Decision No 1513/2002/EC of the European Parliament and of the Council of 27 June 2002 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)
Date: 2002-06-27
Institutions: Council of the European Union, European Parliament
Subjects: EU programme, EU research policy, innovation, research and development, research programme, shareholding, technological change

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I

(Acts whose publication is obligatory)

DECISION No 1513/2002/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 27 June 2002

concerning the sixth framework programme of
research,
technological development and demonstration activities, contributing to the creation of the
European Research Area and to innovation (2002 to 2006)

the European Community for

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

(3)

(4)

(5)

(6)

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
Committee (2),

the Economic and Social

Having regard to the opinion of
Regions (3),

the Committee of

the

Acting in accordance with the procedure laid down in Article
251 of the Treaty (4),

Whereas:

(1)

(2)

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

technological
encouraging
international

to

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.

(1) OJ C 180 E, 26.6.2001, p. 156 and
OJ C 75 E, 26.3.2002, p. 132.

(2) OJ C 260, 17.9.2001, p. 3.
(3) OJ C 107, 3.5.2002, p. 111.
(4) Opinion of the European Parliament of 14 November 2001 (not
yet published in the Official Journal), Council Common Position of
28 January 2002 (OJ C 113 E, 14.5.2002, p. 54) and Decision of
the European Parliament of 15 May 2002 (not yet published in the
Official Journal). Council Decision of 3 June 2002.

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

framework programme

activities. This

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

the

2000

submitted

two
Commission
In
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.

adopted

conclusions

The European Councils in Lisbon in March 2000, Santa
Maria de Feira in June 2000 and Stockholm in March
2001
rapid
establishment 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.

aimed

the

at

Building upon the obligation of Article 6 of the Treaty,
the G(cid:246)teborg 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.

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The European Parliament
the Economic and Social Committee
Committee of the Regions
creation of the European Research Area.

(4),
(3)
(5) and the
(6) have also supported the

(2), the Council

(1)

programme should stress the importance of involving
in the Community’s
associated candidate countries
research policy and in the European Research Area.

(7)

(8)

(9)

(10)

(11)

(12)

of

On 19 October 2000 the Commission submitted the
conclusions
the
external
implementation and results of the Community activities
carried out in the five years preceding that assessment,
accompanied by its observations.

assessment

the

of

effect

should have

a
sixth framework programme
The
research
technological
structuring
on
including the Member States,
development in Europe,
associated candidate countries and other associated
countries and make a significant contribution to the
establishment of the European Research Area and to
innovation.

and

sixth framework programme,

In accordance with Article 166(1) of the Treaty,
it is
necessary to establish the scientific and technological
objectives and to fix the relevant priorities for the
activities envisaged, the maximum overall amount, the
detailed rules for Community financial participation in
the
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
financial
to ensure sound financial
important
interests.
management of the sixth framework programme.

as well

as

is

It

It is appropriate to place special emphasis on the needs
of small and medium-sized enterprises (SMEs), bearing
in mind the European Charter for Small Enterprises
Feira European Council, whose
endorsed by
principles and eighth line for action aim to strengthen
the technological capacity of small enterprises, and to
facilitate access to the best research and technology.

the

The sixth framework programme should provide an
important contribution, covering the full spectrum from
to the development of
basic to applied research,
scientific
the
and
and
coordination of European research. The framework

excellence

technical

to

(1) Resolution of 18 May 2000 (OJ C 59, 23.2.2001, p. 250).
(2) Resolution of 15 February 2001 (OJ C 276, 1.10.2002, p. 271).
(3) Resolution of 15 June 2000 (OJ C 205, 19.7.2000, p. 1).
(4) Resolution of 16 November 2000 (OJ C 374, 28.12.2000, p. 1).
(5) Opinion of 24 May 2000 (OJ C 204, 18.7.2000, p. 70).
(6) Opinion of 12 April 2000 (OJ C 226, 8.8.2000, p. 18).

