Modified proposal for a Decision of the European Parliament and of the Council concerning the sixth Multiannual Framework Programme 2002-2006 of the European Community for Research, Technological Development and demonstration activities aimed at Contributing Towards the Creation of the European Research Area - (2002-2006) (presented by the Commission pursuant to Article 250(2) of the EC-Treaty)
Date: 2001-11-22
Institutions: European Commission
Subjects: EU programme, EU research policy, innovation, research and development, research programme

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Modified proposal for a Decision of the European Parliament and of the Council concerning the
sixth multiannual framework programme of the European Community for research, technological
development and demonstration activities aimed at contributing towards the creation of the
European Research Area (2002-2006) (1)

(2002/C 75 E/10)

(Text with EEA relevance)

COM(2001) 709 final (cid:151) 2001/0053(COD)

(Submitted by the Commission pursuant to Article 250(2) of the EC Treaty on 22 November 2001)

(1) OJ C 180 E, 26.6.2001, p. 156.

INITIAL PROPOSAL

AMENDED PROPOSAL

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

Unchanged

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
bases of Community industry and encouraging it
to
become more competitive at
level, while
promoting research activities deemed necessary by virtue
of other Community policies.

international

(1) In the context of the fulfilment of the objectives presented
in Article 2 of the Treaty, Article 163 of the Treaty gives
the Community the objective of
strengthening the
scientific and technological bases of Community industry
and encouraging it to become more competitive at inter-
national level, while promoting research activities deemed
necessary by virtue of other Community policies.

(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.

Unchanged

(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.

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INITIAL PROPOSAL

AMENDED PROPOSAL

(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).

(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.

(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,
in the context of sustainable devel-
opment, with the ultimate goal of enabling the Union,
within the next ten years, to become the world’s most
competitive and dynamic knowledge economy.

(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),

Unchanged

(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.

(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 the European Union, candidate countries and other
associated countries and making a significant contribution
to bringing about the European Research Area.

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

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INITIAL PROPOSAL

AMENDED PROPOSAL

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.

Unchanged

(10) The Joint Research Centre is called on to contribute to the
implementation
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

of

(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.

(11) Research activities carried out within the framework
programme must respect fundamental ethical principles,
notably those which appear in the Charter of Funda-
mental Rights of the European Union; no support will
be provided to research aimed at military purposes.

(12) Following the Commission Communication (cid:145)A Mobility
Strategy within the European Research Area(cid:146),
the
mobility of researchers will be promoted, with a view to
the successful creation of the European Research Area.

(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) 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, and
further enhanced action is needed

(14) Participation in the activities of

the sixth framework
programme will be encouraged through publication of
the necessary information on content, conditions and
to be made available in a timely and
procedures,
thorough manner
including
those from the candidate and other associated countries.

to potential participants,

(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,

(15) The Commission will submit regular progress reports to
the European Parliament
and the Council on the
implementation of the sixth framework programme and,
in good time and before submitting its proposal for the
an independent
next
assessment carried out of
the
activities undertaken, which will be done in a spirit of
openness with respect to all the relevant actors.

framework programme, have

the implementation of

___________
(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.

___________
(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.

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INITIAL PROPOSAL

AMENDED PROPOSAL

(16) The

financial

implications of

sixth
framework programme are compatible with the current
ceiling under heading 3 of the financial perspective.

the multiannual

(17) Each thematic priority area should have its own budget
line in the General Budget of the European Communities,

HAVE DECIDED AS FOLLOWS:

Unchanged

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

the
referred
is hereby adopted for

and

to

as

A multiannual

1.
research,
activities, hereinafter
programme(cid:146) is hereby adopted for the period 2002-2006.

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

development
referred to as

technological

and

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

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

Annex I

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

sets out

scientific

the

Unchanged

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.

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

The detailed rules

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

the General

Budget

the

for

to

of

Unchanged

Article 3

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

the

research activities

All
framework programme must be carried out
with fundamental ethical principles.

carried out under

sixth
the
in compliance

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INITIAL PROPOSAL

AMENDED PROPOSAL

Article 4

Implementation of the sixth framework programme may give
rise, where necessary, to supplementary programmes within
the meaning of Article 168 of
to Community
participation in research and development programmes
undertaken by several Member States within the meaning of
Article 169 or to the setting-up of joint undertakings or any
other structure within the meaning of Article 171. It may also
give rise to cooperation with third countries or international
organisations within the meaning of Article 170.

the Treaty,

Article 4

Article 5

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.

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

in the report

Article 5

Article 6

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.

Unchanged

Article 6

Article 7

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

The sixth framework programme is open, in accordance with
the relevant agreements, decisions or protocols, to the partici-
pation of the EEA countries, the candidate countries, and other
countries including Switzerland and Israel.

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

Deleted

lished in the EEA agreements;

(cid:151) the central and eastern European candidate countries
(CEEC),
in accordance with the conditions established in
additional protocols
the Europe Agreements,
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.

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INITIAL PROPOSAL

AMENDED PROPOSAL

ANNEX I

Unchanged

SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES AND BROAD
LINES OF THE ACTIVITIES

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

Activities under the sixth framework programme for research and tech-
nological development 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

Unchanged

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 foun-
dations 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
the framework
represent
programme, are intended to integrate research efforts and activities
on a European scale. They will be carried out:

the efforts deployed under

the bulk of

the bulk of

The activities carried out to further the first objective, which will
the framework
represent
programme, are intended to integrate research efforts and activities
on a European scale, and develop our knowledge and understanding.
They will be carried out:

the efforts deployed under

(cid:151) in a limited number of priority thematic areas exclusively by means
instruments: networks of
integrated projects and EU participation in national
to Article
implemented jointly pursuant

of strongly integrating and powerful
excellence,
research programmes
169 of the Treaty;

(cid:151) in a limited number of priority thematic areas mainly by means of
instruments: networks of
strongly integrating and powerful
integrated projects and EU participation in national
excellence,
research programmes
to Article
implemented jointly pursuant
169 of the Treaty as well as, in the form of a stairway of excellence
and integration, specific targeted projects and co-ordination actions;

(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 areas covering a wider field of research in the form of certain

specific needs of EU policies or new emerging needs;

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INITIAL PROPOSAL

AMENDED PROPOSAL

(cid:151) in the field of science and technology as a whole in the case of

complementary research activities for SMEs.

(cid:151) in the field of science and technology as a whole in the case of
for SMEs,

complementary research and innovation activities
including very small firms.

Research activities will be based on an integrated and, where relevant,
incorporating as appropriate innovation
transdisciplinary approach,
and socio-economic dimensions.

Exploratory research at the leading edge of knowledge will be carried
out as appropriate within each thematic priority area on subjects
closely related to one or more topics included within it.

Unchanged

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

target of

the
framework

first

the

(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
countries (1) or groups of third countries;

cooperation activities with third

(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.

(cid:151) as regards activities covering a wider field of research, 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 activities
under the framework programme.

the bulk of

Unchanged

___________
(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
this, participate in framework programme activities under the
virtue of
same conditions as
the
European Economic Area countries,
the candidate countries, Switzerland
and Israel.

the Member States of

the EU are:

those of

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INITIAL PROPOSAL

AMENDED PROPOSAL

During the implementation of this framework programme and in the
research activities arising from it, fundamental ethical principles are to
be respected. These include the principles set out in the Charter of
fundamental rights of the EU, protection of human dignity and human
life, protection of personal data and privacy as well as the environment
in accordance with Community law (1) and the relevant international
conventions such as the Declaration of Helsinki in its latest version, the
Council of Europe Convention on Human Rights and Biomedicine
signed in Oviedo on 4 April 1997 and the Additional Protocol on
the Prohibition of Cloning Human Beings signed in Paris on 12
January 1998, the UN Convention on the Rights of the Child, the
Universal Declaration on the Human Genome and Human Rights
adopted by UNESCO, and the relevant World Health Organisation
legislation and regulations in countries
(WHO) resolutions, current
where the research will be carried out (2).

