Common Position (EC) No 27/2002 of 28 January 2002 adopted by the Council, acting in accordance with the procedure referred to in Article 251 of the Treaty establishing the European Community, with a view to adopting a Decision of the European Parliament and of the Council concerning the sixth framework programme of the European Community for research technological development and demonstration activities, contributing to the creation of the European Research Area and to innovation (2002 to 2006) (Text with EEA relevance)
Date: 2002-01-28
Institutions: Council of the European Union
Subjects: EU Member State, EU programme, EU research policy, innovation, research and development, research programme, technological change

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COMMON POSITION (EC) No 27/2002

adopted by the Council on 28 January 2002

with a view to adopting Decision No . . ./2002/EC of the European Parliament and of the Council
of . . . concerning the sixth framework programme of the European Community for research,
technological development and demonstration activities, contributing to the creation of the
European Research Area and to innovation (2002 to 2006)

(2002/C 113 E/04)

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

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

Having regard to the proposal from the Commission (1),

Having regard to the opinion of the Economic and Social
Committee (2),

Having consulted the Committee of the Regions,

Acting in accordance with the procedure laid down in Article
251 of the Treaty (3),

Whereas:

(1) For the fulfilment of the tasks laid down in Article 2 of
the Treaty, Article 163 of the Treaty provides that the
Community is to have 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) Article 164 of the Treaty enumerates the activities the
Community is to carry out in pursuing these objectives,
complementing the activities carried out in the Member
States.

(4) Pursuant to Article 165 of the Treaty, the Community and
Member States are to coordinate their research and tech-
nological development activities so as to ensure that
national policies and Community policy are mutually
consistent.

(5) In 2000 the Commission submitted two communications,
respectively on the prospects for and the objectives of
creating a European Research Area, and on making a
reality of the European Research Area and guidelines for
European Union research activities in the period 2002 to
2006.
In 2000 the Commission also submitted a
communication on ‘innovation in a knowledge-driven
economy’.

(6) The European Councils in Lisbon in March 2000, Santa
Maria de Feira in June 2000 and Stockholm in March
2001 adopted conclusions aimed at
the rapid estab-
lishment of a European research and innovation area
with a view to sustainable economic growth, more
employment and social cohesion with the ultimate goal
of enabling the Union, by 2010, to become the world's
most competitive and dynamic knowledge economy.

The Göteborg European Council in June 2001 agreed on
a strategy for sustainable development and added a third,
environmental dimension to the Lisbon strategy.

In particular, the European Council in Lisbon underlined
the importance of the Commission's e-Europe initiative,
which aims at an information society for all, while the
Stockholm European Council also stressed the need to
make particular efforts in new technologies, especially
biotechnology.

(3) The Treaty provides for the adoption of a multiannual
framework programme
all Community
setting out
research,
technological development and demonstration
fully
(RTD)
respects the principle of subsidiarity as set out in Article
5 of the Treaty.

framework programme

activities. This

(1) OJ C 180, 26.6.2001, p. 156.
(2) OJ C 260, 17.9.2001, p. 3.
(3) Opinion of

the European Parliament of 14 November 2001,
Council Common Position of 28 January 2002 and Decision of
the European Parliament of . . . (not yet published in the Official
Journal).

(7) 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),

(4) Resolution of 18 May 2000 (OJ C 59, 23.2.2001, p. 250).
(5) Resolution of 15 February 2001 (not yet published in the Official

Journal).

(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).

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(8) 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.

(9) The sixth framework programme should have a struc-
turing effect on research and technological development
including the Member States, associated
in Europe,
candidate countries and other associated countries and
make a significant contribution to the establishment of
the European Research Area and to innovation.

(10) In accordance with Article 166(1) of the Treaty,

for

it is
necessary to establish the scientific and technological
objectives and to fix the relevant priorities
the
the maximum overall amount, the
activities envisaged,
detailed rules for Community financial participation in
the sixth framework programme, as well as the respective
shares in each of the activities envisaged, and to indicate
the broad lines of the activities in question, which will be
implemented in compliance with the objective of
protecting the Community's
is
important to ensure sound financial management of the
sixth framework programme.

interests.

financial

It

(11) It is appropriate to place special emphasis on the needs of

small and medium-sized enterprises (SMEs).

(12) The sixth framework programme should provide an
important contribution to the development of scientific
and technical excellence and to the coordination of
European research. The framework programme should
stress the importance of involving associated candidate
countries in the Community's research policy and in the
European Research Area.

institutions
countries
Russia and the newly independent States (NIS).

from developing countries, Mediterranean
including the Western Balkans as well as

(16) The Joint Research Centre should contribute to the
implementation of the framework programme, where it
can provide independent, customer-driven support for the
formulation and implementation of Community policies,
implementation of such
including the monitoring of
policies, in the areas of its specific competence.

(17) Research activities carried out within the sixth framework
programme should respect fundamental ethical principles,
including those which are reflected in Article 6 of the
Treaty on European Union and in the Charter of Funda-
mental Rights of the European Union.

(18) Following the Commission communication ‘A mobility
strategy within the European Research Area’,
the
mobility of researchers will be promoted, with a view
to the successful creation of the European Research Area.

(19) Following the Commission communication ‘Women and
science’ and the resolutions of the Council of 20 May
1999 (1) and 26 June 2001 (2) and the Resolution of the
European Parliament of 3 February 2000 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.

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

(13) Specific targeted projects and coordination actions may
also be used as a ‘stairway of excellence’ to facilitate the
access of smaller research actors of scientific excellence,
including SMEs, as well as research actors from associated
candidate countries, to the activities of this framework
programme.

(21) Implementation of the sixth framework programme may
give rise to the participation of
the Community in
programmes undertaken by several Member States or to
the setting up of joint undertakings or other arrangements
within the meaning of Articles 169 to 171 of the Treaty.

(14) The participation of the outermost regions in Community
RTD actions through appropriate mechanisms adapted to
their particular situation should be facilitated.

(22) The Scientific and Technical Research Committee (CREST)

has been consulted,

The

important

in the
sixth

is
benefits.

(15) The international and global dimension in European
interest of
research activities
obtaining mutual
framework
programme is open to the participation of countries
to this
having concluded the necessary agreements
effect, and is also open on the project level, and on the
basis of mutual benefit, to the participation of entities
from non-member countries and of international organi-
sations for scientific cooperation. Specific activities will be
undertaken in support of participation of scientists and

HAVE DECIDED AS FOLLOWS:

Article 1

A multiannual

1.
framework programme for Community
research,
development
demonstration
the ‘sixth framework
referred to as
activities, hereinafter
programme’ is hereby adopted for the period 2002 to 2006.

technological

and

(1) OJ C 201, 16.7.1999, p. 1.
(2) OJ C 199, 14.7.2001, p. 1.

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

meeting its priorities;
also be included.

information on financial aspects shall

The sixth framework programme shall contribute to the

3.
creation of the European Research Area and to innovation.

Annex I

4.
and technological
objectives and the related priorities and indicates the broad
lines of the activities envisaged.

sets out

scientific

the

Article 5

sixth framework programme

implemented
The
through specific programmes. These programmes
shall
establish precise objectives and the detailed rules for implemen-
tation.

shall be

Article 2

Article 6

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

The detailed rules

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

for

Article 3

the

research activities

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

carried out under

sixth
the
in compliance

Article 4

In the context of the annual report to be submitted by the
the Treaty,
Commission pursuant
the
on progress with
Commission shall
and in
implementing the
and
particular progress

report
sixth framework programme,
towards

to Article 173 of
in detail

achieving its objectives

1.
The Commission shall continually and systematically
monitor, with the help of independent qualified experts, the
implementation of the sixth framework programme and its
specific programmes.

2.
Before submitting its proposal for the next framework
programme, the Commission shall have an external assessment
the
carried out by independent highly qualified experts of
implementation and achievements 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.

Done at . . .

For the European Parliament

The President

For the Council

The President

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ANNEX I

SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES, BROAD LINES OF THE ACTIVITIES AND PRIORITIES

INTRODUCTION AND GENERAL OUTLINE

The sixth framework programme (this programme) will be carried out to further the objective set out in Article 163(1)
of the Treaty,
‘of strengthening the scientific and technological bases of Community industry and encouraging it to
become more competitive at international level, while promoting all the research activities deemed necessary by virtue
of other Chapters of this Treaty’.

In order to achieve this more effectively, and in order to contribute to the creation of the European Research Area and
to innovation, this programme will be structured around the following three headings, under which the four activities as
set out in Article 164 of the Treaty will be undertaken:

— focusing and integrating Community research,

— structuring the European Research Area,

— strengthening the foundations of the European Research Area.

The activities under these three headings will contribute to the integration of research efforts and activities on a
European scale as well as contributing to the structuring of the various dimensions of the European Research Area.
Coordination of activities carried out under these headings will be ensured.

Small and medium-sized enterprises (SMEs) will be encouraged to participate in all areas of this programme,
particular in the context of the activities carried out in the priority thematic areas.

in

International participation in these activities will be assured. Participation will be open to all countries having concluded
Association Agreements with the Community to this effect. Other non-member countries may participate in this
programme via bilateral cooperation agreements.

Researchers and organisations from non-member countries may also participate on a case-by-case basis in projects. The
detailed conditions under which entities from non-member countries and international organisations involved in
research activities may participate in this programme,
including the financial arrangements, are specified in the
Decision which will be adopted pursuant to Article 167 of the Treaty.

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

During the implementation of this programme and in the research activities arising from it, fundamental ethical
principles including animal welfare requirements, are to be respected. These include, inter alia, principles reflected in
the Charter of Fundamental Rights of the European Union, protection of human dignity and human life, protection of
personal data and privacy as well as the environment in accordance with Community law and, where relevant, inter-
national Conventions, such as the Declaration of Helsinki, 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 (WHO)
resolutions, the Amsterdam Protocol on Animal Protection and Welfare; and current
legislation, regulations and
ethical guidelines in countries where the research will be carried out.

1.

Focusing and integrating Community research

The activities carried out under this heading, which will represent the major part of the efforts deployed under this
programme, are intended to integrate research efforts and activities on a European scale. They will be focused
primarily on seven clearly defined thematic priority areas, while further specific measures will be undertaken across
a wider field of scientific and technological research.