(13)

(14)

(15)

(16)

(17)

(18)

(19)

Specific targeted projects and coordination actions may
also be used as a (cid:145)stairway of excellence(cid:146) to facilitate the
access of smaller research actors of scientific excellence,
including SMEs,
from
associated candidate countries, to the activities of this
framework programme.

research actors

as well

as

of

participation
RTD

The
regions
in
appropriate
Community
mechanisms adapted to their particular situation should
be facilitated.

outermost
through

the
actions

sixth

The international and global dimension in European
in the interest of
is
research activities
important
obtaining mutual
framework
benefits. The
programme is open to the participation of countries
having concluded the necessary agreements
to this
effect, and is also open on the project level, and on the
basis of mutual benefit, to the participation of entities
from third countries and of international organisations
scientific cooperation. Specific activities will be
for
undertaken in support of participation of scientists and
institutions from developing countries, Mediterranean
countries
including the western Balkans as well as
Russia and the new independent states (NIS).

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, including the monitoring of implementation of
such policies, in the areas of its specific competence.

carried

out within the

sixth
Research activities
framework programme
fundamental
ethical principles, including those which are reflected in
Article 6 of the Treaty on European Union and in the
Charter of fundamental rights of the European Union.

should respect

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

Following the Commission communication (cid:145)Women and
Science(cid:146) and the Resolutions of the Council of 20 May
1999 (7) and 26 June 2001 (8) and the Resolution of
the European Parliament of 3 February 2000 (9) on this

(7) OJ C 201, 16.7.1999, p. 1.
(8) OJ C 199, 14.7.2001, p. 1.
(9) OJ C 309, 27.10.2000, p. 57.

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(20)

(21)

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.

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
the seventh
framework programme, has an independent assessment
the activities
carried out of
the implementation of
the
undertaken, bearing in mind the contribution of
sixth framework programme to the creation of
the
European Research Area, which should be done in a
spirit of openness with respect to all the relevant actors.

for

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
other
arrangements within the meaning of Articles 169 to
171 of the Treaty.

undertakings

up of

setting

joint

or

(22)

The Scientific
(CREST) has been consulted,

and Technical Research Committee

HAVE DECIDED AS FOLLOWS:

The detailed rules

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

the General

Budget

the

for

to

of

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

to Article 173 of
in detail

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
particular progress
and
meeting its priorities as set out under each heading of Annex I;
information on financial
the
instruments shall also be included.

report
sixth framework programme,
towards

achieving its objectives

and the use of

aspects

Article 5

sixth framework programme

The
through specific programmes. These programmes
establish precise objectives
implementation.

and the detailed rules

implemented
shall
for

shall be

Article 1

Article 6

A multiannual

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

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

technological

and

The sixth framework programme shall comprise all

2.
Community activities envisaged in Article 164 of the Treaty.

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

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

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

Article 2

Done at Luxembourg, 27 June 2002.

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.

For the European Parliament

For the Council

P. COX

The President

M. ARIAS CA(cid:209)ETE

The President

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

ANNEX I

INTRODUCTION AND GENERAL OUTLINE

The sixth framework programme ((cid:145)this programme(cid:146)) will be carried out to further the objective set out in Article 163(1)
of the Treaty,
(cid:145)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(cid:146).

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:

(cid:151) focusing and integrating Community research,

(cid:151) structuring the European Research Area,

(cid:151) 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.

In order to help the development of SMEs in the knowledge society and the use of the economic potential of SMEs in
an enlarged and better integrated European Union, SMEs,
including small and micro enterprises as well as craft
enterprises, will be encouraged to participate in all areas and all instruments as set out in Annex III of the sixth
framework programme, in particular in the context of the activities carried out in the priority thematic areas in the
spirit of (cid:145)stairway of excellence(cid:146). A smooth transition from the modalities used in the fifth framework programme to
those used in the sixth framework programme will be ensured.

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 third countries may participate in this
programme via bilateral cooperation agreements.

Researchers and organisations from third countries may also participate on a case by case basis in projects. The detailed
conditions under which entities from third 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,
international 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.

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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
focussed primarily on seven clearly defined thematic priority areas, while further specific measures will be
undertaken across a wider field of scientific and technological research.

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.

life sciences, 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 development policy of the Community, specific measures
aimed at encouraging international research cooperation will be undertaken. In principle, the following
three groups of third countries will be involved:

(a) developing countries;

(b) Mediterranean countries, including the western Balkans;

(c) Russia and the new 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.

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2.

STRUCTURING THE EUROPEAN RESEARCH AREA

Activities in this area will cover the following:

2.1.