The following fields of research shall not be financed under this
framework programme:

(cid:151) research activity aiming at human cloning for

reproductive

purposes;

(cid:151) research activity intended to modify the genetic heritage of human

beings which could make such changes heritable (3);

(cid:151) research activities intended to create human embryos solely for the
purpose of research or for the purpose of stem cell procurement,
including by means of somatic cell nuclear transfer.

In accordance with the Amsterdam protocol on animal protection and
welfare, animal experiments must be replaced with alternatives
wherever possible. Suffering by animals must be avoided or kept to
a minimum (4).

1.

INTEGRATING EUROPEAN RESEARCH

Unchanged

This part of the framework programme is structured as follows:

1.1.

Priority thematic areas of research

1.1.1. Genomics and biotechnology for health

i) Advanced genomics and its applications for health.

ii) Combating major diseases.

___________
(1) The European Group on Ethics in Science and New Technologies advises the
European Commission on ethical aspects in the connection with the prep-
aration and implementation of Community legislation and policies.

(2) Where appropriate, participants in research projects must seek the approval
of the relevant ethics committees prior to the start of the RTD activities. An
ethical review at EC level will be implemented systematically for proposals
dealing with sensitive issues. In specific cases, an ethical review may take
place during the implementation of a project.

(pursuant

(3) Research relating to cancer treatment of the gonads can be financed.
(4) This particularly applies

to animal
experiments
involving species which are particularly closely related to
human beings. Altering the genetic heritage of animals and cloning of
animals may be considered only if the aims are ethically justified and the
conditions are such that the animals’ welfare is guaranteed and the principles
of biodiversity are respected.

to Directive 86/609/EEC)

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INITIAL PROPOSAL

AMENDED PROPOSAL

1.1.2. Information Society technologies

1.1.3. Nanotechnologies,

intelligent materials,

and

new

production processes

1.1.4. Aeronautics and space

1.1.5. Food safety and health risks

1.1.6. Sustainable development

i) Sustainable Energy Systems

ii) Sustainable surface transport

iii) Global change and ecosystems

1.1.7. Citizens

and
knowledge-based society

governance

in

an

open

European

1.2.

Specific activities covering a wider field of research

1.2.1. Anticipating the EU’s scientific and technological needs

1.2.2. Specific research activities for SMEs

1.2.3. Specific international cooperation activities:

1.2.4. Joint Research Centre activities

These activities will be implemented in an integrated fashion to
assure coherence and synergy between their various elements
and, as appropriate, with other parts of
the framework
programme.

1.1.

Priority thematic areas of research

Unchanged

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
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.

in Europe in areas

in which this

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, break-
throughs
living
organisms, more particularly for the benefit of public health
and citizens and to increase the competitiveness of
the
European biotechnology industry.

achieved in decoding the

genomes of

achieved in decoding the

The activities carried out in this area are intended to help
Europe exploit, by means of an integrated research effort, break-
throughs
living
organisms, more particularly for the benefit of public health
and citizens and to increase the competitiveness of the biotech-
nology industry in the Member States, the candidate countries
and other associated countries. The emphasis will be put on
translational research to enable real and consistent progress in
medicine and improve quality of life.

genomes of

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INITIAL PROPOSAL

AMENDED PROPOSAL

J u s t i f i c a t i o n o f
a d d e d v a l u e

t h e

e f f o r t

a n d E u r o p e a n

Unchanged

(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 development of new diagnostic tools and new
treatments capable of helping to combat diseases that are not at
present under control, offering major potential markets.

this work requires

and sustained
considerable
However,
In the United States, public and private
financial outlay.
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.

Europe’s spending on research is at present much lower and
less coherent. The launching of publicly funded research
programmes on genome and 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.

European industry 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,
is necessary both to increase
investment significantly and integrate the research activities
conducted in Europe within a coherent effort,

it

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,
is necessary both to increase
investment significantly and integrate the research activities
conducted in Europe within a coherent effort, while taking
account of the international context.

it

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

Unchanged

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

i) Advanced genomics and its applications for health

(cid:151) Fundamental knowledge and basic tools

for

functional

genomics:

___________
(1) National Institutes of Health.

research will

(cid:151) Fundamental knowledge and basic tools for functional
genomics:
in model
organisms animals, plants and microbes, especially
with small genomes, that will contribute to the under-
standing of the function of genes and gene products
relevant to human health.

involve

studies

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AMENDED PROPOSAL

(cid:151) gene expression and proteomics;

Unchanged

(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

Unchanged

genomics and biotechnology for health:

(cid:151) technological platforms for the development of new

diagnostic, prevention and therapeutic tools;

(cid:151) multidisciplinary functional genomics approaches to

basic biological processes.

(cid:151) technological platforms

for developments

in the
fields of new diagnostic, prevention and therapeutic
tools (including pharmacogenomic approaches, alter-
native methods to animal
testing and stem cell
research);

(cid:151) support

for innovative research in genomics start-up

(cid:151) support

for innovative research in genomics and

companies.

proteomics start-up companies.

ii) Combating major diseases

(cid:151) Application of medical genomics knowledge and tech-

nologies in the following fields:

(cid:151) Application of medical genomics knowledge and tech-
involving a translational approach in the

nologies
following fields:

(cid:151) combating cancer, degenerative diseases of the nervous

system, cardiovascular diseases and rare diseases;

(cid:151) combating diseases of the nervous system, cardiov-

ascular diseases and rare diseases;

(cid:151) combating resistance to drugs;

(cid:151) combating resistance to antibiotics and other drugs;

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

Unchanged

process.

A broader approach will be pursued with regard to combating

A broader approach will be pursued with regard to
combating:

(cid:151) cancer, with a focus on the development of patient-
oriented strategies from prevention to diagnosis and
treatment. Effort will be concentrated on supporting
translational
basic
aimed
knowledge through to clinical application.

bringing

research

at

(cid:151) the three poverty-linked infectious diseases (Aids, malaria
and tuberculosis) which have priority in terms of disease
control at EU and international level.

Unchanged

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AMENDED PROPOSAL

1.1.2.

Information Society technologies

Unchanged

O b j e c t i v e

in this area, pursuant

The activities carried out
to the
conclusions of the Lisbon European Council and the objectives
of the e-Europe initiative, are intended to stimulate the devel-
opment 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.

in this area, pursuant

The activities carried out
to the
conclusions of the Lisbon European Council and the objectives
of the e-Europe initiative, are intended to stimulate the devel-
opment 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 people in
all regions of the Member States, candidate countries and other
associated countries the possibility of benefiting fully from the
development of the knowledge-based society. Concentration on
the future generation of IST will bring IST applications and
services to everyone and enable the development of the next
generation of technologies to be more user-centred.

J u s t i f i c a t i o n o f
a d d e d v a l u e

t h e

e f f o r t

a n d E u r o p e a n

Unchanged

At the dawn of the 21st century, information and communi-
cation technologies are revolutionising the functioning of the
economy and society, and are generating new ways of
producing, trading and communicating. The effort devoted to
insufficient, particularly
these technologies in Europe is still
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.

Europe is well positioned to lead and shape the future devel-
opment not only of technologies but also of their impact on
our life and work. The future competitiveness of all European
industry and the living standards of Europe’s citizens depend
largely on future efforts in IST research in order to prepare the
upcoming generation of products, processes and services.