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The Joint Research Centre (JRC) will provide independent customer-driven support for the formulation and
implementation of Community policies, including the monitoring of implementation of such policies, within its
areas of specific competence.

1.1. Thematic priorities

Seven priority thematic areas are identified, namely:

1. genomics and biotechnology for health;

2.

information society technologies;

3. nanotechnologies and nanosciences, knowledge-based multifunctional materials, and new production processes

and devices;

4. aeronautics and space;

5. food quality and safety;

6. sustainable development, global change and ecosystems;

7. citizens and governance in a knowledge-based society.

1.2. Specific activities covering a wider field of research

1.2.1. Supporting policies and anticipating scientific and technological needs: activities in support of Community

policies and research responding to new and emerging scientific and technological needs;

1.2.2. horizontal research activities involving SMEs: these specific activities are intended to help European SMEs in
traditional or new areas to boost their technological capacities and develop their ability to operate on a
European and international scale;

1.2.3. specific measures in support of international cooperation: in support of external relations and the devel-
opment policy of the Community, specific measures aimed at encouraging international research coop-
eration will be undertaken. In principle, the following three groups of non-member countries will be
involved:

(a) developing countries;

(b) Mediterranean countries, including the Western Balkans;

(c) Russia and the newly independent States (NIS).

1.3. Non-nuclear activities of the Joint Research Centre

Two specific research areas have been selected for JRC activities, namely:

(a) food, chemical products and health,

(b) environment and sustainability.

2.

Structuring the European Research Area

Activities in this area will cover the following:

2.1. Research and innovation

Activities to stimulate technological innovation, utilisation of research results, transfer of knowledge and tech-
nologies and the setting up of technology businesses in the Community and in all its regions will be carried out
under this heading to complement the activities relating to innovation under the heading ‘Focusing and integrating
Community research’.

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2.2. Human resources and mobility

Activities to support the development of world-class human resources in all the regions of the Community by
promoting transnational mobility for training purposes, development of expertise or transfer of knowledge between
different sectors, supporting the development of excellence and helping to make Europe more attractive to the best
of non-member country researchers. The potential offered by all sectors of the population, especially women,
should be developed through appropriate supporting measures.

2.3. Research infrastructures

Activities to promote the optimum use of,
including access to, research infrastructures and to support the
identification, planning and, in duly justified cases, setting-up of advanced research facilities of European interest.

2.4. Science and society

Activities to encourage harmonious relations between science and society and the awareness of society in respect of
innovation, as a result of new relations and informed dialogue between researchers, industrialists, political decision-
makers and citizens.

3.

Strengthening the foundations of the European Research Area

Activities to step up the coordination and support the coherent development of research and development policies
in Europe. They would provide financial support for measures such as the opening up of national programmes.

A more detailed description of the activities carried out under these three headings is set out below.

1. FOCUSING AND INTEGRATING COMMUNITY RESEARCH

The activities carried out under this heading will represent the major part of the research efforts deployed under this
programme, intended to contribute to the general objective of the Treaty of strengthening the scientific and technical
bases of Community industry and encouraging it to be more competitive at international level, while promoting all the
research activities deemed necessary by other Chapters of the Treaty. In order to bring about European added value by
assembling a critical mass of resources, this programme will focus on seven, clearly defined thematic priority areas
where Community research efforts will be integrated by pulling them together and making them more coherent, on a
European scale.

Throughout the activities under this heading, special attention will be given to technological innovation, and to the
initial development of highly innovative enterprises in areas of vital interest to European competitiveness. Exploratory
research at the leading edge of knowledge will be carried out on subjects closely related to one or more topics in the
thematic priority. Measurements and testing aspects will also receive necessary emphasis. The principle of sustainable
development, socioeconomic, ethical and wider cultural aspects of the envisaged activities, and gender equality, will be
duly taken into account, where relevant for the activity concerned.

To complement efforts in the thematic priorities, specific horizontal research activities will address SMEs, innovation and
international cooperation as well as respond to Community policy objectives and future and emerging research needs.

1.1. Thematic priorities

1.1.1. Genomics and biotechnology for health (1)

Objective

The activities carried out in this area are intended to help Europe exploit, by means of an integrated research
effort, breakthroughs achieved in decoding the genomes of living organisms, more particularly for the
benefit of public health and citizens and to increase the competitiveness of the European biotechnology
industry.
In the field of applications, the emphasis will be put on research aimed at bringing basic
knowledge through to the application stage to enable real and consistent progress in medicine and
improve the quality of life.

(1) Fundamental knowledge in genomics (including human/animal/plant) is covered by the first priority, as well as its applications to
human health. Applications to food are covered by the fifth priority (for example relating to nutrition/better quality food). Other
issues related to life sciences are addressed under the sixth priority or covered, as appropriate, by Section 1.2.1 (‘Policy oriented
research’) as well as Heading 3.

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Justification of the effort and European added value

‘Post-genomic’ research based on analysis of the human genome and genomes of other organisms, will
culminate in numerous applications in various health-related 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 research may also have implications on research on areas
such as environment and agriculture.

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

Actions envisaged

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

A. A d v a n c e d g e n o m i c s a n d i t s a p p l i c a t i o n s f o r h e a l t h

(a) fundamental knowledge and basic tools for functional genomics in all organisms:

(i) gene expression and proteomics;

(ii) structural genomics;

(iii) comparative genomics and population genetics;

(iv) bioinformatics;

(v) multidisciplinary functional genomics approaches to basic biological processes;

(b) application of knowledge and technologies in the field of genomics and biotechnology for health:

(i) technological platforms for the developments in the fields of new diagnostic, prevention and
therapeutic tools (including pharmacogenomic approaches, stem cell research and alternative
methods to animal testing).

B. C o m b a t i n g m a j o r d i s e a s e s

(a) Application-oriented approach to medical genomics knowledge and technologies including the use of

animal and plant genomics where relevant, mainly in the following fields (1):

(i) combating diabetes, diseases of the nervous system including where relevant mental

illness,

cardiovascular diseases, and rare diseases;

(ii) combating resistance to antibiotics and other drugs;

(iii) studying human development, the brain and the ageing process.

(b) A broader approach will be pursued with regard to:

(i) cancer, with a focus on the development of patient-oriented strategies from prevention to

diagnosis and treatment;

(ii) combating the three poverty-linked infectious diseases (Aids, malaria and tuberculosis) which

have priority in terms of disease control at Union and international level.

(1) See also Section 1.2.1 ‘Policy support and anticipating scientific and technological needs’ and Heading 3 (Strengthening the foun-

dations of the European Research Area) for other health-related topics.

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1.1.2. Information society technologies (IST)

Objective

The activities carried out in this area, pursuant to the conclusions of the Lisbon European Council and the
objectives of the e-Europe initiative, are intended to stimulate the development in Europe of both hardware
and software 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 Union regions the
possibility of benefiting fully from the development of the knowledge-based society.

Justification of the effort and European added value

At the dawn of the 21st century,
information and communication technologies are revolutionising the
functioning of the economy and society, and are generating new ways of producing, trading and communi-
cating.

This has become the Union'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 development 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 future
generation of products, processes and services.

Industrial and commercial successes of the kind that Europe has achieved in mobile communications as a
result of the global system for mobile communication (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.

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

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

Actions envisaged

The actions undertaken will therefore address the following technological priorities.

I n t e g r a t i n g r e s e a r c h i n t o t e c h n o l o g i c a l a r e a s o f p r i o r i t y i n t e r e s t f o r c i t i z e n s a n d
b u s i n e s s e s

Completing and building on progress expected in the development of basic technologies, research aimed at
finding solutions for major societal and economic challenges, faced by an emerging knowledge-based society
including the consequences for work and the workplace environment, and, accordingly, focusing on:

(a) research on technologies addressing the key security challenges posed by the ‘all-digital’ world and the

need to secure the rights and privacy of citizens;

(b) ‘ambient intelligence’ systems offering access to the information society for all, regardless of age and
situation, as well as interactive and intelligent systems for health, mobility, security, leisure, tourism,
access to and preservation of the cultural heritage, and environment;

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(c) electronic and mobile commerce, as well as technologies for secure transactions and infrastructures, new
tools and new methods of work, technologies for learning (such as e-learning) and systems for corporate
knowledge management, for integrated business management for e-government taking account of user
needs;

(d) large-scale distributed systems and platforms,

information database
(GRID)-based systems that provide effective solutions to complex problems in areas such as the
environment, energy, health, transport and industrial design.

including global

resource

C o m m u n i c a t i o n a n d c o m p u t i n g i n f r a s t r u c t u r e s

Mobile, wireless, optical and broadband communication infrastructures and computing and software tech-
nologies that are reliable, of wide application and can be adapted to meet the growing needs of applications
and services. Work will focus on:

(a) the new generations of wireless and mobile communications systems and networks; satellite communi-
cations systems; all-optical technologies;
integration and management of communication networks,
including interoperable network solutions; capacity-enhancing technologies necessary for the devel-
opment of systems, infrastructures and services, in particular for audiovisual applications. Work will
also lead to the development of the next Internet generation;

(b) software technologies architectures, distributed and embedded systems supporting the development of
multifunctional and complex services that involve multiple actors engineering and control of complex
and large-scale systems to ensure reliability and robustness.

C o m p o n e n t s a n d m i c r o s y s t e m s

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

(a) the design and production of nano-, micro-, and opto-electronic and photonic components, including
those used for information storage, pushing the limits of miniaturisation and minimising the costs and
power consumption of micro-electronic and micro-system components, and taking account of the
environmental impact of IST systems;

(b) nano-electronics, microtechnologies, displays and microsystems, and multidisciplinary research into new

materials and quantum devices; new computing models and concepts.

I n f o r m a t i o n m a n a g e m e n t a n d i n t e r f a c e s

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:

(a) knowledge representation and management systems based on context and semantics, including cognitive
systems, as well as tools for creating, organising, navigating, retrieving, sharing, preserving and dissemi-
nating digital content;

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

1.1.3. Nanotechnologies and nanosciences, knowledge-based multifunctional materials and new production

processes and devices

Objective

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

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Justification of the effort and European added value

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

dissemination of

development

advanced

design,

Lying at the frontier of quantum engineering, materials technology and molecular biology, and one of the
foreseeable hubs of the next industrial revolution, nanotechnologies need considerable investment.