Research and innovation

Activities to stimulate technological
transfer of knowledge and
technologies 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 (cid:145)focusing and
integrating community research(cid:146).

innovation, utilisation of research results,

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 third 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.

I. 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
to the 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, socio-economic, ethical and wider cultural aspects of the envisaged activities, and gender
equality, will be duly taken into account, where relevant for the activity concerned.

interest

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.

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1.1.

Thematic priorities

1.1.1. Life sciences, genomics and biotechnology for health (1)

O b j e c t i v e

The activities carried out in this area are intended to help Europe exploit, by means of an integrated research
effort, breakthroughs achieved in decoding the genomes of living organisms, more particularly for the benefit
of public health and citizens and to increase the competitiveness of the European biotechnology industry. In
the field of applications, the emphasis will be put on research aimed at bringing basic knowledge through to
the application stage ((cid:145)translational(cid:146) approach) to enable real, consistent and coordinated progress at European
level in medicine and improve the quality of life.

J u s t i f i c a t i o n o f t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

the human genome and genomes of other organisms, will
(cid:145)Post-genomic(cid:146) research based on analysis of
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.

In the medical field, the objective is to develop improved patient-oriented strategies for the prevention and
management of disease and for living and ageing healthily. Furthermore, in this context, attention will be paid
to childhood diseases and related treatments whenever appropriate. In addition, there is a particular priority for
Europe to mobilise its efforts in a coordinated way towards combating cancer and confronting the major
communicable diseases linked to poverty. This research will therefore concentrate on translating the new
knowledge being created, which is not limited to genomics and other fields of basic research, into applications
that improve clinical practice and public health.

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.

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

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

A. Advanced genomics and its applications for health

(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) bio-informatics;

(v) multi-disciplinary functional genomics approaches to basic biological processes.

(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. ((cid:145)Policy oriented
research(cid:146)) as well as Heading III.

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(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. Combating major diseases

(a) Application-orientated 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 (such as Alzheimer’s disease, Parkinson’s
disease
illness),
cardiovascular diseases, and rare diseases;

and new variant Creutzfeldt-Jakob disease

relevant, mental

and, where

(ii) combating resistance to antibiotics and other drugs;

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

(b) A broader approach, not limited to genomics and other fields of basic research, will be pursued with

regard to:

(i)

cancer, with a focus on the development of patient-oriented strategies from prevention to
diagnosis and treatment, including three inter-linked components:

(cid:151) developing necessary networks and initiatives to coordinate national research activities,

(cid:151) supporting clinical research aimed at validating new and improved interventions,

(cid:151) supporting (cid:145)translational(cid:146) research;

(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.

1.1.2.

Information society technologies (IST)

O b j e c t i v e

The activities carried out in this area, pursuant to the conclusions of the Lisbon European Council and the
objectives of the e-Europe initiative, are intended to stimulate the development in Europe of 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. Concentration on the
future generation of IST will bring IST applications and services to everyone and enable the development of the
next generation of technologies to be more user(cid:150)centered.

J u s t i f i c a t i o n o f t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

the dawn of

At
functioning of
communicating.

the 21st century,

the economy and society, and are generating new ways of producing,

information and communication technologies are revolutionising the
trading and

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

(1) See also Section 1.2.1.

(cid:145)Policy support and anticipating scientific and technological needs(cid:146) and Heading III

(Strengthening the

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

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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 (cid:145)natural(cid:146) interactions, a multitude of services
and applications. This vision of (cid:145)ambient intelligence(cid:146) (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.

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

The actions undertaken will therefore address the following technological priorities:

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

Completing and building on progress expected in the development of basic technologies, research aimed at
finding solutions for major societal and economic challenges, 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 (cid:145)all-digital(cid:146) world and the need
to secure the rights and privacy of citizens;

(b)

(cid:145)ambient intelligence(cid:146) systems offering access to the information society for all, regardless of age and
situation (such as disability or other individual circumstances), as well as interactive and intelligent systems
for health, mobility, security,
leisure, tourism, access to and preservation of the cultural heritage, and
environment;

(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 and for e-government taking account of user
needs;

(d)

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

Communication and computing infrastructures

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

(a)

communications
satellite
the new generations of wireless
integration and management of communication
communications
systems; all-optical
networks,
including interoperable network solutions; capacity-enhancing technologies necessary for the
development of systems, infrastructures and services, in particular for audio-visual applications. Work will
also lead to the development of next Internet generation;

and mobile
technologies;

and networks;

systems

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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.