Unchanged

Deleted

Unchanged

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

technologies

in which computers,
into
integrated

With a view to exerting maximum impact in economic and
social terms, effort should focus on the future generation of
and
those
everyday
networks will
environment and will
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.

interfaces
the

render accessible,

be more

C 75 E/144

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Official Journal of the European Communities

26.3.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

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
the next
the development of
such as
targeted initiatives,
generations of mobile communication systems,
to
so as
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
technological priorities:

therefore address the following

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

Completing and building on progress expected in the devel-
opment of basic technologies,
finding
solutions for major societal and economic challenges and,
accordingly, focusing on:

research aimed at

Completing and building on progress expected in the devel-
opment of basic technologies,
finding
solutions for major societal and economic challenges faced by
an emerging knowledge-based society and, accordingly, focusing
on:

research aimed at

(cid:151) Research on technologies

confidence
addressing the key security challenges posed by the
(cid:145)all-digital(cid:146) world and the need to secure the rights and
privacy of citizens.

trust

and

for

(cid:151) ambient

intelligence

systems offering

to the
information society for all, whatever their age and situation,
as well as interactive and intelligent systems for health,
mobility,
the cultural
heritage and environmental monitoring;

leisure, preservation of

security,

access

(cid:151) ambient

intelligence

systems offering

to the
information society for all, regardless of age and situation,
as well as interactive and intelligent systems for health,
mobility, security,
tourism preservation of, and
access to, the cultural heritage and environment, including
humanitarian mine clearance;

leisure,

access

(cid:151) electronic and mobile commerce, as well as technologies for
secure transactions and infrastructures, new tools and new
methods of work, technologies for learning and systems for
corporate knowledge management, for integrated business
management and for e-government;

(cid:151) electronic and mobile commerce, as well as technologies for
secure transactions and infrastructures, new tools and new
methods of work,
including the consequences of IST on
work and working environments technologies for learning
and systems for corporate knowledge management, for inte-
taking
grated business management
account of consumer needs;

e-government

for

(cid:151) large-scale distributed systems and platforms,

Unchanged

GRID-based systems
complex problems
energy, health, transport and industrial design.

in areas

such as

that provide effective solutions

including
to
the environment,

Communication and computing infrastructures

transmission,

Information access,
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:

Mobile, wireless, optical and broadband communication infra-
structures and computing and software technologies that are
reliable, pervasive and can be adapted to meet the growing
needs of applications and services. Work will focus on:

26.3.2002

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Official Journal of the European Communities

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INITIAL PROPOSAL

AMENDED PROPOSAL

(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;

technologies;

(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,
for audiovisual applications.
in particular
Work will also lead to the next generation Internet
including the roll out of version six (IPv6);

(cid:151) software technologies and architectures assuring multifunc-
tional services and distributed systems; engineering and
control of complex and large-scale systems to ensure relia-
bility and robustness.

(cid:151) software technologies, architectures and distributed systems
supporting the development of multifunctional and complex
services
involve multiple actors; engineering and
control of complex and large-scale systems to ensure relia-
bility and robustness.

that

Components and microsystems

Unchanged

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,

components,

(cid:151) the design and production of micro- and opto-electronic
and photonic
information
storage, pushing the limits of miniaturisation and mini-
mising the costs and power consumption of micro-elec-
tronic and micro-system components, and taking account
of the environmental impact of IST systems.

including for

(cid:151) nanoelectronics, microtechnologies

and microsystemsd
multidisciplinary research into new materials and quantum
devices; new computing models and concepts.

(cid:151) nanoelectronics, microtechnologies, displays and micro-
systems, and multidisciplinary research into new materials
and quantum devices; new computing models and concepts.

Information management and interfaces

Unchanged

Research into information management tools and interfaces,
with a view to enabling easier interaction everywhere and at
all
times with knowledge-based services and applications,
addressing:

(cid:151) knowledge representation and management systems based
on context and semantics, including cognitive systems, as
well as tools for creating, organising, sharing and dissemi-
nating digital content;

(cid:151) knowledge representation and management systems based
on context and semantics, including cognitive systems, as
well as tools for creating, organising, navigating, retrieving,
sharing and disseminating digital content;

(cid:151) multisensorial interfaces capable of understanding and inter-
preting the natural expression of human beings through
words,
virtual
the
environments, as well as multilinguistic and multicultural
systems
the
knowledge-based society on a European scale.

establishment

indispensable

gestures

various

senses,

and

the

to

of

Unchanged

C 75 E/146

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26.3.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

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
leading-edge
and exploit, especially for greater eco-efficiency,
technologies
intelligence-based
knowledge-
products, services and manufacturing processes of the years
to come.

and

the

for

The activities carried out in this area are intended to help the
Member States, candidate countries and other associated
countries achieve a critical mass of capacities needed to
develop and exploit, especially for greater eco-efficiency and
into the
reduction of discharges of hazardous
environment,
the knowledge-
leading-edge technologies
and intelligence-based products, services and manufacturing
processes of the years to come.

substances
for

J u s t i f i c a t i o n o f
a d d e d v a l u e

t h e

e f f o r t

a n d E u r o p e a n

Unchanged

Manufacturing industry in Europe at present produces goods
and services valued at around EUR 4 000 billion a year. In an
it must maintain and
increasingly competitive world market,
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 dissemi-
nation
nanotechnologies,
knowledge-based materials and new production processes.

technologies:

advanced

of

industrial

the next

Lying at the frontier of quantum engineering, materials tech-
nology and molecular biology, and one of the foreseeable hubs
of
are
the EU’s
attracting considerable investment on the part of
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).

revolution, nanotechnologies

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

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

Where materials are concerned, the aim is to develop intelligent
materials which are expected to add considerable value in terms
of applications in sectors such as transport, energy, electronics
and the biomedical 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.

Unchanged

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;

26.3.2002

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INITIAL PROPOSAL

AMENDED PROPOSAL

(cid:151) nano-biotechnologies;

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

and components;

(cid:151) development
instruments;

of

handling

and

control

devices

and

(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 trans-

(cid:151) technologies associated with the production and trans-

formation of new materials;

formation of new materials, including bio-materials;

(cid:151) support engineering.

Unchanged

New production processes:

(cid:151) the development of flexible and intelligent manufacturing
systems incorporating advances in virtual manufacturing
technologies,
interactive decision-aid systems and high-
precision engineering;

(cid:151) the development of new processes and flexible and intel-
ligent manufacturing systems incorporating advances in
virtual manufacturing technologies, interactive decision-aid
systems, high-precision engineering and innovative robotics;

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

control;

(cid:151) systems

needed

research

non-polluting waste
management and hazard control in production and manu-
facturing,
in
bio-processes
including
consumption of primary resources;

reduction

and

for

(cid:151) development of new concepts optimising the life-cycle of

Unchanged

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 aero industry vis-(cid:224)-vis increasingly strong world
the potential of European
competition; and to help exploit
research in this sector with a view to improving safety and
environmental protection.

European aeronautics

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

industry

space

J u s t i f i c a t i o n o f
a d d e d v a l u e

t h e

e f f o r t

a n d E u r o p e a n

Unchanged

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
stories. However, US
economic
investment
to six times higher,
depending on the sector.

and commercial
in aerospace

success
three

is

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 areas in which Europe
has a tradition of success, and economic and commercial
potential. However, US investment in aerospace is three to six
times higher, depending on the sector.