Europe has significant expertise in certain sectors such as nano-manufacturing and nanochemistry, and
needs to increase and coordinate its 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, electronics and the
biomedical sector and for which there is a potential market of several tens of billions of euro.

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.

Actions envisaged

Nanotechnologies and nanosciences:

(a)

long-term interdisciplinary research into understanding phenomena, mastering processes and developing
research tools;

(b) supramolecular architectures and macromolecules;

(c) nano-biotechnologies;

(d) nanometre-scale engineering techniques to create materials and components;

(e) development of handling and control devices and instruments;

(f) applications in areas such as health, chemistry, energy, and the environment.

Knowledge-based multifunctional materials:

(a) development of fundamental knowledge;

(b) technologies

associated with

the

production

and

transformation

including

processing

of

knowledge-based multifunctional materials and of biomaterials;

(c) support engineering.

New production processes and devices:

(a) the development of new processes and flexible and intelligent manufacturing systems incorporating
advances in virtual manufacturing technologies, interactive decision-aid systems high-precision engin-
eering and innovative robotics;

(b) systems research needed for sustainable waste management and hazard control

in production and
including bio-processes, leading to a reduction in consumption of primary resources

manufacturing,
and less pollution;

(c) development of new concepts optimising the life cycle of industrial systems, products and services.

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1.1.4. Aeronautics and space

Objective

The aim of activities carried out in this area is two-fold: to strengthen, by integrating its research efforts, the
scientific and technological bases of the European aeronautics and space industry and encouraging it to
become more competitive at international level; and to help exploit the potential of European research in
this sector with a view to improving safety and environmental protection.

Justification of the effort and European added value

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 where Europe has a tradition of success, and economic and commercial potential.

However, United States investment in aerospace is three to six times higher, depending on the sector.

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

the next 15 years,

With this aim in view, European, national and private sector research efforts should be optimised around a
common vision and a strategic research agenda.

On space, following on from the Commission's communication ‘Europe and space: turning to a new
chapter’, the Community will support research designed to make use of space for the benefit of markets
and society.

Actions envisaged

A e r o n a u t i c s

Community aeronautical research activities including air transport systems will address research and tech-
nological development activities necessary in order to:

(a)

increase the competitiveness of
equipment;

the European industry with regard to civil aircraft, engines and

(b) reduce the environmental impact of aircraft, including fuel consumption, environmental nuisances and

loads (CO2 and NOX emissions, noise);

(c)

increase aircraft safety in the context of the substantial rise in air traffic;

(d) increase the capacity and safety of the air transport system, in support of a ‘single European sky’ (air

traffic control and management systems).

S p a c e

Community space activities carried out in close coordination with the European Space Agency (ESA), the
other space agencies, research centres and industry, in order to strengthen the coherence of the very major
investment involved, will address:

(a) research on satellite-based information systems and services relevant for the Galileo satellite navigation

project;

(b) research on satellite-based systems relevant for the global monitoring for environment and security

(GMES) platform, taking into account the needs of users;

(c) advanced research needed to integrate the space segment and the Earth segment

in the field of

communications.

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1.1.5. Food quality and safety

Objective

The activities carried out in this area are intended to help establish the integrated scientific and technological
bases needed to develop an environmentally friendly production and distribution chain of safer, healthier
and varied food, including seafood and to control food-related risks, relying in particular on biotechnology
tools taking into account the results of post-genomic research, as well as to control health risks associated
with environmental changes.

Justification of the effort and European added value

The recent food crises, and in particular bovine spongiform encephalopathy (BSE), have highlighted both the
complexity of food safety issues and the fact that in most cases they have international and cross-border
implications.

The integration of the European internal market as regards agriculture and food makes it necessary to
address the problems that arise in this area, and hence to carry out related research, on a European scale. It
is against this background that the European Food Safety Authority will shortly be established.

Citizens and consumers expect that research will help to ensure that the food and products marketed are of
high quality, healthy and can be consumed in safety. To this end, emphasis should be placed on the whole
food production chain, ‘from fork to farm’, including, where appropriate, application of animal and plant
sciences and biotechnology to this area. Requirements relating to animal welfare and health should be taken
into account.

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 enterprises constitute a major part of the food sector, the success of activities undertaken
will rely on the adaptation of knowledge and processes to the specific characteristics of these enterprises.

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

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

Actions envisaged

Community activities will cover research, including, where appropriate, post-genomics research, relating to
various aspects of the control of health risks and links between health and food:

(a) safer and environmentally friendly production and processing methods and healthier, nutritious, func-
tional and varied foodstuffs and animal
feed, based on systems such as integrated production,
lower-input farming including organic agriculture, and the use of plant and animal sciences and biotech-
nologies;

(b) epidemiology of food-related diseases and allergies,

including the impact of diet on the health of

children;

(c)

impact of food, for instance new products, products resulting from organic farming, functional food,
products containing genetically modified organisms and those arising from recent biotechnology devel-
opments on health;

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(d) ‘traceability’ processes all along the production chain, for instance relating to genetically modified

organisms, including those based on recent biotechnology developments;

(e) methods of analysis, detection and control of chemical contaminants and existing or emerging path-
ogenic micro-organisms (such as viruses, bacteria, yeasts, fungi, parasites and new agents of the prion
type including development of ante-mortem diagnostic tests for BSE and scrapie);

(f)

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

(g) environmental health risks linked to the food-chain (chemical, biological and physical), and combined
exposures of authorised substances, including impact of local environmental disasters and pollution on
the safety of foodstuffs, with emphasis being placed on cumulative risks, transmission routes to human
beings, long-term effects and exposure to small doses, as well as the impact on particularly sensitive
groups, and especially children.

1.1.6. Sustainable development, global change and ecosystems

Objective

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, emphasised by the Göteborg European
Council, and integrating its environmental, economic and social objectives with particular regard to
renewable energy, transport, and sustainable management of Europe's land and marine resources. These
activities should enable Member States, the associated candidate and other associated countries to make a
significant contribution to the international efforts to understand and control global change and preserve the
equilibrium of ecosystems.

Justification of the effort and European added value

The implementation on a global scale of sustainable development requires more particularly:

(a) the design, development and dissemination of technologies and solutions, such as promotion of changes
in energy consumption behaviour, 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. Sectors of strategic importance in this context include energy and transport,
especially the urban and regional development aspects of these sectors;

(b) a better understanding of ecosystems and of the mechanisms and impacts of global change (for instance
climate change), including the effect of these mechanisms on land and marine resources; as well as the
development of related forecasting capacities.

Where technology is concerned, as highlighted in the Commission Green Paper ‘Towards a European
strategy for the security of energy supply’ and in the Commission's White Paper ‘European transport
policy for 2010: time to decide’, two areas concerned as a matter of priority are energy and transport,
which are responsible for over 80 % of total emissions of greenhouse gases and more than 90 % of CO2
emissions.

Under the 1997 Kyoto Protocol to the 1992 United Nations Framework Convention on climate change, the
European Union is required to reduce its greenhouse gas emissions by 8 % compared with the 1990 levels
in the period 2008 to 2012. This will require the development of innovative sustainable energy and
transport solutions. Other important commitments are contained in international instruments such as the
1992 UN Convention on Biological Diversity, the 1994 UN Convention to Combat Desertification in
Countries Seriously Affected by Drought and/or Desertification, particularly in Africa, and the 1987
Montreal Protocol on Substances that Deplete the Ozone Layer as well as in the Union strategy for
sustainable development, including the sixth environment action programme.

Achieving the above objective in the short term requires a major effort to deploy technologies currently
under development. Community action is important to ensure coordination of Europe's contribution to
world efforts.

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

Medium and long-term research efforts will also be necessary to develop sustainable European transport
systems, and to make progress in the context of global change and protection of biodiversity and preserving
ecosystems which would also contribute to the sustainable use of land and marine resources. In the context
of global change, strategies for an integrated, sustainable use of agricultural and forest ecosystems are of
particular importance for the preservation of these ecosystems and will contribute substantially to the
sustainable development of Europe.

Actions envisaged

The Community's RTD efforts will concentrate on activities in the following areas.

I. S u s t a i n a b l e e n e r g y s y s t e m s (1)

(a)

in the short and medium term, especially in the urban environment:

(i) clean energy, in particular renewable energy sources and their integration in the energy system,

including storage, distribution and use;

(ii) energy savings and energy efficiency,

including those to be achieved through the use of

renewable raw materials;

(iii) alternative motor fuels;

(b) in the medium and longer term:

(i) fuel cells including their applications;

(ii) new technologies for energy carriers/transport and storage on a European scale, in particular

hydrogen technology;

(iii) new and advanced concepts in renewable energy technologies with a significant future energy

potential and requiring long-term research efforts;

(iv) disposal of CO2 associated with cleaner fossil fuel plants.

II. S u s t a i n a b l e s u r f a c e t r a n s p o r t (2)

(a) developing environmentally friendly transport systems and means of transport of passengers and

freight, and clean urban transport with rational use of the car in the city:

(i) new technologies and concepts for surface transport, including novel propulsion systems and

integration of fuel cells for transport purposes;

(ii) advanced design and productions techniques leading to improved quality, safety, recyclability,

comfort and cost-effectiveness;

(b) making rail and maritime transport more effective and more competitive, addressing the interoper-
ability of transport modes, and assuring intelligent and safe transport of passengers and freight:

(i) rebalancing and integrating different modes, in particular in the urban and regional context,
making rail and maritime transport more effective (for example, by means of promoting inter-
modality);

(ii) increasing safety, and avoiding traffic congestion (in particular in urban areas), through the
the use of

innovative electronics and software solutions and by means of

integration of
advanced satellite navigation systems and telematics solutions.

(1) Other energy related topics are included under Section 1.2.1 (‘Policy support and anticipating scientific and technological needs’) and

in Heading 3.

(2) Other transport policy-related topics (such as transport security, tools and indicators for transport system performance and fore-

casting) are dealt with under Section 1.2.1 (‘Policy support and anticipating scientific and technological needs’).

