of a range of instruments described below.

1.

INSTRUMENTS

1.1.

Instruments to integrate research

1.1.1. Networks of excellence

In the priority thematic areas of research under the framework programme, financial contribution to networks of excellence

Support to these networks is intended to promote excellence in Europe by means of a deep and lasting inte-
gration of excellence capacities existing in universities, research centres and industries in several Member States
into a critical mass of expertise by creating (cid:145)virtual centres of excellence(cid:146).

Integration will be ensured by means of a joint programme of activities representing a substantial part of the
activities of the entities networked. The entities will need to have or acquire the operational autonomy necessary
to gradually integrate their activities with those of other entities.

The programmes of activities, representing an order of magnitude of several millions of euros per annum, will be
defined on the basis of precise research themes and topics, but not on the basis of pre-defined objectives or
results. Implementing them will entail the gradual integration of the work programmes in the areas concerned, a
precise breakdown of activities, a significant volume of exchanges of personnel, and intensive use of electronic
information and communication networks and virtual and interactive working methods. These programmes will
necessarily and in a verifiable manner involve activities to manage, transfer and exploit the knowledge produced.

The networks of excellence will be selected on the basis of calls for proposals.

Opening up participation in the networks of excellence to researchers from other European countries than those
of the associated entities will be encouraged by means of measures in support of mobility. Participation in the
networks of excellence will in addition be open to third country organisations and European scientific coop-
eration organisations.

1.1.2.

Integrated projects

In the priority thematic areas of research of the framework programme, financial contribution to integrated projects

These projects, representing an order of magnitude of up to several tens of millions of euros, will be carried out
by consortia often involving intense university/industry collaboration.

The projects may cover (cid:145)risky(cid:146) research and will in all cases have clearly defined objectives in terms of scientific
and technological knowledge or products, processes or services. The integrated projects may in some cases be
made up of clusters dedicated to different aspects of one and the same objective, integrated into a single action
by industry and public sector research partners on the basis of a regularly updated timetable.

Carrying them out will necessarily and in a verifiable manner entail activities relating to dissemination, transfer
and exploitation of knowledge as well as analysis and evaluation of the economic and social impact of the
technologies concerned and the factors involved in their successful exploitation.

They will preferably be carried out on the basis of overall financing plans involving significant mobilisation of
public and private sector funding, and recourse to other collaboration or funding schemes, in particular Eureka
and the instruments of the EIB and the EIF.

The integrated projects will be selected on the basis of calls for proposals. Participation in them will be open to
third country organisations and organisations for European scientific cooperation. There will be specific measures
to encourage SME participation.

26.6.2001

EN

Official Journal of the European Communities

C 180 E/175

The networks of excellence and the integrated projects will be administered by the participants with a high level
of autonomy. They will in particular have the possibility:

(cid:151) of associating other partners with the activities that they undertake;

(cid:151) of defining projects of limited scale as components of their programmes of activity and launching calls for

proposals;

(cid:151) of adapting the content of those programmes according to needs.

The implementation of the programmes of activities carried out by the networks of excellence and in the context
of the integrated projects will be regularly evaluated.

1.1.3. Participation in national programmes carried out jointly

In the priority thematic areas of research of the framework programme, financial contribution to national programmes
carried out jointly pursuant to Article 169 of the Treaty.

The programmes concerned will be clearly identified programmes implemented by governments or national
research organisations. Their joint implementation will entail recourse to a specific implementation structure.
This may be achieved by means of harmonised work programmes and common, joint or coordinated calls for
proposals. In appropriate cases, the development or operation of common infrastructures may be involved.

The Community may contribute financially to the programmes carried out jointly. Where those programmes are
open to other European countries, the Community may also support the participation of researchers, teams or
institutions from those countries.

1.1.4. Anticipating the EU’s scientific and technological needs

The instruments for implementing the activities carried out under the heading (cid:145)Anticipating the EU’s scientific
and technological needs(cid:146) are described in Annex 1.

1.2.

Instruments to structure the European Research Area

The instruments for implementing the activities carried out in the following areas are described in Annex 1:

(cid:151) research and innovation;

(cid:151) human resources and mobility;

(cid:151) research infrastructures;

(cid:151) science/society.