C 75 E/148

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26.3.2002

INITIAL PROPOSAL

AMENDED PROPOSAL

In an increasingly demanding competitive environment, fore-
seeable aviation requirements world-wide correspond to some
14 000 new aircraft over the next 15 years, representing a
to
market worth EUR 1 000 billion. The
integrate
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.

and development

efforts made

capacities

industrial

Unchanged

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

sector of

in this

On space, following on from the Commission’s communication
(cid:145)Europe and space: Turning to a new chapter(cid:146) (2), 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) reduce fuel consumption and the environmental impact of
(CO2 and NOx

including nuisances and loads

aircraft,
emissions, noise);

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

Unchanged

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
investment
strengthen the
involved, will address the implementation of:

the very major

coherence of

(cid:151) the Galileo satellite navigation project;

___________
(1) (cid:145)European Aeronautics: A Vision for 2020(cid:146)

(Report of

the Group of

Personalities).
(2) COM(2000) 597.

26.3.2002

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INITIAL PROPOSAL

AMENDED PROPOSAL

(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 communications.

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.

The activities carried out in this area are intended to help the
Member States, the candidate countries and other associated
countries establish the integrated scientific and technological
bases needed to develop an environmentally friendly system
in
of production and distribution of safe and healthy food,
line with consumer
food-related
risks, relying in particular on biotechnology tools, as well as
health risks associated with environmental changes.

requirements, and control

J u s t i f i c a t i o n o f
a d d e d v a l u e

t h e

e f f o r t

a n d E u r o p e a n

Unchanged

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 impli-
cations. 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
research will help to
guarantee that the food and products marketed are safe and
healthy and can be consumed in total safety.

that

that

Citizens and consumers expect
research will help to
guarantee that the food and products marketed are safe and
healthy and can be consumed in total safety. To this end,
emphasis should be placed on the whole food production
chain,
(cid:145)from fork to farm(cid:146), including where appropriate plant
sciences and biotechnology relevant for health.

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.

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. Given that small and very small enterprises constitute a
major part of
the success of activities
undertaken will rely on the adaptation of knowledge and
processes to the specific characteristics of these enterprises.

the food sector,

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.

Unchanged

C 75 E/150

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INITIAL PROPOSAL

AMENDED PROPOSAL

The same remarks apply to the various aspects of the problems
associated with the health impact of environmental 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.

The same remarks apply to the various aspects of the problems
associated with the health impact of environmental factors (e.g.
endocrine disruptors, carcinogens etc.) 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 combi-
nation 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.

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

Unchanged

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 microorganisms viruses, bacteria, parasites,
and new agents of the prion type;

(cid:151) methods of analysis, detection and control of chemical
contaminants and existing or emerging pathogenic micro-
organisms such as viruses, bacteria, yeasts, fungi, parasites,
and new agents of the prion type (with emphasis on devel-
opment of ante-mortem diagnostic tests
for BSE and
scrapie);

(cid:151) impact of animal

feed and the use of sub-products of

different origins for that feed, on human health;

(cid:151) impact of animal

containing
genetically modified organisms, and the use of sub-products
of different origins for that feed, on human health;

feed including products

(cid:151) (cid:145)traceability(cid:146) processes,
modified organisms,
biotechnology developments;

in particular relating to genetically
including those based on recent

(cid:151) (cid:145)traceability(cid:146) processes,

relating to amongst other

food

components, genetically modified organisms;

(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 suscepti-

bilities;

(cid:151) safer

and

friendly

environmentally

and
processing methods and healthier, nutritious, and functional
foodstuffs, relying on a range of approaches from the use of
plant and animal sciences and biotechnologies to organic
farming;

production

(cid:151) epidemiology

food-related
including impact of diet on the health of children;

diseases

and

of

allergies,

(cid:151) impact of

food, and in particular products containing

genetically modified organisms, on health;

(cid:151) impact of food, including amongst others products resulting
from organic farming or containing genetically modified
organisms, and those arising from recent biotechnology
developments 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.

(cid:151) environmental health risks,

(chemical, biological

and
physical) with emphasis being placed on cumulative risks,
including combined exposures of authorised substances,
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.

26.3.2002

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INITIAL PROPOSAL

AMENDED PROPOSAL

1.1.6. Sustainable development and global change (1)

1.1.6 Sustainable development (1)

O b j e c t i v e

Unchanged

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
to
understand and control global change and preserve the equi-
librium of ecosystems.

contribution to

international

efforts

the

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, recognised as a
Community objective by the Gothenburg European Council,
integrating its environmental, economic and social dimensions,
with particular
energy and
transport. They should enable Member States, the candidate
significant
countries
and other
contribution to the international efforts to understand and
control global
equilibrium of
ecosystems.

regard to secure

and preserve

sustainable

associated

to make

change

the

a

J u s t i f i c a t i o n o f
a d d e d v a l u e

t h e

e f f o r t

a n d E u r o p e a n

Unchanged

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 natural
less waste production and a reduction in the
resources,
impact of economic activity on the environment;

(cid:151) the design, development and dissemination of technologies
making it possible to ensure the conservation and more
rational and sustainable use of natural resources, with less
waste and a reduction in the impact of economic activity on
the environment,
in favour of an (cid:145)energy intelligent(cid:146) and
(cid:145)transport intelligent(cid:146) Europe;

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

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

is

technology

Where
as highlighted in the
concerned,
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.

Unchanged

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.

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. This will require the devel-
opment of
and transport
sustainable
solutions.

innovative

energy

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

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

the implementation of
Above and beyond this objective,
sustainable development
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.

in the coming decades makes

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.

___________
(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.

___________
(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.

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INITIAL PROPOSAL

AMENDED PROPOSAL

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.

Medium and long-term research efforts will also be necessary to
develop the sustainable European transport system, which has
been established as a priority objective for the EU in the White
Paper on the European Transport Policy.

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.

Unchanged

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
research programmes on
these themes.

international

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, the Montreal Protocol, and
the UN Conventions on Biodiversity and Desertification. It has a
duty to make a substantial and coherent contribution to the
efforts made
research
programmes on these themes.

through the major

international

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

Unchanged

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

Technologies for sustainable development

Deleted

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

The Community’s RTD efforts will concentrate on activities in
the following areas:

(cid:151) renewable energy sources, energy savings and energy effi-
ciency, 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;

Deleted

(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 innovations 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.

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i) Sustainable Energy Systems

(cid:151) in the short and medium term, especially in the urban

environment:

(cid:151) the main new and renewable energy sources and

their integration,

(cid:151) alternative motor fuels,

(cid:151) energy saving and energy efficiency, in particular in

buildings;

(cid:151) for the medium and longer term:

(cid:151) fuel cells including applications for transport and for

stationary use,

(cid:151) technologies for hydrogen as an energy carrier and

storage system,

(cid:151) new and advanced concepts for photovoltaic energy
and advanced uses of biomass (including of agri-
cultural origin),

(cid:151) disposal of CO2 associated with cleaner fossil fuel

plants;

ii) Sustainable surface transport

(cid:151) with a view to developing environmentally friendly
and clean urban

transport
transport, with rational use of the car in the city:

and vehicles

systems

(cid:151) new vehicle concepts in particular for road and
urban
propulsion
including
systems and integration of fuel cells for transport
purposes,

transport,

novel

(cid:151) advanced design and production techniques leading
to improved quality, safety, recyclability, comfort and
cost-effectiveness;

(cid:151) with a view to making rail and maritime transport more
effective, and addressing the interoperability needs of a
single European Railway System and assuring intelligent
and safe transport of passengers and freight in particular
for road and maritime transport:

(cid:151) rebalancing and integrating different modes,

in
favour of those that are more sustainable and safer
(for example by means of developing intermodality
for freight and passengers, and innovations in the
management of the logistic chain),

(cid:151) optimising infrastructure use and increasing safety,
through interoperable intelligent transport systems
and vehicles, and avoiding traffic congestion,
in
particular in urban areas.