Components and microsystems

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

(a)

including
the design and production of nano-, micro-, and opto-electronic and photonic components,
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, micro-technologies, displays and micro-systems, and multi-disciplinary research into new

materials and quantum devices; new computing models and concepts.

Information management and interfaces

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

tools and interfaces, with a view to enabling easier interaction

(a) knowledge representation and management systems based on context and semantics, including cognitive
sharing, preserving and

for creating, organising, navigating,

retrieving,

systems, as well as
tools
disseminating digital content;

(b) multi-sensorial 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

O b j e c t i v e

The activities carried out in this area are intended to help Europe achieve a critical mass of capacities needed to
develop and exploit, especially for greater eco-efficiency 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.

J u s t i f i c a t i o n o f t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

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

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

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

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

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

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)

(b)

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

including simulations,

systems research needed for sustainable waste management and hazard control
in production and
manufacturing, including bio-processes, leading to a reduction in consumption of primary resources and
less pollution;

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

1.1.4. Aeronautics and space

O b j e c t i v e

The aim of activities carried out in this area is two-fold: to 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.

J u s t i f i c a t i o n o f t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

The aerospace industry consists of two technologically and economically separate sectors but they are closely
associated on account of their industrial and political implications and the stakeholders involved and they are
examples of 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.

In an increasingly demanding competitive environment,
foreseeable aviation requirements worldwide
correspond to some 14 000 new aircraft over the next 15 years, representing a market worth EUR 1 000
billion. The efforts made to integrate industrial capacities and development activities 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.

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

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

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

Aeronautics

Community aeronautical
technological development activities necessary in order to:

research activities

including air

transport

systems will address

research and

(a)

increase the competitiveness of the European industry with regard to civil aircraft, engines and equipment;

(b)

reduce the environmental impact of aviation, by reducing fuel consumption, CO2, NOX and other chemical
pollutants and noise pollution;

(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 (cid:145)Single European Sky(cid:146) (air traffic
control and management systems).

Space

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

in order to strengthen the coherence of

(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.

1.1.5.

Food quality and safety

O b j e c t i v e

The activities carried out in this area are intended to help establish the integrated scientific and technological
bases needed to develop an environmentally friendly production and distribution chain of safer, healthier and
varied food, including sea-food 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.

J u s t i f i c a t i o n o f t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

The recent food crises, and in particular 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 has been established (1).

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,
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.

(cid:145)from farm to fork(cid:146),

(1) OJ L 31, 1.2.2002, p. 1.

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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.

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

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

including, where appropriate, post-genomics research, relating to

(a)

safer and environmentally friendly production and processing methods and healthier, nutritious, functional
and varied foodstuffs and animal
lower-input
farming including organic agriculture, and the use of plant and animal sciences and biotechnologies;

feed, based on systems such as integrated production,

(b) epidemiology of food-related diseases and allergies, including the impact of diet on the health of children

and methods for the analysis of causes of food-related allergies;

(c)

(d)

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
developments on health;

(cid:145)traceability(cid:146) processes all along the production chain,
organisms, including those based on recent biotechnology developments;

for instance relating to genetically modified

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

(f)

impact of animal
sub-products of different origins for that feed, on human health;

feed,

including products containing genetically modified organisms and the use of

(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

O b j e c t i v e

The activities carried out in this area are intended to strengthen the scientific and technological capacities
needed for Europe to be able to implement sustainable development, emphasised by the G(cid:246)teborg 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.

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J u s t i f i c a t i o n o f t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

The 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 (leading to an energy-intelligent Europe) and new approaches relating to
mobility, making it possible to ensure the conservation and more rational, efficient and sustainable use of
natural resources, with less waste and emissions 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 (cid:145)Towards a European strategy
for the security of energy supply(cid:146) and in the Commission’s White Paper (cid:145)European transport policy for 2010:
time to decide(cid:146), 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.

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
these ecosystems and will contribute substantially to the sustainable
importance for the preservation of
development of Europe.

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

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

I.

Sustainable energy systems (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;

(1) Other energy-related topics are included under Section 1.2.1. ((cid:145)Policy support and anticipating scientific and technological needs(cid:146)) and

in Heading III.

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(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.