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III. G l o b a l c h a n g e a n d e c o s y s t e m s

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

(a)

impact and mechanisms of greenhouse gas emissions and atmospheric pollutants from all sources,
including those resulting from energy supplies, transport and agriculture on climate, ozone depletion
and carbon sinks (oceans, forests and soil) in particular to improve prediction and to evaluate
mitigation options;

(b) water cycle, including soil-related aspects;

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

(d) mechanisms of desertification and natural disasters;

(e) strategies for sustainable land management, including integrated coastal zone management (ICZM),
and including integrated concepts for the multipurpose utilisation of agricultural and forest
resources, and the integrated forestry/wood chain;

(f) operational forecasting and modelling, including global climate change observation systems.

Research undertaken under this priority will be complemented by the development of advanced
methods for risk assessment and methods of appraising environmental quality, including relevant
prenormative research on measurements and testing for these purposes.

1.1.7. Citizens and governance in a knowledge-based society

Objective

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 sciences and humanities that are
necessary to develop an understanding of, and to address issues related to,
the
knowledge-based society and new forms of relationships between its citizens, on one hand and between
its citizens and institutions, on the other.

the emergence of

Justification of the effort and European added value

At the European Council in Lisbon in March 2000, the European Union set itself the ambitious objective of
becoming ‘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’.

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

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 and
cultural diversity which characterise the European model of society, as well as research on issues relating to
entrepreneurship and the setting up, growth and development of small enterprises.

In this respect, economic, political, social and human sciences research should more particularly help to
ensure the harnessing and exploitation of an exponentially increasing quantity of
information and
knowledge and an understanding of the processes at work in this area.

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In Europe, this issue arises in particular in connection to the future enlargement, 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, taking into account the historical dimension as well as the
cultural heritage.

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
Union level will make it possible to ensure the requisite degree of methodological coherence and guarantee
that full benefit is derived from the rich variety of approaches existing in Europe and European diversity.

Actions envisaged

Action by the Community will focus on the following themes.

Knowledge-based society and social cohesion:

(a) research with reference to the objectives set by the Lisbon European Council and subsequent Councils, in
particular systematic analysis of best methods for improving the production, transmission and utilisation
of knowledge in Europe;

(b) options and choices for the development of a knowledge-based society serving the Union objectives
emphasised at the Lisbon, Nice and Stockholm European Councils, in particular as regards improving
the quality of life, social, employment and labour market policies, life-long learning, and strengthening
social cohesion and sustainable development with due consideration for the various social models in
Europe;

(c) variety of transition dynamics and paths towards the knowledge-based society at local, national and

regional level.

Citizenship, democracy and new forms of governance, in particular in the context of increased integration
and globalisation, and from the perspectives of history and cultural heritage:

— consequences of European integration and enlargement of the Union for democracy, the concept of
legitimacy, and the functioning of Union institutions through a better understanding of political and
social institutions in Europe, and their historical evolution,

— research on the redefinition of and the relationship between areas of competence and responsibility, and

new forms of governance,

— issues connected with the resolution of conflicts and restoration of peace and justice,

— emergence of new forms of citizenship and cultural identities, forms and impact of integration and
cultural diversity in Europe; social and cultural dialogue involving Europe as well as the rest of the
world.

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

(a) transnational research and comparative studies and the coordinated development of statistics and quali-

tative and quantitative indicators;

(b) interdisciplinary research in support of public policies;

(c) the establishment and exploitation on a European scale of research infrastructures and data and

knowledge bases.

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1.2. Specific activities covering a wider field of research

1.2.1. Policy support and anticipating scientific and technological needs

These activities will assure efficient and flexible conduct of research essential for the fundamental objectives
of the Community, by underpinning the formulation and implementation of Community policies and by
exploring new and emerging scientific problems and opportunities, where these requirements cannot be
satisfied under the thematic priorities.

A feature common to these activities is that they will be implemented within a multiannual perspective
which takes direct account of the needs and viewpoints of the main associated actors (as appropriate: policy
makers, industrial user groups, leading edge research communities, etc.). In principle, they will be imple-
mented 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.

A. P o l i c y - o r i e n t e d r e s e a r c h

Research activities under this heading are intended to respond to the scientific and technological needs of
the policies of the Community, underpinning the formulation and implementation of Community
policies, bearing in mind also the interests of future members of the Community and the associated
countries. They may include pre-normative research, measurement and testing where necessary for the
needs of Community policies.

These activities require flexible, policy-driven definition and specific actions and methods of intervention
to complement
this
programme.

the thematic priorities and to be coordinated within the overall context of

They will accordingly include themes linked to the thematic priorities, but which do not lend themselves
to the science-driven approach for identifying the relevant individual topics. Appropriate division of
tasks, and synergy, will also be assured between these activities and the direct actions of the Joint
Research Centre, oriented towards the needs of the Community policies.

The areas concerned to be supported are as follows:

(a) the common agricultural policy (CAP) and the common fisheries policy (CFP);

(b) sustainable development,

in particular the Community policy objectives relating to environment

(including those set out in the sixth environment action programme), transport and energy;

(c) other Community policies, namely health (in particular public health), regional development, trade,
development aid, internal market and competitiveness, social policy and employment, education and
training, culture, gender equality, consumer protection, the creation of an area of freedom, security
and justice, and external relations, including those policies in support of enlargement, and including
the requisite statistical methods and tools;

(d) Community policy objectives derived from the orientations given by the European Council with
regard to, for instance, economic policy, the information society as well as e-Europe and enterprise.

Within these areas, the research priorities, responding to initially identified policy needs, which will be
supplemented during the course of the implementation of this programme, are as follows.

1. Sustainable management of Europe's natural resources

Research under this heading will in particular focus on:

(a) the modernisation and sustainability of agriculture and forestry, including their multifunctional

role in order to ensure the sustainable development and promotion of rural areas;

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(b) tools and assessment methods for sustainable agriculture and forestry management;

(c) the modernisation and sustainability of fisheries, including aquaculture-based production systems;

(d) new and more environment friendly production methods to improve animal health and welfare;

(e) environmental assessment (soil, water, air, noise, including the effects of chemical substances).

2. Providing health, security and opportunity to the people of Europe

Research under this heading will in particular focus on:

(a) health determinants and the provision of high quality and sustainable health-care services and

pension systems (in particular in the context of ageing and demographic change);

(b) public health issues, including epidemiology contributing to disease prevention and responses to
emerging rare and communicable diseases, allergies, procedures for secure blood and organ
donations, non-animal test methods;

(c) the impact of environmental issues on health (including methods for risk assessment and the

mitigation of risks of natural disasters to people);

(d) issues relating to handicapped/disabled people (including equal access facilities);

(e) understanding of migration and refugee flows;

(f) understanding crime trends in the context of public safety;

(g)

issues related to civil protection, including biosecurity, and crisis management.

3. Underpinning the economic potential and cohesion of a larger and more integrated European

Union

Research under this heading will in particular focus on:

(a) underpinning European integration, sustainable development, competitiveness and trade policies

(including improved means to assess economic development and cohesion);

(b) the development of tools, indicators and operational parameters for assessing sustainable transport

and energy systems performance (economic, environmental and social);

(c) global safety analysis and validation systems for transport and research relating to accident risks

and safety in mobility systems;

(d) forecasting and developing innovative policies for sustainability in the medium and long term;

(e)

information society issues (such as management and protection of digital assets, and inclusive
access to the information society);

(f)

the protection of cultural heritage;

(g)

improved quality, accessibility and dissemination of European statistics.

B. R e s e a r c h t o e x p l o r e n e w a n d e m e r g i n g s c i e n t i f i c a n d t e c h n o l o g i c a l p r o b l e m s

a n d o p p o r t u n i t i e s

The research activities carried out under this heading are intended to respond flexibly and rapidly to
major unforeseeable developments, emerging scientific and technological problems and opportunities, as
well as needs appearing at the frontiers of knowledge, more specifically in multithematic and interdis-
ciplinary areas.

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In this context, the following activities will be carried out:

(a) research in emerging areas of knowledge and on future technologies, outside or cutting across the
thematic priority areas,
in particular in transdisciplinary fields, which is highly innovative and
involves correspondingly high (technical) risks. It will be open to new scientific endeavours at the
frontiers of knowledge and technological know-how that have significant potential
for major
industrial and/or social
impact, or for the development of Europe's research capabilities in the
longer term;

(b) 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 identifying potential research topics under this heading, special attention will be given to the views of
the research community and to 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.

1.2.2. Horizontal research activities involving SMEs

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

Information and advice about the possibilities of SME involvement will be ensured via entry points set up by
the Commission, and by making use of the national contact point scheme.

In addition to these specific research activities for SMEs, SMEs will be encouraged to participate in all areas
of this programme, in particular in the context of the activities carried out in the priority thematic areas.

Actions that may be carried out in the entire field of science and technology covered by Community
research policy, will take the form of:

(a) Cooperative research activities

Research activities carried out by RTD performers for a number of SMEs on themes of common interest.
These activities may also be carried out by innovative SMEs in cooperation with research centres and
universities;

(b) Collective research activities

Research activities carried out by RTD performers for industrial associations or industry groupings in
entire sectors of industry where SMEs are prominent at the European level, including dissemination of
results.

1.2.3. Specific measures in support of international cooperation

In support of the external relations, including the development policy of the Community, specific measures
aimed at encouraging international research cooperation will be undertaken. Apart from these specific
measures, non-member country participation will be possible within the thematic priorities. The
following groups of non-member countries will be involved:

(a) developing countries;

(b) Mediterranean countries, including the Western Balkans;

(c) Russia and the newly independent States (NIS) including, in particular, activities carried through the
International Association for the Promotion of Cooperation with Scientists from the NIS (INTAS).

The research priorities in this category of activities are defined according to the interests and objectives of
the partnership between the Community and the groups of countries concerned, as well as their specific
economic and social needs.

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In order to facilitate the involvement of these countries a single entry point within the Commission will be
created for information about activities undertaken in the fields of international cooperation.

These activities are complementary to international research cooperation undertaken within the thematic
priority areas.

1.3. Non-nuclear activities of the Joint Research Centre (JRC)

In accordance with its mission of providing scientific and technical support for Community policies, the JRC will
provide independent, customer-driven support for the formulation and implementation of Community policies,
including the monitoring of the implementation of such policies, within the areas of its specific competence.

The JRC will carry out its activities in close cooperation and by networking with scientific circles, national research
organisations, universities and businesses in Europe. It is entitled to participate in all research activities of this
programme on the same basis as entities established in Member States. Special attention will be given to coop-
eration with candidate countries.