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Global change

iii) Global change and ecosystems

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

Unchanged

(cid:151) impact and mechanisms of greenhouse gas emissions on

climate and carbon sinks (oceans, forests and soil);

(cid:151) impact and mechanisms of greenhouse gas emissions
and other atmospheric constituents on climate and
carbon sinks (oceans, forests and soil) in particular to
improve prediction and to evaluate mitigation options;

(cid:151) water cycle;

(cid:151) water cycle, including soil (cid:151) related aspects;

(cid:151) biodiversity, protection of genetic resources, operation of
terrestrial and marine ecosystems and interactions between
human activities and the latter;

(cid:151) understanding marine and terrestrial biodiversity, marine
ecosystem functions, protection of genetic resources,
sustainable management of
and marine
ecosystems and interactions between human activities
and the latter;

terrestrial

(cid:151) mechanisms

of
connected with climate change;

desertification

and

natural

disasters

Unchanged

(cid:151) global climate change observation systems.

1.1.7. Citizens and governance in the European knowledge-based

society

1.1.7. Citizens

and
knowledge-based society

governance

in

an

open

European

O b j e c t i v e

Unchanged

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 understanding and addressing issues
related to the emergence of the knowledge-based society and
new forms of relationships between its citizens and institutions.

The activities carried out in this area are intended to mobilise in
a coherent effort,
in all their wealth and diversity, research
capacities
in the Member States, candidate countries and
other associated countries in economic, political, social and
human sciences that are necessary to develop an understanding
of, and to address issues related to,
the
relationships
knowledge-based society and new forms of
between its people, on one hand and between its people insti-
tutions on the other.

the emergence of

J u s t i f i c a t i o n o f
a d d e d v a l u e

t h e

e f f o r t

a n d E u r o p e a n

Unchanged

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).

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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 char-
acterise the European model of society, as well as issues of
entrepreneurship and development of small enterprise. In this
respect, economic, political, social and human sciences research
should more particularly help to ensure the harnessing and
increasing quantity of
exploitation of
information and knowledge and an understanding of
the
processes at work in this area.

an exponentially

Unchanged

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 char-
respect,
acterise the European model of
research
economic, political,
should more particularly help to ensure the harnessing and
increasing quantity of
exploitation of
information and knowledge and an understanding of
the
processes at work in this area.

society.
In this
and human sciences

an exponentially

social

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 representatives in the
political debate.

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

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 methodo-
logical coherence and guarantee that
is derived
from the rich variety of approaches existing in Europe and
European diversity.

full benefit

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

Action by the Community will focus on the flowing themes:

Knowledge-based society

Knowledge-based European society and social cohesion

(cid:151) improving the production, transmission and utilisation of

knowledge in Europe;

(cid:151) Research with reference to the objectives set by the Lisbon
European Council and subsequent Councils,
in particular:
improving the production, transmission and utilisation of
knowledge in Europe;

(cid:151) options

for

the

and

choices

development

a
knowledge-based society serving the EU objectives set at
in particular as
the Lisbon and Nice European Councils,
regards improving the quality of
life, employment and
labour market policies,
life-long education and training,
and strengthening social cohesion and sustainable devel-
opment;

of

(cid:151) options

for

the

and

choices

development

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

life-long

of

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(cid:151) variety of transition dynamics towards the knowledge-based

society at local, national and regional level.

(cid:151) variety of

transition dynamics and paths
the
knowledge-based society at local, national and regional level.

towards

Citizenship, democracy and new forms of governance

Unchanged

(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) consequences of European integration and enlargement of
the EU for democracy, the concept of legitimacy, and the
functioning of
through a better under-
standing of political and social institutions in Europe, and
their historical evolution;

the institutions,

(cid:151) redefinition of areas of competence and responsibility, and

(cid:151) articulation of areas of competence and responsibility, and

new forms of governance;

new forms of governance;

(cid:151) security issues connected with the resolution of conflicts

Unchanged

and restoration of peace and justice;

(cid:151) emergence of new forms of citizenship and identities, forms

and impact of cultural diversity in Europe.

(cid:151) emergence of new forms of citizenship and identities, forms
and impact of cultural diversity in Europe; social and
cultural dialogue between Europe and the rest of the world.

In operational
support for:

terms, Community activities will

focus on

Unchanged

(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

Deleted

The activities carried out under this heading are intended to:

(cid:151) respond to the scientific and technological needs of

corresponding to those policies,

the
policies of the Community and of the Union in all the
areas
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;

(cid:151) respond flexibly and rapidly to emerging scientific and tech-
nological needs and major unforeseeable developments, 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:

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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
in the 6th Environment
example,
Programme (1)
a
and the Green Paper
European Strategy for the Security of Energy Supply(cid:146) (2);

(cid:145)Towards

set out

those

(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
Information Society and e-Europe,
economic policy,
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, for example, health, in particular public
health, regional development, trade, external relations
and development aid or 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
in partnerships of a size commensurate

carried out
with the needs to be met;

(cid:151) the networking of research activities carried out at
in the
to

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

level, where the existing capacities

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.

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

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(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
the Commission will
review,
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 implemented on the
basis of annual decisions.

These activities will also comprise in particular:

1.2.

Specific activities covering a wider field of research

Activities under this heading will complement research within
the thematic priority areas and comprise the following:

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

(cid:151) Specific research activities for SMEs

(cid:151) Specific international co-operation activities

(cid:151) Joint Research Centre activities

1.2.1. Anticipating the EU’s scientific and technological needs

These activities have a distinct role within the overall archi-
tecture of
the sixth framework programme. They involve
common implementation arrangements, and the necessary
to assure efficient and flexible conduct of
critical mass,
research which is essential to the fundamental objectives of
Community research and which covers a wide range of needs
that cannot be satisfied within the thematic priorities. They will
have the following specific objectives:

(cid:151) To underpin the

formulation and implementation of
Community policies, bearing on the interests of possible
future members of
the Union as well as the existing
Member States, and monitor their effects;

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and multidisciplinary

(cid:151) To explore new and emerging scientific and technological
problems and opportunities, including in particular interdis-
ciplinary
research areas, where
European action is appropriate in view of the potential to
develop strategic positions at the leading edge of knowledge
and in new markets, or to anticipate major issues facing
European society.

A feature common to these activities is that they will be imple-
mented within a multi-annual perspective which takes direct
account of the needs and viewpoints of the main associated
actors (as appropriate: policymakers,
industrial user groups,
leading edge research groups, etc.) They will be implemented
in conjunction with an annual programming mechanism, by
which specific priorities, corresponding to identified needs
and falling within the objectives indicated above, will be
determined.

for

the

Priorities thus determined will then be inscribed in the work-
programme
specific programme,
corresponding
alongside the priorities deriving from objectives in other parts
of the programme, and updated regularly. This will result in a
progressive allocation of the budget relating to these activities
to the specific priorities identified, throughout the period of
execution.