Sustainable surface transport (1)

(a) Developing environmentally friendly, safe and competitive 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 production techniques leading to improved quality, safety, recyclability,

comfort and cost-effectiveness;

(b) making rail

and maritime

addressing the
interoperability of transport modes, and assuring intelligent and safe transport of passengers and
freight:

transport more

competitive,

and more

effective

(i)

(ii)

in particular in the urban and regional context,
rebalancing and integrating different modes,
including new mobility management and transport logistics systems making rail and maritime
transport more effective (for example, by means of promoting intermodality and interoperability);

increasing safety, and avoiding traffic congestion (in particular in urban areas),
through the
integration of innovative electronics and software solutions and by means of the use of advanced
satellite navigation systems and telematics solutions.

III. Global change and ecosystems

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,
in particular to improve prediction and to evaluate
mitigation options;

forests and soil)

(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 multi-purpose 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 pre-normative
research on measurements and testing for these purposes.

(1) Other transport policy-related topics (such as transport security,

tools and indicators for transport system performance and

forecasting) are dealt with under Section 1.2.1. ((cid:145)Policy support and anticipating scientific and technological needs(cid:146)).

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1.1.7. Citizens and governance in a knowledge-based society

O b j e c t i v e

The activities carried out in this area are intended to mobilise in a coherent effort, in all their wealth and
diversity, European research capacities in economic, political, social sciences and humanities that are necessary
to develop an understanding of, and to address issues related to, the emergence of the knowledge-based society
and new forms of relationships between its citizens, on the one hand and between its citizens and institutions,
on the other.

J u s t i f i c a t i o n o f t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

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

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

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.

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.

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

Action by the Community will focus on the following themes:

knowledge-based society 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;

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(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, lifelong learning, and strengthening social
cohesion and sustainable development with due consideration for the various social models in Europe and
taking into account aspects relating to the ageing of the population;

(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:

(cid:151) 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,

(cid:151) research on the redefinition of and the relationship between areas of competence and responsibility, and

new forms of governance,

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

including the

safeguarding of fundamental rights,

(cid:151) 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
qualitative and quantitative indicators;

research and comparative studies and the coordinated development of statistics and

(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.

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 multi-annual 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 implemented in
conjunction with an annual programming mechanism, by which specific priorities, corresponding to identified
needs and falling within the objectives indicated above, will be determined.

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 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 the thematic priorities and to be coordinated within the overall context of this programme.

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

in particular the Community policy objectives relating to environment

(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;

(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);

(f)

assessment of environmental technologies for support of policy decisions, in particular concerning
effective but low-cost technologies in the context of fulfilling environmental legislation.

2.

Providing health, security and opportunity to the people of Europe

Research under this heading will focus in particular 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
mitigation of risks of natural disasters to people);

issues on health (including methods for risk assessment and the

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

(e) understanding of migration and refugee flows;

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

(g)

issues related to civil protection (including bio-security and protection against risks arising from
terrorist attacks) 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 and associated conservation strategies;

(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 multi-thematic and interdisciplinary
areas.

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.

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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 ) C o o p e r a t i v e r e s e a r c h a c t i v i t i e s

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 ) C o l l e c t i v e r e s e a r c h a c t i v i t i e s

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, third country participation will be possible within the thematic priorities. The following groups of
third countries will be involved:

(a) developing countries;

(b) Mediterranean countries, including the western Balkans;

(c) Russia and the New 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.

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
cooperation with candidate countries.

The essential common denominator of the JRC’s activities will be the safety of citizens in its different aspects,
e.g. 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.

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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,
products,
(more particularly the establishment of references in this area);

in particular to combat BSE; genetically modified organisms; chemical
including validation of alternative non-animal testing procedures; biomedical applications

(b) environment and sustainability, with particular attention to:

impacts) and technologies for sustainable development
Climate change (carbon cycle, modelling,
(renewable energy sources, tools for the integration of policies); improvement of air quality, protection
of
technical
support for the objectives of GMES.

the European environment; development of reference measurements and networks;

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

II. STRUCTURING THE EUROPEAN RESEARCH AREA

2.1.

Research and innovation

O b j e c t i v e

These activities are intended to stimulate technological innovation, utilisation of research results, transfer of
knowledge and technologies and the setting up of technology businesses in the Community and in all
its
important elements
regions, not
throughout this programme.

in the less developed areas.