1.3.

Instruments to strengthen the foundations of the European Research Area

The instruments for implementing the activities carried out under this heading are described in Annex 1.

2.

DETAILED RULES FOR FINANCIAL PARTICIPATION BY THE COMMUNITY

The Community will contribute financially towards implementing the instruments defined below in compliance
with the Community framework for State aid to research and development, as well as international rules in this
area, and in particular the WTO Agreement on Subsidies and Countervailing Measures. It will need to be possible
to adjust the scale and form of financial participation under the framework programme on a case-by-case basis,
in particular if funding from other public sector sources is available, including other sources of Community
financing such as the EIB and EIF.

In the case of participation of bodies from regions lagging in development, when a project receives the
maximum intensity of co-financing authorised under the framework programme or an overall grant, an
additional contribution from the Structural Funds, pursuant to Council Regulation (EC) No 1260/99 (1), could
be granted.

In the case of participation of bodies from the candidate countries, an additional contribution from the
pre-accession financial instruments could be granted under similar conditions.

Financial participation by the Community will be granted in compliance with the principle of co-financing, with
exception of financing for studies, conferences and public tenders. Depending on the nature of the different
instruments, financial participation by the Community may be of an overall nature or take the form of a grant to
the budgets for each of the steps in the implementation of the instruments.

(1) OJ L 161, 26.6.1999.

C 180 E/176

EN

Official Journal of the European Communities

26.6.2001

Financial participation by the Community will, as a general principle, be decided following open calls for
proposals or invitation to tender procedures.

The Community may also contribute in the form of grants to the capital needed to develop research infra-
structures.

The Commission will carry out the research activities in such a way as to ensure the protection of the
Community’s financial interests by means of effective controls and, if irregularities are detected, by means of
dissuasive and proportionate penalties.

In the decisions adopting the specific programmes implementing this Framework Programme, there can be no
derogations from the rules set out in the table below.

Instruments

Financial participation by the Community under the
framework programme

Integrating research (1)

1. Financial contribution to networks of excellence.

The Community may award an overall grant on the
basis of
from implementation of a
common programme of activities.

results

the

2. Financial contribution to integrated projects.

The Community may award a grant to the budget of
these projects corresponding to a maximum of 50 %
of their total cost.

3. Financial contribution to national programmes

carried out jointly.

4. Financial contribution to activities carried out in
order to anticipate the EU’s scientific and tech-
nological
research
including
activities for SMEs and specific international coop-
eration activities.

specific

needs,

The Community may award a grant to the budget of
jointly-executed
a
maximum of 50 % of their total cost; it may cover
on an overall basis the participation of third country
researchers and organisations in the activities.

corresponding

activities

to

The Community may award a grant to the budget of
these activities corresponding to a maximum of 50 %
of of their total cost and assume responsibility for the
entire budget of the JRC.

Structuring the European Research Area

1. Financial contribution to activities

to promote

interaction between research and innovation.

The Community may award a grant for the budget for
these activities.

2. Financial

contribution to the development of

human resources and increased mobility.

The fellowships and support for excellence will be of a
global nature.

3. Financial contribution in support of research infra-

structures.

The Community may award a grant to the budgets for
the preparatory technical work,
including feasibility
studies, to a maximum of 50 % of their total cost; it
may award an overall grant for transnational access
and network development activities and, on the basis
of the results, for the implementation of integrated
initiatives; it may award a grant to the budgets for
the development of new infrastructures corresponding
to a maximum of 10 % of their total cost.

4. Financial contribution towards the development of
harmonious relations between science and society.

The Community may award a grant for the budgets
for these initiatives.

Strengthening the
Research Area

foundations of

the European

1. Financial contribution to coordination activities.

The Community may award a grant for the budgets
for these activities.

2. Financial contribution to measures in support of
the coherent development of research policies.

The Community may award a grant for the budgets
for these measures.

(1) In the three categories of activities undertaken under (cid:145)Integrating research(cid:146) Community funding can cover the participation of

bodies and researchers from third countries.