The programming will be carried out by the Commission, and
will be based on suggestions received in response to a wide-
ranging consultation of interested circles in the EU and the
countries
programme,
the
regarding the topics to be included.

associated with

framework

A budget of Euro 440 million will be allocated to the research
activities specified below, which have been determined on the
basis of needs which can be identified now. This represents
the amount destined for all activities under
50 % of
this
heading;
the remaining 50 % will be allocated to research
activities to be defined during the course of implementation
of the specific programme.

i) Policy-orientated research

The activities under this heading will provide, in particular,
support for:

(cid:151) the implementation of common policies, in particular
the common agricultural policy, and the common
fisheries policy;

(cid:151) the

those set out

achievement of Community policy objectives,
in the 6th
including in particular
Environment Action Programme (1)
the Green Paper
(cid:145)Towards a European strategy for
the security of
energy supply(cid:146) (2); and the White Paper on European
transport policy (3); as well as those in such fields as
public health and consumer protection, gender equality,
external
regional development,
trade,
relations
and
internal affairs.

and development

enlargement,

and justice

aid,

___________
(1) COM(2001) 31.
(2) COM(2001) 769.
(3) COM(2001) 370.

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such as

(cid:151) the achievement of other important objectives of the
set by the European
those
Community,
Commission for
its mandate and
the five years of
those derived from the political orientations given by
including the Lisbon strategy,
the European Council,
in the fields of the
with regard to economic policy,
internal
Information Society and e-Europe, enterprise,
market
and
competitiveness,
employment, and education and culture, including the
requisite statistical methods and tools.

policy

social

and

Multi-annual programming

the

the opinions of

The multi-annual programming of these activities will take
into account
relevant Scientific
Committees associated with the policies concerned. The
programming will be conducted with the help of a User
Group composed of different Commission Services, who
will also have recourse, where appropriate,
to an inde-
pendent consultation structure composed of high-level
scientific and industrial experts. The User Group will
assess suggestions put forward regarding the topics to be
included on the basis of the following criteria:

(cid:151) their contribution to policy formulation and devel-
links with legislative proposals in prep-

opment (e.g.
aration or with major deadlines in the area);

(cid:151) their potential contribution to the EU’s competitiveness,
the strengthening of its scientific and technological bases
and the achievement of the European Research Area,
the candidate
including the effective integration of
countries.

(cid:151) European added value, taking account in particular of
research carried out in the Member States in the relevant
fields;

(cid:151) the scientific relevance and feasibility of the research

themes and approaches proposed;

(cid:151) assurance of an appropriate division of

tasks, and
and the Direct
the Joint Research Centre in support of

activities

synergy, between these
Actions of
Community policies.

The programming may be altered by means of an
emergency procedure based on the
evaluation
criteria in the event of a crisis giving rise to urgent and
unforeseen research needs.

same

Initial research priorities

The programming method described above has been
applied to define policy-orientated research priorities
responding to needs that can already be anticipated.
In
this first application, it has been based on suggestions for
topics made by the Commission’s policy services, drawing
the relevant Scientific
on the advice, as appropriate, of
the
Committees, as well as
the
Union as
meetings of
so
defined will be incorporated in the workprogramme at
the start of the programme.

the broader objectives of
conclusions of
the European Council. The priorities

in successive

set out

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They have been grouped within the following lines of
action,
in a structure which optimises synergies between
different policy requirements and scientific inputs, and
which cuts across and complements the thematic priorities:

this heading responds

(cid:151) Sustainable management of Europe’s natural resources.
Research under
to policy
requirements relating, in particular, to the modernisation
and sustainability of
the common agriculture and
fisheries policies and the promotion of rural devel-
opment, including forestry. It will focus in particular on:

to

and

alternative

approaches

promotion of sustainable, quality-based agriculture and
forestry; multifunctional models of
sustainable agri-
culture and forestry management, and related tools
and assessment methods; promotion of rural devel-
opment;
fisheries
management,
through better understanding of key
an
biological
eco-system based approach; development of bases for
policies to promote sustainable acquaculture through
disease prevention, production systems diversification
and improved husbandry; environmental
implications
aquaculture-based
of
production systems; aquaculture and animal health and
welfare; environmental assessment
(soil, water, air,
noise).

parameters within

agriculture,

selectivity

fisheries

and

(cid:151) Providing health, security and opportunity to the people
of Europe. Research in this category responds to policy
requirements relating,
in particular, to the implemen-
the European Social Agenda, public health
tation of
and consumer protection and the creation of an Area
of Freedom, Security and Justice.
in
particular on:

It will

focus

consumer

handicaps/disabilities,

social,
and public health policy issues
including health determinants and provision of high
quality and sustainable health services and pensions (in
particular in the context of ageing and demographic
change);
epidemiology
contributing to disease prevention and responses to
emerging rare
secure
blood and organ donations, non-animal test methods
and
for
emerging threats to security, consumer and worker
health and safety, as well as understanding migration
and refugee flows, and crime trends.

and communicable diseases,

assessment of

substances

chemical

risk

(cid:151) Underpinning the economic potential and cohesion of a
larger and more integrated European Union. Research in
this category responds, in particular, to the needs of a
series of policies concerned with the competitiveness,
dynamism and integration of the European economy,
enlargement, globalisation and
in the
context of
Europe’s commercial
the
relations with the rest of
world. It will focus in particular on:

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of

sustainable

parameters

integration,

impacts
development,
competitiveness and trade policies (including improved
means to assess economic development and cohesion);
transport security; development of tools, indicators and
operational
sustainable
for
transport and energy system performance (economic,
environmental, social), forecasting and developing inno-
vative policies for sustainability in the medium and long
term; information society issues (such as management
and protection of digital assets,
inclusive access to
information society); protection of cultural heritage;
improved quality, accessibility and dissemination of
European statistics.

assessing

A co-ordinated approach will be ensured when addressing
research questions that are common to different policy
areas,
in particular with respect to the measurement and
impact assessment of demographic changes and more
broadly in the development of policy-relevant statistics
and indicators.

ii) Research to explore new and emerging scientific and tech-

nological problems and opportunities

Research under this heading will respond to needs in new
interdisciplinary and multidisciplinary areas or areas at the
leading edge of knowledge, and which fall within the
legitimate scope of Community research, as well as to unex-
pected major developments. By bringing together resources
from across the EU, it will aim to put European research in
a leading position, opening the way or creating new
scientific and technological developments. It will stimulate
the flow of ideas between academia and industry, and allow
Europe better to exploit its research assets in the drive
towards a dynamic knowledge-based society.

The following areas of activity will be supported initially:

(cid:151) Research to assess rapidly new discoveries, or newly-
observed phenomena, which may indicate emerging
risks or problems of high importance to European
society, and identify appropriate responses to them.

in particular

(cid:151) Research in emerging areas of knowledge and on future
in transdisciplinary fields,
technologies,
which is highly innovative and involves correspondingly
high (technical) risks. It will be open to any new idea
that has significant potential for major industrial and/or
social
the development of Europe’s
research capabilities in the longer term.

impact, or

for

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Proposals will be evaluated on the basis of
research
excellence, potential for future impact, and, in the first of
these areas particularly, innovativeness.

Multi-annual programming

Specific topics within the above categories on which
research will be focused during the implementation of the
programme will be selected by means of the multi-annual
programming on the basis of their urgency or potential for
taking
future societal,
account of
this
heading. The assessment of topics will be carried out with
the support of an independent consultation structure
composed of high-level scientific and industrial experts
and will also incorporate the following criteria:

industrial, or economic relevance,
the ongoing research activities under

(cid:151) the potential

the

contribution of

research topics
proposed for innovation and the EU’s competitiveness,
the strengthening of its scientific and technological bases
and the achievement of the European Research Area,
including the effective integration of
the candidate
countries;

(cid:151) the scientific relevance and timeliness of the research

themes and approaches proposed.

The programming may be altered by means of an
emergency procedure based on the
evaluation
criteria in the event of a crisis giving rise to urgent and
unforeseen research needs.

same

iii) Implementation

The activities programmed will be carried out by means of
calls for proposals. They will essentially take the form of:

(cid:151) Targeted specific projects generally of a limited scale,
carried out by means of partnerships of a size adapted
to the needs to be covered.