Innovation is also one of

the most

least

J u s t i f i c a t i o n o f t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

Europe’s comparatively poor ability to transform the results of research work and scientific and technological
is one of its most notable weaknesses.
breakthroughs into industrial, economic and commercial successes,
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.

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

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

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
technology businesses, as well as for the preparation of regional and transregional strategies in this area,
including the accession countries;

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(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

CORDIS, and assistance services relating to innovation (technology transfer, protection of
property, access to risk capital); including the activities of innovation relay centres;

information services and in particular electronic services, such as
intellectual

(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 (cid:145)Innovation 2000 initiative(cid:146) as well as in
coordination with measures taken through the Structural Funds.

2.2.

Human resources and mobility

O b j e c t i v e

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

J u s t i f i c a t i o n o f t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

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.

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.

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

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

(a)

support measures for universities, research centres, businesses including in particular SMEs and networks,
for the hosting of European and third 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;

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

O b j e c t i v e

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

J u s t i f i c a t i o n o f t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

The development of a European approach with regard to research infrastructures, and the carrying out of
activities in this area at 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,
thematic areas.

including in the priority

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

(a)

transnational access to research infrastructures;

(b)

implementing integrated activities, by means of European-scale
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 infrastructures
the execution of
concerned;

joint research projects; raising the level of

the performance of

infrastructures or

(c) a high-capacity and high-speed European communication infrastructure (possibly based on GRID-type
architectures), building on the achievements of the GØant project as well as electronic publishing services;

(d) carrying out feasibility studies and preparatory work for the creation of new European scale infrastructures
the needs of all potential users and systematically exploring the possibilities of

taking into account
contributions from e.g. 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.

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2.4.

Science and society

O b j e c t i v e

The activities carried out under this heading are intended to encourage the development of harmonious
relations between science and society and the opening-up of innovation in Europe, as well as contributing to
scientists’ critical thinking and 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.

J u s t i f i c a t i o n o f t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

Science/society issues need to a large extent to be addressed at European level on account of their strong
European dimension. This is bound up with the fact that very often they arise on a European scale (as the
example of
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.

food safety problems shows), with the importance of being able to benefit

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

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

(a) binging research closer to society: sience and governance; scientific advice;

involvement of society in

research; foresight;

(b)

(c)

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;

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 careers; initiatives aimed at promoting the role and place of women in science and research at
all levels.

They will take the form of activities in support of:

(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;

(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.

III. STRENGTHENING THE FOUNDATIONS OF THE UROPEAN RESEARCH AREA

O b j e c t i v e

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

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J u s t i f i c a t i o n o f t h e e f f o r t a n d E u r o p e a n a d d e d v a l u e

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

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

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 and diabetes-related
diseases, degenerative diseases of the nervous system, psychiatric diseases, cardiovascular diseases, hepatitis,
allergies, visual impairment), rare diseases, alternative or non-conventional medicine 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 coordination 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 ((cid:145)near-zero-emission(cid:146)), 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)

(d)

the administration and coordination activities of European cooperation in the field of scientific and
technological research (COST);

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, ENO 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.

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)

(c)

setting up and support for the operation of specialised working groups and forums for concertation and
political debate;

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.

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

Observatory; ENO: European Northern Observatory; ESA: European Space Agency.

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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)

13 800

600

290

1 580

16 270

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

(2) Covering the international cooperation activities carried out under the heading (cid:145)Focusing and integrating Community research (cid:146), in

the thematic priority areas and under the heading (cid:145)Specific activities covering a wider field of research(cid:146).

(3) Covering the specific activities on the theme (cid:145)Research and innovation(cid:146) carried out under the heading (cid:145)Structuring the European
Research Area(cid:146) in addition to innovation activities carried out under the heading (cid:145)Focusing and integrating Community research(cid:146).
(4) Covering the activities concerning human resources and support for mobility carried out under the heading (cid:145)Structuring the

European Research Area(cid:146).