The essential common denominator of the JRC's activities will be the safety of citizens in its different aspects, for
example health, environment and combating fraud.

Under this heading, the JRC will carry out the following activities.

1. Activities to be carried out in accordance with the JRC mission. These activities will be clearly geared towards

customer needs. In this context, there will be a degree of flexibility for unexpected research needs:

Research will be concentrated on two core areas related to two of the priority thematic areas:

(a) food, chemical products and health, with particular attention to: food safety and quality, in particular to
combat BSE; genetically modified organisms; chemical products,
including validation of alternative
non-animal testing procedures; biomedical applications (more particularly the establishment of references
in this area);

(b) environment and sustainability, with particular attention to: climate change (carbon cycle, modelling,
impacts) and technologies for sustainable development (renewable energy 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.

2. Horizontal activities in domains for which the JRC has specific competence:

(a) technology foresight: technological and economic foresight work based on the activities of European

networks;

(b) reference materials and measurements: the Community Reference Bureau (BCR) and certified reference

materials; validation and qualification of chemical and physical measurement methods;

(c) the safety of citizens and anti-fraud: detection of antipersonnel mines; prevention of natural and tech-

nological hazards; networks in support of cybersecurity; fraud control technologies.

2. STRUCTURING THE EUROPEAN RESEARCH AREA

2.1. Research and innovation

Objective

innovation, utilisation of research results, transfer of
These activities are intended to stimulate technological
knowledge and technologies and the setting up of technology businesses in the Community and in all
its
regions, not least in the less developed areas. Innovation is also one of the most important elements throughout
this programme.

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Justification of the effort and European added value

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 Union the benefit of
the experience and knowledge acquired in other regions through initiatives undertaken at this level.

Actions envisaged

Activities will be carried out under this heading to complement activities relating to innovation included in those
carried out under Heading 1.

These actions will provide general support to innovation, and will complement national and regional activities,
with a view to increasing the coherence of efforts in this area. They will take the form of support for:

(a) networking of stakeholders and users in the European innovation 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;

(b) actions to encourage transregional cooperation regarding innovation and support for the setting-up of tech-
nology businesses, as well as for the preparation of regional and transregional strategies in this area, including
the accession countries;

(c) actions to experiment with new tools and new approaches concerning technological innovation addressing in

particular critical points in the innovation process;

(d) establishment or consolidation of information services and in particular electronic services, such as Cordis, and
assistance services relating to innovation (technology transfer, protection of intellectual property, access to risk
capital); including the activities of innovation relay centres;

(e) economic and technological

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

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

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

Some of these activities will be carried out in liaison with those of the European Investment Bank (EIB) (in
particular by means of the European Investment Fund (EIF)) under its ‘Innovation 2000 Initiative’ as well as in
coordination with measures taken through the Structural Funds.

2.2. Human resources and mobility

Objective

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

Justification of the effort and European added value

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 Union. It creates opportunities
for significantly improving the quality of the training of researchers, promotes the circulation and exploitation of
knowledge, and helps to establish world-class centres of excellence that are attractive throughout Europe. Union
level action in this area (as in human resources in general) leading to the attainment of critical mass will inevitably
have a major impact.

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Attention will be paid to the participation of women within all actions, and appropriate measures to promote a
more equitable balance between men and women in research; the personal circumstances relating to mobility,
particularly with respect to the family, career development and languages; the development of research activity in
the less-favoured regions of the Union and associated countries, and to the need for increased and more effective
cooperation between research disciplines and between academia and industry, including SMEs.

In cooperation with the most appropriate national and Community actions, attention will be paid to the provision
of practical assistance to foreign researchers in matters (legal, administrative, family or cultural) relating to their
mobility.

Actions envisaged

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

(a) support measures for universities, research centres, businesses including in particular SMEs and networks, for
the hosting of European and non-member country researchers, including training of pre-doctoral researchers.
These activities could include the setting up of long-term training networks and encouraging mobility between
different sectors;

(b) individual support measures for European researchers for the purposes of mobility to another European or a
non-member country, and for top-class non-member-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, while also addressing the needs of training in research management;

(c)

financial contribution to national or regional programmes in support of researcher mobility open to researchers
from other European countries;

(d) support for the creation and development of European research teams which are considered as having the
potential to reach a high level of excellence, more particularly for leading edge or interdisciplinary research
activities where such support can add value to national measures;

(e) scientific prizes for work of excellence carried out by a researcher having received Union financial support for

mobility.

Mechanisms will be set up to facilitate the return of researchers to their countries or regions of origin, and their
professional reintegration.

Efforts aimed at achieving equal gender representation in the actions envisaged will be ensured.

2.3. Research infrastructures

Objective

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

Justification of the effort and European added value

The development of a European approach with regard to research infrastructures, and the carrying out of activities
in this area at Union 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 establishment of
infrastructures ensuring a service on a European scale, as well as optimum construction choices in European
terms and in terms of regional and transregional technological development.

These activities will be carried out in the whole field of science and technology, including in the priority thematic
areas.

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Actions envisaged:

(a) transnational access to research infrastructures;

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

(c) a high-capacity and high-speed European communication infrastructure (possibly based on GRID-type archi-

tectures), building on the achievements of the Géant project as well as electronic publishing services;

(d) carrying out feasibility studies and preparatory work for the creation of new European scale infrastructures
taking into account
the needs of all potential users and systematically exploring the possibilities of
contributions from, for example the EIB or the Structural Funds for the funding of these infrastructures;

(e) optimising of European infrastructures by providing limited support for the development of a restricted number
of projects for new infrastructures in duly justified cases where such support could have a critical catalysing
effect in terms of European added value. This support, taking due account of Member States' opinion, may
supplement contributions from the EIB or the Structural Funds to the funding of these infrastructures.

2.4. Science and society

Objective

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 scientists'
responsiveness to societal concerns, as a result of the establishment of new relations and an informed dialogue
between researchers,
industrialists, political decision-makers and citizens. The activities under this heading are
policy related science and society initiatives, while the research activities under the thematic priorities and in
particular thematic priority 7 cover in a broader manner research relating to citizens and governance.

Justification of the effort and European added value

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.

Actions envisaged

The activities carried out in this area in the whole field of science and technology will in particular address the
following themes:

(a) bringing research closer to society: science and governance; scientific advice; involvement of society in research;

foresight;

(b) responsible use of scientific and technological progress,

in harmony with fundamental ethical values:
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;

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

They will take the form of activities in support of:

(a) networking and establishment of structural links between the institutions and activities concerned at national,

regional and European level, in particular using information society technologies;

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(b) exchange of experience and good practice;

(c) carrying out specific research;

(d) high-profile awareness-raising initiatives such as prizes and competitions;

(e) 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

Objective

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

Justification of the effort and European added value

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

Actions envisaged

A. Coordination activities, using a bottom up approach, will be carried out in the whole field of science and technology

in areas such as:

(a) health: health of key population groups; major diseases and disorders (e.g. cancer, diabetes, cardiovascular
diseases, hepatitis, visual impairment), rare diseases and major diseases linked to poverty in developing countries;
activities involved will be implemented, for instance, through coordination of research and comparative studies,
development of European databases and interdisciplinary networks, exchange of clinical practice and coor-
dination of clinical trials;

(b) biotechnology: non-health and non-food applications;

(c) environment: urban environment

(including sustainable urban development and cultural heritage); marine

environment and land/soil management; seismic risk;

(d) energy: new generation power plants (‘near-zero-emission’), energy storage, transport and distribution.

These activities will take the form of stepping up the coordination of research activities carried out in Europe, at
both national and European level with financial support for:

(a) the mutual opening-up of national and regional programmes;

(b) networking of research activities conducted at national and regional level;

(c) the administration and coordination activities of European cooperation in the field of scientific and technological

research (COST);

(d) scientific and technological coordination activities carried out in other European cooperation frameworks, in

particular the European Science Foundation;

(e) collaboration and joint initiatives of specialised European scientific cooperation organisations such as CERN,

EMBL, ESO and the ESA (1).

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

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

Observatory; ESA: European Space Agency.

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B.

In order to support the coherent development of research and innovation policies in Europe:

(a) carrying out analyses and studies, and work relating to scientific and technological foresight, statistics and

indicators;

(b) setting-up and support for the operation of specialised working groups and forums for concertation and political

debate;

(c) support for work on the benchmarking of research and innovation policies at national, regional and European

level;

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

(e) support for carrying out the work needed to improve the regulatory and administrative environment for research

and innovation in Europe.

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MAXIMUM OVERALL AMOUNT, RESPECTIVE SHARES AND INDICATIVE BREAKDOWN

ANNEX II

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

First activity (1)

Second activity (2)

Third activity (3)

Fourth activity (4)

Maximum overall amount

(EUR million)

13 740

600

300

1 630

16 270

(1) Covering the activities carried out under the heading ‘Focusing and integrating Community research’, with the exception of inter-
national cooperation activities; research infrastructures, and the theme ‘Science and society’ carried out under the heading ‘Structuring
the European Research Area’ and activities carried out under the heading ‘Strengthening the foundations of the European Research
Area’.

(2) Covering the international cooperation activities carried out under the heading ‘Focusing and integrating Community research’, in the

thematic priority areas and under the heading ‘Specific activities covering a wider field of research’.

(3) Covering the specific activities on the theme ‘Research and innovation’ carried out under the heading ‘Structuring the European
Research Area’ in addition to innovation activities carried out under the heading ‘Focusing and integrating Community research’.
(4) Covering the activities concerning human resources and support for mobility carried out under the heading ‘Structuring the European

Research Area’.

These activities will be carried out under the following headings (the indicative financial breakdown is set out):

1. Focusing and integrating Community research

Thematic priorities (1)

11 205

(EUR million)

13 285

— genomics and biotechnology for health

— advanced genomics and its applications for health

— combating major diseases

— information society technologies (2)

— nanotechnologies and nanosciences, knowledge-based
new production

and

multifunctional materials
processes and devices

— aeronautics and space

— food quality and safety

— sustainable development, global change and ecosystems

— sustainable energy systems

— sustainable surface transport

— global change and ecosystems

— citizens and governance in a knowledge-based society

Specific activities covering a wider field of research

— policy support and anticipating scientific and tech-

nological needs

— horizontal research activities involving SMEs

— specific measures in support of

international coop-

eration

2 200

1 150

1 050

3 600

1 300

1 075

685

2 120

810

610

700

225

570

450

300

1 320

Non-nuclear activities of the Joint Research Centre

760

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2. Structuring the European Research Area

— research and innovation

— human resources

— research infrastructures (3)

— science and society

3. Strengthening the foundations of the European Research

Area

— support for the coordination of activities

— support for the coherent development of policies

300

1 630

665

60

280

50

(1) Of which at least 15 % for SMEs.
(2) Including up to EUR 100 million for the further development of Géant and GRID.
(3) Including up to EUR 200 million for the further development of Géant and GRID.