(cid:151) The networking of research activities carried out at
national level where the objectives can be achieved by
mobilising capacities existing in the Member States,
candidate countries and other associated states.

In certain duly justified cases, where the objectives pursued
can be better attained in this way, limited use may be made
of the instruments used in the priority thematic areas.

The proposals will be selected following evaluation by inde-
pendent experts.

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Specific research activities for SMEs

1.2.2. Specific research activities for SMEs

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

the activities carried out

Unchanged

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

their

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
industrial associations or
industry groupings in entire sectors of industry dominated
by SMEs at the European level;

research centres for

(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 colla-
boration with research centres and universities;

Specific international cooperation activities

1.2.3. 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:

Unchanged

(cid:151) Mediterranean third countries;

(cid:151) Mediterranean and Balkan third countries;

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

Unchanged

(cid:151) Developing countries.

1.2.2.

Joint Research Centre activities (1)

1.2.4.

Joint Research Centre activities (1)

support

for EU policies,

In accordance with its mission of providing scientific and
technical
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.

the JRC will

Unchanged

___________
(1) The JRC’s activities in the field of nuclear research are described in the Annex
(cid:145)Scientific and technological objectives(cid:146)
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.

to the proposal

___________
(1) The JRC’s activities in the field of nuclear research are described in the Annex
(cid:145)Scientific and technological objectives(cid:146)
for a Euratom
framework programme. The JRC will also carry out activities in connection
with the structuring of the European Research Area, and a limited amount of
exploratory research in connection with those activities.

to the proposal

26.3.2002

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INITIAL PROPOSAL

AMENDED PROPOSAL

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
to
terms of national and private sector interests allows it
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 organi-
sations and businesses in Europe.

The JRC will carry out these activities in close cooperation and
by networking with scientific circles, national research organi-
It may participate in all
sations and businesses in Europe.
research activities of
including
networks of excellence and integrated projects.

the framework programme,

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.

Unchanged

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:

in particular

to combat BSE;
Food safety and quality,
chemical
products,
genetically modified
including validation of non-animal
testing procedures;
biomedical applications (more particularly establishment of
references in this area).

organisms;

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

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

in particular

chemical

(cid:151) Environment and sustainability:

Unchanged

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

technical

support

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

Unchanged

(cid:151) Technology foresight:

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

C 75 E/166

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AMENDED PROPOSAL

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

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

qualification

and

(cid:151) Public security and combating fraud

Detection of antipersonnel 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
inno-
transfer of knowledge
vation, utilisation of research results,
and technologies and the setting up of technology businesses
in the Community and in all its regions.

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

J u s t i f i c a t i o n o f
a d d e d v a l u e

t h e

e f f o r t

a n d E u r o p e a n

Unchanged

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.

___________
(1) Metrology activities in the nuclear field are described in the Annex (cid:145)Scientific
for a Euratom Framework

to the proposal

and technological objectives(cid:146)
Programme.

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INITIAL PROPOSAL

AMENDED PROPOSAL

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) networking of stakeholders and users in the European inno-
vation system and carrying out analyses and studies in order
to promote exchanges of experience and good practice and
to engage users better in the innovation process;

(cid:151) actions to encourage trans-regional cooperation regarding
innovation and support for the setting-up of technology
regional
businesses, as well as
strategies in this area;

the preparation of

for

(cid:151) actions to encourage trans-regional cooperation regarding
innovation and support for the setting-up of technology
businesses, as well as for the preparation of regional and
trans-regional strategies in this area;

(cid:151) actions to experiment with new tools and new approaches

Unchanged

concerning technological innovation;

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

services

(cid:151) economic and technological intelligence activities (analyses
technological developments, applications and markets
of
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)Inno-
vation 2000 Initiative(cid:146) as well as the Structural Funds.

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)Inno-
vation 2000 Initiative(cid:146) as well as
in co-ordination with
Structural Funds measures in this field.

2.2.

Human resources and mobility

Unchanged

O b j e c t i v e

The activities carried out under this heading are intended to
the development of abundant world class human
support
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,
this
purpose,

taking appropriate measures

for

The activities carried out under this heading are intended to
the development of abundant world class human
support
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 and younger researchers, taking appropriate
measures for this purpose, and where appropriate in synergy
with the efforts towards a European area for higher education.

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INITIAL PROPOSAL

AMENDED PROPOSAL

J u s t i f i c a t i o n o f
a d d e d v a l u e

t h e

e f f o r t

a n d E u r o p e a n

Unchanged

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,
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.

and helps

A t t e n t i o n w i l l b e p a i d t o :

(cid:151) the participation of women within all actions, and appro-
to promote a more equitable balance

priate measures
between men and women in research;

(cid:151) the personal circumstances relating to mobility, particularly
and
family,

career development

to the

with respect
languages;

(cid:151) the development of research activity in the less-favoured
regions of the EU and Associated Countries, and to the
need for
co-operation
between research disciplines and between academia and
industry, including SMEs.

increased and more

effective

In co-operation with the most appropriate national and
Community actions, support will be given to the provision of
practical assistance to foreign researchers in matters (legal,
administrative, familial or cultural) relating to their mobility.

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

Unchanged

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) individual support measures for European researchers for
the purposes of mobility to another European or a third
country, and for top-class third-country researchers wishing
to come to Europe. Such support will provide for a
sufficiently long training period and focus on researchers
with at least four years of research experience;

(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;

Unchanged

26.3.2002

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INITIAL PROPOSAL

AMENDED PROPOSAL

(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 interdisci-
plinary research activities;

(cid:151) support for the establishment of new European research
teams which are considered to have a potential to reach a
high level of scientific excellence, more particularly for
leading edge or interdisciplinary research activities;

(cid:151) scientific prizes for work of excellence carried out by a
for

researcher having received EU financial
mobility.

support

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
in Europe and to promote their optimum use on a
level
European scale.

J u s t i f i c a t i o n o f
a d d e d v a l u e

t h e

e f f o r t

a n d E u r o p e a n

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
infrastructures ensuring a service on a
establishment of
European scale, as well as optimum construction choices in
European terms and in terms of regional technological devel-
opment.

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 electronic publishing services, will
receive
special attention. These activities, which will be defined and
the European
carried out using the scientific advice of
Science Foundation in particular, will
take the form of
support for:

in particular

Unchanged

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
infrastructures ensuring a service on a
establishment of
European scale, as well as optimum construction choices in
European terms and in terms of regional and trans-regional
technological development.

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
architectures),
including further development of the GØant project, as well
as electronic publishing services, will
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:

on GRID-type

in particular

particularly

(cid:151) transnational access to research infrastructures;

Unchanged

activities,

by means

integrated
infrastructures or

of
(cid:151) implementing
European-scale
infra-
structures, 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;

consortia of

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INITIAL PROPOSAL

AMENDED PROPOSAL

(cid:151) carrying out feasibility studies and work in preparation for

the creation of new European scale infrastructures;

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

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 well as contributing to critical thinking by scientists
in response to concern in society, as a result of the estab-
lishment 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
a d d e d v a l u e

t h e

e f f o r t

a n d E u r o p e a n

Unchanged

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
complementary experience and knowledge required in the
different countries and with the need to take into account the
variety of views on them, which reflects European cultural
diversity.