2 655

330

Total

16 270

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INSTRUMENTS AND RULES FOR FINANCIAL PARTICIPATION BY THE COMMUNITY

ANNEX III

The Community will contribute financially, under the specific programmes, and subject to the rules for participation, to
research and technological activities, including demonstration activities, of this programme.

These activities, which will incorporate measures to encourage innovation, will be implemented by means of a range of
instruments described below, and referred to as ‘indirect RTD actions’, to which the Community will contribute
financially. In addition, the Community will undertake activities implemented by the JRC, and which are referred to
as ‘direct actions’.

1.

Instruments

Introduction

An instrument implementing an action must be commensurate with the scope and objectives of the research
activity concerned, and will take into account, as appropriate, the views of the research community. Accordingly,
the size of an action may vary in relation to the themes and subjects it covers, depending on the critical mass of
expertise necessary to obtain European added value and achieve the expected results. In some cases, this may be
achieved by the clustering of actions dedicated to different aspects of one and the same objective.

All actions should involve, as appropriate, universities or institutions of higher education of a similar level, research
organisations and industry,
including SMEs. They could 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 implementation.

As a general rule, selection of actions will be based on open calls for proposals and independent peer review, except
in duly justified cases. All research activities will be reviewed regularly and this will, in particular, involve moni-
toring of the level of research excellence. The participation of SMEs including enterprise groupings of SMEs, and
smaller entities will be encouraged.

Concerning research in the Priority Thematic areas (under Heading 1 as defined in Annex I):

— the importance of the new instruments (integrated projects and networks of excellence) is recognised as being
an overall priority means to attain the objectives of critical mass, management simplification and European
added value contributed by Community research in relation to what is already undertaken at national level, and
of the integration of the research capacities. However, the size of projects is not a criterion for exclusion, and
access to new instruments is ensured for SMEs and other small entities,

— the new instruments will be used from the start of this programme in each theme and, where deemed
appropriate, as a priority means, while maintaining the use of specific targeted research projects and coor-
dination actions,

— in 2004 an evaluation will be undertaken by independent experts of the effectiveness of each of these three

types of instruments in the execution of this programme.

Research activities in areas involving ‘specific activities covering a wider field of research’ (under Heading 1) will
take the form of specific targeted research projects and specific research projects for SMEs. Networks of excellence
and integrated projects may, however, be used in certain duly justified cases, where the objectives in question can
be better achieved by these means.

Activities referred to under Heading 2 (Structuring the European Research Area) and Heading 3 (Strengthening the
foundations of the European Research Area), will take the form of specific targeted research and innovation
projects, integrated infrastructure initiatives and actions to promote human resources and mobility.

In addition, specific support actions, coordination actions and participation of the Community in programmes
undertaken by several Member States pursuant to Article 169 of the Treaty may be applied throughout this
programme.

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1.1. Networks of excellence

The purpose of networks of excellence is to strengthen and develop Community scientific and technological
excellence by means of the integration, at European level, of research capacities currently existing or emerging
at both national and regional level. Each network will also aim at advancing knowledge in a particular area by
assembling a critical mass of expertise. They will foster cooperation between capacities of excellence in universities,
research centres, enterprises, including SMEs, and science and technology organisations. The activities concerned
will be generally targeted towards long-term, multidisciplinary objectives, rather than predefined results in terms of
products, processes or services.

A network of excellence will be implemented by a joint programme of activities involving some or, where
appropriate, all of the research capacities and activities of the participants in the relevant area to attain a critical
mass of expertise and European added value. A joint programme of activities could aim at the creation of a
self-standing virtual centre of excellence that may result in developing the necessary means for achieving a
durable integration of the research capacities.

A joint programme of activities will necessarily include those aimed at integration, as well as activities related to the
spreading of excellence and dissemination of results outside the network.

Subject to conditions to be specified in the specific programmes and in the rules for participation, the networks of
excellence will have a high level of management autonomy including, where appropriate, the possibility to adapt
the composition of the network and the content of the joint programme of activities.

1.2. Integrated projects

Integrated projects are designed to give increased impetus to the Community's competitiveness or to address major
societal needs by mobilising a critical mass of research and technological development resources and competences.
Each integrated project should be assigned clearly defined scientific and technological objectives and should be
directed at obtaining specific results applicable in terms of, for instance, products, processes or services. Under these
objectives they may include more long-term or ‘risky’ research.

Integrated projects should comprise a coherent set of component actions which may vary in size and structure
according to the tasks to be carried out, each dealing with different aspects of the research needed to achieve
common overall objectives, and forming a coherent whole and implemented in close coordination.

The activities carried out as part of an integrated project should include research and, as appropriate, technological
development and/or demonstration activities, activities for the management and use of knowledge in order to
promote innovation, and any other type of activity directly related to the objectives of the integrated project.

Subject to conditions to be specified in the specific programmes and in the rules for participation, the integrated
projects will have a high level of management autonomy including, where appropriate, the possibility to adapt the
partnership and the content of the project. They will be carried out on the basis of overall financing plans
preferably involving significant mobilisation of public and private sector funding, including funding or collaboration
schemes such as Eureka, EIB and EIF.

1.3. Specific targeted research or innovation projects

Specific targeted research projects will aim at improving European competitiveness. They should be sharply focused
and will 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 improve
considerably 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.

Specific targeted innovation projects are designed to test, validate and disseminate new innovation concepts and
methods at the European level.

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1.4. Specific research projects for SMEs

Specific research projects for SMEs may take either of the following forms:

(a) cooperative research projects undertaken for the benefit of a number of SMEs on themes of common interest;

(b) collective research projects carried out for industrial associations or industry groupings in entire sectors of

industry where SMEs are prominent.

1.5. Actions to promote and develop human resources and mobility

Actions to promote and develop human resources and mobility will be targeted at training, development of
expertise or transfer of knowledge. They will
involve support to actions carried out by natural persons, host
structures, including training networks, and also by European research teams.

1.6. Coordination actions

Coordination actions are intended to promote and support the coordinated initiatives of a range of research and
innovation operators aiming at improved integration. They will cover activities such as the organisation of
conferences, meetings, the performance of studies, exchanges of personnel, the exchange and dissemination 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.

1.7. Specific support actions

Specific support actions will complement the implementation of this programme and may be used to help in
preparations for future Community research and technological development policy activities including monitoring
and assessment activities. In particular, they will involve conferences, seminars, studies and analyses, high level
scientific awards and competitions, working groups and expert groups, operational support and dissemination,
information and communication activities, or a combination of these, as appropriate in each case. They may also
include actions in support of research infrastructure relating to, for instance, transnational access or preparatory
technical work (including feasibility studies) and the development of new infrastructure.

1.8. Integrated infrastructure initiatives

Integrated infrastructure initiatives should combine in a single action several activities essential to reinforce and
develop research infrastructures,
in order to provide services at the European level. To this end, they should
combine networking activities with a support activity (such as relating to transnational access) or research activities
needed to improve infrastructure performance, excluding, however, the financing of investment for new infra-
structures, which can only be financed as specific support actions. They will include a component of dissemination
of knowledge to potential users, including industry and in particular to SMEs.

1.9. Participation of the Community in programmes undertaken by several Member States (Article 169)

Pursuant to Article 169 of the Treaty, this instrument will cover clearly identified programmes implemented by
governments, national or regional authorities or research organisations and may be used in all the activities of this
programme. The joint implementation of these programmes 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.

2. Detailed rules for financial participation by the Community

The Community will implement the financial instruments 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. In compliance with this international framework, it will need to be
possible to adjust the scale and form of financial participation under this 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.

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In the case of participation of bodies from regions lagging in development, when a project receives the maximum
intensity of co-financing authorised under this programme or an overall grant, an additional contribution from the
Structural Funds, pursuant to Council Regulation (EC) No 1260/1999 of 21 June 1999 laying down general
provisions on the Structural Funds (1), could be granted.

In the case of participation of entities 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 Community's aid to development could be envisaged.

Financial participation by the Community will be granted in compliance with the principle of co-financing, with the
exception of financing for studies, conferences and public tenders.

Financial participation by the Community will, except in duly justified cases, be decided following open calls for
proposals or invitation to tender procedures. Selection of projects will be based on independent peer review.

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 programme, there can be no derogations from
the rules set out in the table below.

RTD ACTIVITIES AND COMMUNITY FINANCIAL CONTRIBUTION ACCORDING TO TYPE OF
INSTRUMENT

Type of instrument

RTD activities

Community contribution (*) (1)

Networks of excellence

— Priority thematic areas

— Policy support and anticipating
scientific and technological needs

for

Grant
integration: maximum of
25 % of the value of the capacity and
resources proposed for integration by
to
participants as a fixed amount
support
of
programme
joint
activities (2)

the

Integrated projects

— Priority thematic areas

Grant to the budget of a maximum of

— Policy support and anticipating
scientific and technological needs

— 50 % for research

— 35 % for demonstration

— 100 % for certain other activities
researchers
training of

such as
and consortium management

(3) (4)

Grant to the budget of a maximum of
50 % of the budget (3) (4)

Specific targeted research or inno-
vation projects

— Priority thematic areas

— Policy support and anticipating
scientific and technological needs

— Specific international cooperation

activities

— Promoting interaction between

research and innovation

— Developing harmonious relations
between science and society

Participation
undertaken by
States (Article 169)

in

programmes
several Member

— All

activities

of

the

sixth

framework programme

To be defined in subsequent decisions
taken on the basis of Article 169

(1) OJ L 161, 26.6.1999, p. 1.

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Type of instrument

RTD activities

Community contribution (*) (1)

Specific research projects for SMEs — Specific

research activities

for

SMEs

Actions to promote and develop
human resources and mobility

— Promotion of human resources

and mobility

Grant to the budget of a maximum of
50 % of the budget (3) (4)

Grant to the budget of a maximum of
100 % of the budget (3), if necessary as
a lump sum.

Coordination actions

— In all the activities of the sixth

framework programme

Grant to the budget of a maximum of
100 % of the budget (3).

Specific support actions

— In all the activities of the sixth

framework programme

Integrated infrastructure initiatives

— Support

for

research

infra-

structures

Grant to the budget of a maximum of
100 % of the budget (3) (6), if necessary
as a lump sum

Grant to the budget: depending on the
type of activity, of a maximum of 50 %
to 100 % of the budget (3) (4) (5)

Direct actions

— Non-nuclear activities of the Joint

100 % (7)

Research Centre

(*) In this column budget means a financial plan estimating all the resources and expenditure needed to carry out the action.
(1) As a general principle, the Community financial contribution cannot cover 100 % of the expenditure of an indirect action with the
exception of proposals covering a purchase price governed by the terms applicable to public procurement procedures or taking the
form of a pre-defined lump sum pre-set by the Commission.

However, the Community financial contribution may bear up to 100 % of the expenditure of an indirect action if they complement
those otherwise borne by the participants. Also, in the specific case of coordination actions, it covers up to 100 % of the budget
necessary for the coordination of activities funded by the participants themselves.

(2) This rate varies for different areas.
(3) Subject to specific conditions specific legal entities, particularly public bodies, will receive funding of up to 100 % of their marginal/

additional cost.

(4) The rates of assistance may be differentiated in accordance with the rules of the Community framework for State aid for research and
development depending on whether activities relate to research (maximum 50 %) or demonstration (maximum 35 %) or to other
activities implemented, such as training of researchers (maximum 100 %) or the management of the consortium (maximum 100 %).
(5) The activities of an integrated initiative relating to infrastructure must include one networking activity (Coordination action:
maximum 100 % of the budget) and at least one of the following activities: research activities (maximum 50 % of the budget) or
specific service activities (specific support action, for example, transnational access to research infrastructures: maximum 100 % of the
budget).

(6) For actions in support of research infrastructure relating to preparatory technical work (including feasibility studies) and the devel-
opment of new infrastructure, sixth framework programme participation is restricted to maximum of 50 % and 10 % of the budget
respectively.

(7) In addition, the JRC will be entitled to participate in indirect actions on the same basis as entities established in Member States.

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STATEMENT OF THE COUNCIL'S REASONS

I. INTRODUCTION

1. On 5 March 2001, the Commission submitted its proposal for a European Parliament and Council
Decision 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 to 2006) (1). It subsequently submitted a modified
proposal on 23 November 2001 (2).

2. This proposal is based on Article 166(1) of the EC Treaty.

3. The Economic and Social Committee delivered its opinion on 11 July 2001 (3). The Committee of

the Regions was consulted.

4. The European Parliament delivered its opinion on the proposal on 14 November 2001 (4).

5. The Council adopted its Common Position on the sixth framework programme of the European
Community for research, technological development and demonstration activities, contributing to
the creation of the European Research Area and to innovation (2002 to 2006) on 28 January 2002,
in accordance with Article 251 of the Treaty (5).

II. BACKGROUND AND AIM OF THE PROPOSAL

(a) Pursuant to Title XVIII of the EC Treaty (Articles 163 to 173), the Community will carry out

activities on research and technological development. In particular:

— pursuant to Article 163(1) TEC, the Community shall have the objective of strengthening the
scientific and technological bases of Community industry and encouraging it to become more
competitive at international level, while promoting all the research activities deemed necessary
by virtue of other Chapters of this Treaty,

— pursuant to Article 165(1) TEC, the Community and the Member States shall coordinate their
research and technological development activities so as to ensure that national policies and
Community policy are mutually consistent,

— pursuant to Article 166(1) TEC, all research and technological development activities of the
fifth

framework programme (the current

in a multiannual

Community shall be set out
framework programme expires in 2002).

(b) The European Councils in Lisbon in March 2000, Santa Maria de Feira in June 2000 and
Stockholm in March 2001 adopted conclusions aimed at the rapid establishment of a European
research and innovation area (ERA) with a view to the EU becoming the world's most competitive
and dynamic knowledge-based economy capable of sustainable economic growth, with more and
better jobs and greater social cohesion by 2010.

(1) At the same time, the Commission submitted a proposal for a Council Decision concerning the sixth multiannual
framework programme of the European Atomic Energy Community (Euratom) for research and training activities
aimed at contributing towards the creation of the European Research Area (2002 to 2006), based on Article 7 of the
Euratom Treaty (OJ C 180, 26.6.2001).

(2) See Doc. 14565/01 RECH 162 ATO 102 CODEC 1263.
(3) OJ C 260, 17.9.2001, p. 3.
(4) See Doc. 13818/01 CODEC 1164 RECH 141.
(5) The Council has also reached a political agreement on the text of the Council Decision concerning the sixth
framework programme of the European Atomic Energy Community (Euratom) for research and training activities,
also contributing to the creation of the European Research Area (2002 to 2006). The final adoption of this Decision
will take place simultaneously with the final adoption of the EC framework programme Decision. The draft text has
been transmitted to the European Parliament for information.

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On this basis, the Commission has proposed that the sixth framework programme should, in addition
to fulfilling the objectives laid down in the Treaty, contribute to the Lisbon process by helping to make
a reality of ERA and enabling open coordination, so that appropriate cooperation in S/T research
activities is undertaken at national and European levels.

The essential characteristics of the Commission proposal are, therefore, as follows:

— concentration on a selected number of research areas in which Community action can add the

greatest possible value,

— definition of the various activities in such a way as to enable them to exert a more structuring effect
on the research activities conducted in Europe thanks to a stronger link with national, regional and
other European initiatives,

— simplification and streamlining of the implementation arrangements, on the basis of improved

decentralised management procedures.

III. ANALYSIS OF THE COMMON POSITION

A. GENERAL OBSERVATIONS

The Council's Common Position reflects to a considerable extent both the proposal of the Commission
and the opinion of the European Parliament as regards the structure, scientific and technological
content, means of implementation of the framework programme as well as the financial amount
and its indicative breakdown. During its examination of the Commission's proposal, the Council
sought to incorporate to the largest possible extent the amendments of the European Parliament, to
reflect the considerable degree of consensus between the two legislative bodies, while at the same time
respecting the general thrust of the Commission's proposal. To this end, the Council has followed
certain guiding principles:

1. recognition of

the role of

for achieving major
Community objectives, bearing in mind that the bulk of European research and technological
development efforts are funded by the Member States at national level;

the framework programme as an instrument

2. the need for a focused Community research effort bringing about a critical mass of expertise and
European added value, while ensuring sufficient in-depth coverage of relevant topics under the
themes chosen for Community research;

3. the need to complement the focused effort on key thematic research areas by providing flexible
support to Community policies and by enabling a response to emerging scientific and technological
needs in the rapidly evolving research environment, while setting appropriate parameters for such
flexibility so as to ensure legal clarity;

4. the need to implement the framework programme using instruments which are apt to achieve the
critical mass of expertise and European added value in the research activities, while ensuring a
smooth transition from the fifth framework programme and safeguarding the possibility for all
interested parties/entities to participate in Community research, provided the criterion of scientific
excellence is fulfilled;

5. the need for clarity, in particular by providing the necessary level of detail, both in terms of S/T
content and funding, bearing in mind that the framework programme must be implemented
through specific programmes which will, by their very nature, provide for more detailed
implementing modalities.

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B. SPECIFIC COMMENTS

1. Main amendments to the Commission proposal

(a) Ethical issues

in view of the recent and rapid developments,

Concerning ethical issues, the Council has agreed to the inclusion of references to a number of
relevant international instruments on which to base the ethical evaluation of framework programme
activities. However,
in particular in the field of
biotechnology, as well as ongoing discussions,
including those taking place in the European
Parliament and at the national level, the Council found it inappropriate to establish, at this stage,
a list of research topics to be excluded from Community funding. Nevertheless, the Council
is
committed to examining this issue in greater depth, where appropriate, with the European
Parliament.

(b) Scientific and technological content

While broadly maintaining the Commission's proposal on the scientific and technological content of
the thematic priorities, the Council, in the light of the European Parliament's amendments, clarified
and extended the scope of certain of them as follows:

— in the first priority (genomics and biotechnology for health), fundamental research on genomics
has been extended to cover all organisms, in recognition of the fact that useful applications,
including those for human health, could arise from basic genomics research on a wide range of
organisms. In addition, concerning the medical applications of genomics research, it was found
appropriate at this stage to proceed in a broader way and therefore provide an open-ended list
of diseases to be covered with particular mention of diabetes, diseases of the nervous system, as
well as of cardiovascular and rare diseases.

In response to concerns expressed by the European Parliament, a broader, non-genomics related
approach has been accepted with regard to cancer, with a focus on the development of patient-
oriented strategies from prevention to diagnosis and treatment,

— the sixth priority (sustainable development, global change and ecosystems). By building upon the
amendments proposed by the European Parliament, this priority has been restructured to cover
sustainable energy systems, sustainable surface transport, as well as global change and
ecosystems, so as to achieve a more comprehensive approach to the theme of sustainability
under the three subpriorities chosen. The links between the sixth priority and sustainable
management of Europe's natural resources have also been strengthened,

— the activities in support of Community policies and anticipating scientific and technological
their complementarity to the

needs (the ‘eighth priority’) have been clarified in terms of
thematic priorities as well as the criteria for the selection and implementation of activities.

(c) Instruments

The Council has recognised the potential of the new instruments (networks of excellence and
integrated projects) for bringing about a critical mass of expertise and European added value as
well as for streamlining the management of the framework programme. Accordingly, the Council
agreed that they should be used, from the outset of the framework programme, in each theme, and
where deemed appropriate, as a priority means. However, in view of the untried nature of these
instruments, and the European Parliament's amendment concerning the concept of ‘Stairway of
excellence’, the Council has maintained provisions for the more traditional
instruments which
have proved their worth during the fifth framework programme, namely targeted research
projects and coordination actions. An independent evaluation of the use of the instruments is
provided for, and this will subsequently be taken into account during the implementation of the
programme.