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;
society in research;
involvement of

advice;

scientific
foresight;

(cid:151) Ensuring that use of scientific and technological progress
expertise;
responsible
European
precautionary

fashion risk;
principle

takes place
implementing
reference system; ethics;

in a
the

(cid:151) Ensuring that use of scientific and technological progress
takes place in a responsible fashion, in harmony with the
ethical values of most Europeans: assessment, management
and communication of uncertainty and risk; expertise;
analysis and support to best practice in the application of
the precautionary principle in different areas of policy
making; European reference system; research on ethics in
relation to science,
technology developments and their
applications;

___________
(1) SEC(2000) 1973.

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INITIAL PROPOSAL

AMENDED PROPOSAL

(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.

(cid:151) Stepping up the science/society dialogue: new forms of
dialogue with the participation of relevant stakeholders;
knowledge of science by citizens; stimulation of awareness
through prizes and citizens fora; promoting young people’s
interest in scientific careers; initiatives aimed at promoting
the role and place of women in science and research at all
levels.

They will take the form of activities in support of:

Unchanged

(cid:151) networking and establishment of structural

links between
concerned at national,

institutions

the
regional and European level;

and activities

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

(cid:151) carrying out specific research;

(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 devel-
opment 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
a d d e d v a l u e

t h e

e f f o r t

a n d E u r o p e a n

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,
the
Community can help to promote efforts to this end, as well
as
the information,
knowledge and analyses that are essential for the successful
completion of this project.

European level. Action by

to lay the foundations

in terms of

regional

and

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;

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INITIAL PROPOSAL

AMENDED PROPOSAL

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

level;

(cid:151) scientific and technological cooperation activities carried
out
in
in other European cooperation frameworks,
particular the cooperation activities of COST and the
European Science Foundation;

(cid:151) collaboration

specialised
European scientific cooperation organisations such as
CERN, EMBL, ESO and the ESA (1).

initiatives

joint

and

of

Efforts will be made to encourage European co-ordination of
research priorities,
research activities across
including:

the range of

(cid:151) health: health issues

(in
particular children and older people); major diseases and
disorders (for example, diabetes and hepatitis).

in specific population groups

(cid:151) environment
seismic risks;

sustainable local and urban development;

(cid:151) energy (fossil fuels): new generation power plants ((cid:145)near-
zero-emission(cid:146)), energy storage, transport and distribution.

These actions will be implemented in the general context of
efforts undertaken to optimise the overall performance of
European scientific and technological co-operation 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:

Unchanged

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

foresight,

scientific and technological
indicators;

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

working groups and forums
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
for

environment

the
regulatory and administrative
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.

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INITIAL PROPOSAL

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

2. Structuring the European Research Area

(cid:151) Research and innovation

(cid:151) Human resources and mobility

(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

3 050

300

1 800

900 (7)

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].

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AMENDED PROPOSAL

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) Advanced genomics and its applications for health
(cid:151) Combating major diseases
(cid:151) Information Society technologies
(cid:151) Nanotechnologies, intelligent materials, and new production processes
(cid:151) Aeronautics and space
(cid:151) Food safety and health risks
(cid:151) Sustainable development

(cid:151) Sustainable Energy Systems
(cid:151) Sustainable surface transport
(cid:151) Global change and ecosystems

(cid:151) Citizens and governance in an open European knowledge-based society
(cid:151) Specific activities covering a wider field of research

(cid:151) Anticipating the EU’s scientific and technological needs
(cid:151) Specific research activities for SMEs
(cid:151) Specific international co-operation activities
(cid:151) Joint Research Centre activities

2. Structuring the European Research Area

(cid:151) Research and innovation
(cid:151) Human resources and mobility
(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

Total

EUR million

13 715
600
275
1 680
16 270

13 020
2 150
1 100
1 050
3 600
1 300
1 000
625
1 850
630
600
620
225
2 270
800
450
300
720
2 830
275
1 680

800 (7)
75
420
370
50
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) Of which at least 15 % for SMEs.
(6) Including EUR 600 million in total for international cooperation activities.
(7) Including up to EUR 150 million for further development of GØant.
(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]

26.3.2002

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INITIAL PROPOSAL

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
programmes,
in the
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.

C 75 E/176

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Official Journal of the European Communities

26.3.2002

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.

26.3.2002

EN

Official Journal of the European Communities

C 75 E/177

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 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.

C 75 E/178

EN

Official Journal of the European Communities

26.3.2002

AMENDED PROPOSAL

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

Four types of instrument will be used for the implementation of activities in the thematic priority areas:
networks of excellence; integrated projects; participation in jointly-executed national programmes; as well as,
in the form of a stairway of excellence and integration, specific targeted research projects and co-ordination
activities.

During the implementation of the research activities, the types of instruments, from within these categories, to
be applied for a particular subject of research will be specified, as well as the nature of proposals that are
expected.

The networks of excellence and integrated projects will be the main instruments for implementing research
activities; specific targeted research projects and co-ordination actions may be employed for research projects
with objectives within particular fields of research with limited scope.

1.1.1. Networks of excellence

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

The overall objective of Networks of Excellence (NoE) is to reinforce scientific and technological excellence in
Europe by progressively integrating research capacities at a high level of excellence across European countries.
NoE foster co-operation between capacities of excellence existing in universities, research centres, enterprises
(SMEs as well as big enterprises), and technology organisations. Each NoE will act as a (cid:145)Virtual centre of
excellence(cid:146) dedicated enhancing the progress of knowledge on a particular theme, in the perspective of long
term objectives.

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, but
which may also be of more limited size, provided that the necessary critical mass and integration can be
achieved, 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.

The networks of excellence will prepare and implement a strategy for disseminating the results of their work;
resources will be reserved for this purpose by each network of excellence.

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Official Journal of the European Communities

C 75 E/179

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, but which may also
include projects of more limited size, provided that the necessary critical mass and integration can be achieved,
will be carried out by consortia often involving intense university/industry collaboration. The partners may be
enterprises (including SMEs), universities and research centres, and other legal entities.

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 applicable to 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.

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, and reported on by the Commission in its annual report on
RTD activities.

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, without discrimination between Member States. 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.

C 75 E/180

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Official Journal of the European Communities

26.3.2002

1.1.4. Specific targeted research projects

Specific targeted research projects may take either of the following two forms, or a combination of the two:

a) a research and technological development project designed to gain new knowledge either to considerably
improve or to develop new products, processes or services or to meet other needs of society and Community
policies;

b) a demonstration project designed to prove the viability of new technologies offering potential economic

advantage but which cannot be commercialised directly.

1.1.5. Coordination actions

Coordination actions are intended to promote and support the coordinated initiatives of a range of research and
innovation operators. They cover a range of activities such as the organisation of conferences, meetings, the
performance of studies, exchanges of personnel, the exchange and propagation of good practices, setting up
information systems and expert groups, and may, if necessary, include support for the definition, organisation
and management of joint or common initiatives.

1.1.6. Specific activities covering a wider field of research

The instruments for implementing the activities carried out under the heading (cid:145)Specific activities covering a
wider field of research(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.

In the case of participation of organisations from Mediterranean or developing countries, a contribution of the
MEDA programme and of the financial instruments of the Union’s aid to development could be envisaged.

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.

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.

(1) OJ L 161, 26.6.1999.

26.3.2002

EN

Official Journal of the European Communities

C 75 E/181

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.

activities

corresponding

The Community may award a grant to the budget of
a
jointly-executed
maximum of 50 % of their total cost; where these
activities are open to other European countries it
may cover on an overall basis the participation of
researchers and organisations from these countries
in the activities.

to

4. Financial contribution to specific targeted research
projects and coordination actions and specific
activities
research,
including specific research activities for SMEs and
specific international cooperation activities

covering a wider

field of

The Community may award a grant to the budget of
these activities 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