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Concerning the use of Article 169, i.e. participation by the Community in programmes undertaken
by several Member States, originally proposed by the Commission as one of the main means of
implementation of the thematic priorities, the Council, given the fact that this Article has so far
never been applied, and in line with the European Parliament's views, considered that this could be
used initially in a limited number of pilot projects on a case-by-case basis. The Council's Common
Position therefore refers to the possibility of using Article 169 in all the framework programme
activities to cover clearly identified national/regional programmes. The Council awaits with interest
the proposals that the Commission will submit to the European Parliament and Council, under the
terms of Article 169, for the implementation of this article.

Given the importance attached to the question of the instruments during the discussions on the
sixth framework programme it was considered appropriate to include an exhaustive list of all
instruments and the modalities of
financial
their application,
contribution, as foreseen in Article 166(1) of the Treaty.

including the Community's

(d) Overall amount and breakdown of funds

The Council's Common Position maintains the Commission's proposal for the maximum overall
in accordance with the European Parliament's opinion (1). The
amount of EUR 16 270 million,
Council has however proposed adjustments to the breakdown of this figure, which by and large
fall between the figures proposed by the Commission and those suggested by the European
Parliament:

— The Council has increased the funding for the thematic priorities,

in particular the first
(genomics and biotechnology) and the sixth (sustainable development) as well as the fifth
(food quality and safety). This acknowledges the extension of activities under these headings,
especially in respect of the commitment of the Community to combat climate change and
ensure a sustainable environment and health policy,

— the Council also increased the funds for the fourth priority (aeronautics and space),

in
its high degree of integration and its potential

consideration of its Europe-wide dimension,
for improving European competitiveness in the international market,

— given the increased allocation to the thematic priorities, reductions were found to be appropriate
in the following areas: ‘policy support and anticipating emerging needs’ (Section 1.2.1, bearing in
mind that the Common Position also provides for exploratory research under the thematic
priorities),
(Section 2.3, with very limited financial
support for new infrastructures, but with EUR 200 million earmarked for Géant and GRID)
and ‘coordination of research activities’ (Section 3.1),

to research infrastructures’

‘support

— in respect of the funding for ‘policy support and anticipating emerging needs’ the Council
it
following considerable clarification as to the content of
considered that,
constitutes an essential element of the framework programme and also counterbalances the
more focused approach in the thematic priority areas, while providing the necessary flexibility
within the framework programme to meet new and emerging needs. As a result this area
suffered a relatively smaller reduction than that foreseen by the European Parliament,

this activity,

(1) At the same time, the Council has reached an agreement on the budget of EUR 1 230 million for the Euratom
framework programme, resulting in the total of EUR 17 500 million for the EC and Euratom framework
programmes, thereby maintaining the total amount for the two framework programmes as proposed by the
Commission.

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— the funding dedicated to the development of high speed communications networks (Géant and
GRID) was increased to EUR 300 million overall, while maintaining the division between the
related research activities (to be carried out under thematic priority 2: EUR 100 million) and the
infrastructure activities (to be carried out under Section 2.3: EUR 200 million). Accordingly, the
than that
budget allocation for research infrastructures was maintained at a higher level
suggested by the European Parliament,

— concerning the thematic priority of citizens and governance (Section 1.1.7) and the activity on
science and society (Section 2.4), the Common Position essentially maintains the Commission's
original budget allocations (however, with EUR 10 million increase to ‘science and society’),
which are lower than those suggested by the European Parliament. In so doing, the Council
wished to emphasise the importance of the research work carried out under the first six thematic
priorities which it considered essential
to attain the fundamental EC Treaty objective of
‘strengthening the scientific and technological bases of Community industry and encouraging
it to become more competitive at international level’. The Council moreover considered that
socioeconomic aspects should be taken into account throughout the activities of the framework
programme rather than being dealt with in isolation,

— concerning the activities of

the Joint Research Centre (JRC) and their division between
non-nuclear and nuclear activities in the EC and Euratom framework programmes respectively,
the Council has taken the view that the area of measurements and standards, originally proposed
by the Commission under the Euratom programme, is of considerable relevance to ERA and
therefore more suited to being incorporated into the EC framework programme. The Common
Position accordingly envisages a EUR 40 million increase for JRC non-nuclear activities (1).

(e) Other issues

In order to improve the legal clarity of the text, the Council introduced a number of modifications
of a more technical nature. For instance, Article 6 of the Commission proposal concerning the
participation of non-member countries was deleted. This matter does not fall within the scope of the
decision on the framework programme (Article 166(1)). Instead the conditions for participation by
entities established in non-member countries will be elaborated in the Rules for Participation, in
accordance with Article 167 of
the Treaty. Subsequent decisions, notably the association
agreements, will also deal with this issue.

2. Council's position on the European Parliament's amendments

the European Parliament's
The Council's Common Position incorporates a large number of
amendments (255 of
in part,
in substance or
in whole,
sometimes in a modified form or in a different place, and often in the form proposed by the
Commission in its modified proposal.

the 340 amendments suggested),

In particular it should be noted that, in line with the Commission's amended proposal, the Common
Position incorporates the European Parliament's amendments concerning the extension of activities
under the thematic priorities, provided that this approach is compatible with the need to ensure a
focusing and integrating effect. As a result certain European Parliament amendments have
accordingly been incorporated, not in the thematic priorities, but under Section 1.2.1 of the
Common Position (supporting policies), as well as under Heading 3 (coordination activities).

(1) This increase mirrors an equivalent decrease in the nuclear activities of the JRC under the Euratom framework
programme. This reassessment of the JRC activities also facilitates a EUR 50 million increase for fusion research
(from 700 proposed by the Commission to 750 million) envisaged by the Council in response to the European
Parliament's request of EUR 800 million for fusion research, while maintaining the total Euratom budget at
EUR 1 230 million as proposed by the Commission.

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(a) The Council's Common Position incorporates the following amendments,

in whole or in

substance:

— 1, 2, 3, 4, 9, 10, 35, 41, 43, 44, 49, 51, 58, 71, 92, 102, 104, 107, 112, 151, 168, 180,

187, 270, 275, 276, 300, 302, 315, 325, 331, 336, 338.

(b) The Council incorporated in principle, or in part, the following amendments:

— 6, 7, 8 (1), 11, 13, 15, 17, 19, 22 (see chapter III.B.1.a), 23, 24, 27, 30, 33, 37, 38, 40, 42,
48, 52, 53, 56, 57, 59, 61, 63, 64, 65, 66, 68, 69, 70, 72, 73, 74, 75, 76, 77, 78, 80, 81,
82, 85, 86, 87, 88, 89, 91, 93, 94, 95, 96, 97, 98, 101, 103, 105, 108, 109, 111, 115,
118, 119, 120, 121, 122, 123, 124, 125, 126, 127, 128, 131, 134, 135, 136, 138, 140,
143, 146, 147, 148, 149, 152, 153, 154, 155, 156, 157, 158, 160, 161, 162, 164, 165,
166, 169, 170, 171, 172, 173, 174, 175, 176, 177, 178, 179, 181, 182, 183, 186, 189,
190, 191, 192, 193, 194, 195, 196, 197, 198, 200, 201, 202, 203, 204, 205, 206, 207,
208, 209, 210, 211, 212, 213, 214, 215, 216, 217, 218, 219, 220, 221, 222, 223, 224,
225, 226, 227, 228, 229, 230, 231, 232, 233, 234, 235, 236, 237, 238, 239, 240, 241,
242, 245, 246, 247, 248, 249, 250, 251, 252, 253, 254, 259, 260, 262, 263, 269, 271,
272, 273, 277, 278, 279, 280, 281, 282, 283, 287, 288, 289, 291, 292, 293, 294, 295,
296 (see chapter III.B.1.d), 297, 298, 299, 305, 308, 309, 312, 314, 316, 320, 321, 322,
323, 324, 326, 327, 328, 329, 332, 333, 334, 335, 337, 339 (see chapter III.B.1.e).

(c) The Council followed the Commission in not incorporating the following amendments:

— 5, 12, 16, 18, 20, 25, 26, 28, 29, 31, 39, 45, 50, 54, 55, 60, 62, 67, 79, 83, 84, 90, 99,
106, 110, 113, 114, 116, 117, 129, 130, 132, 133, 137, 139, 141, 142, 144, 145, 150,
159, 163, 167, 184, 185, 188, 199, 243, 244, 255, 256, 257, 258, 264, 265, 266, 267,
268, 274, 284, 285, 286, 290, 301, 303, 304, 306, 307 (see chapter III.B.1.d), 310, 311,
313, 317, 319, 330, 340.

(d) Regarding certain other amendments not incorporated, the Council's views were as follows:

amendment 14 (compatibility with the financial perspective): it was considered self-evident that the
framework programme would respect the ceilings contained in the financial perspectives;

amendment 21 (assigning separate budget lines for specific programmes in the Community budget): the
Council considered that the framework programme decision was inappropriate for including
such provisions;

amendment 32 (developing understanding of nature and society):
it was considered that this was
implicitly covered in all aspects of framework programme research; in addition, the thematic
priority 7 on citizens and governance explicitly addresses the societal issues;

firms): already broadly covered in
amendment 34 (innovation activities by SMEs and very small
Annex I, in the Introduction to Heading 1; the concept of ‘very small firms’ was considered
to be covered under ‘SMEs’;

amendment 36 (management structure): while the Council accepts the European Parliament's views
on the need to ensure a high quality of management
in implementing the framework
it considered it more appropriate to establish the management structure in the
programme,
specific programmes;

(1) The Council also adopted on 10 December 2001 a resolution addressing certain issues relating to researchers'

mobility, referred to in this amendment. (OJ C 367, 21.12.2001, p. 1).

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amendments 46, 47: the Council deleted the text in the Commission's proposal which these
amendments related to, as they contained references to activities in third countries, considered
inappropriate in a Community legal text;

amendment 100 (anti-personnel mine clearance): this is already listed as a task for JRC (Section 1.3);

amendment 261 (reference to defence and security policy): this is outside the scope of the EC Treaty;
however, in Section 1.2.1, reference is made to crisis management and biosecurity;

amendment 318 (financial contribution to ‘Article 169’ programmes): the Council preferred not to fix
the modalities for the implementation of Article 169, pending future Commission proposals for
activities to be carried out under this Article.