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)

11 285

(EUR million)

13 345

Life sciences, genomics and biotechnology for health (2)

= Advanced genomics and its applications for health

= Combating major diseases

Information society technologies (3)

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

2 255

1 100

1 155

3 625

1 300

1 075

685

2 120

810

610

700

225

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Specific activities covering a wider field of research

1 300

Policy support and anticipating scientific and technological needs

Horizontal research activities involving SMEs

Specific measures in support of international cooperation

555

430

315

Non-nuclear activities of the Joint Research Centre

760

2. Structuring the European Research Area

2 605

Research and innovation

Human resources

Research infrastructures (4)

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

TOTAL

290

1 580

655

80

270

50

320

16 270

(1) Of which at least 15 % for SMEs.
(2) Including up to EUR 400 million for cancer-related research.
(3) Including up to EUR 100 million for the further development of GØant and GRID.
(4) This amount of EUR 315 million will fund specific measures in support of international cooperation involving developing countries,
Mediterranean countries including the western Balkans, and Russia and the New Independent States (NIS). Another EUR 285 million
is earmarked to finance the participation of third-country organisations in the (cid:145)Thematic Priorities(cid:146) and in the (cid:145)Specific activities
covering a wider field of research(cid:146), thus bringing the total amount devoted to international cooperation to EUR 600 million.
Additional resources will be available under section 2.2 (cid:145)Human resources and mobility(cid:146) to fund research training for third-country
researchers in Europe.

(5) Including up to EUR 200 million for the further development of GØant and GRID.

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ANNEX III

INSTRUMENTS AND RULES FOR FINANCIAL PARTICIPATION BY THE COMMUNITY

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 (cid:145)Indirect RTD actions(cid:146), to which the Community will contribute
financially. In addition, the Community will undertake activities implemented by the JRC, and which are referred to as
(cid:145)direct actions(cid:146).

1.

INSTRUMENTS

I n t r o d u c t i o n

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 instruments should involve, as appropriate, universities or institutions of higher education of a similar level,
including SMEs. They could entail activities relating to dissemination,
research organisations and industry,
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
monitoring 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 I as defined in Annex I):

(cid:151) 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,

(cid:151) 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
coordination actions,

(cid:151) 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 (cid:145)Specific activities covering a wider field of research(cid:146) (under Heading I) 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 II (Structuring the European Research Area) and Heading III (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
foster cooperation between capacities of excellence in
assembling a critical mass of expertise. They will
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 (cid:145)risky(cid:146) 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
including funding or
collaboration schemes such as Eureka, EIB and EIF.

funding,

1.3. Specific targeted research or innovation projects

Specific targeted research projects will aim at improving European competitiveness. They should be sharply
focussed 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.

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

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

for

future Community research and technological development policy activities

Specific support actions will complement the implementation of this programme and may be used to help in
preparations
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.

Specific support actions will also be implemented to stimulate, encourage and facilitate the participation of SMEs,
small research teams, newly developed and remote research centres, as well as those organisations from the
candidate countries in the activities of the priority thematic areas, in particular via the networks of excellence and
the integrated projects. The implementation of these actions will rely on the specific information and assistance
structures, including the network of national contact points, established by the Member States and the associated
countries at local, regional and national level and will aim at ensuring a smooth transition from the fifth to the
sixth framework programme.

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
infrastructures, 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.

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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 (1). The joint
recourse to a specific
implementation structure. This may be achieved by means of harmonised work programmes and common, joint
or coordinated calls for proposals.

these programmes will entail

implementation of

2.

DETAILED RULES FOR FINANCIAL PARTICIPATION BY THE COMMUNITY (2)

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,
including other sources of
Community financing such as the EIB and EIF.

in particular if funding from other public sector sources is available,

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 (3), 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.

(1) It is recalled that national programmes to be carried out jointly pursuant to Article 169 of the Treaty are subject to decision by the

European Parliament and the Council under the procedure provided for in Article 251 of the Treaty.

(2) It is recalled that, pursuant to Article 167 of the Treaty, the rules for the participation of undertakings, research centres and
universities and for the dissemination of research results for the implementation of the framework programme are to be adopted by
the European Parliament and the Council subject to the procedure provided for in Article 251 of the Treaty. These rules will cover,
inter alia, minimum number of participants, the participation of bodies from candidate and third countries, criteria for evaluation and
selection of RTD actions, management of RTD actions, liability issues and intellectual property rights.

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

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RTD activities and Community financial contribution according to type of instrument

Type of instrument

RTD activities

Community contribution (*) (1)

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

Grant to the budget of a maximum
of:

(cid:151) 50 % for research

(cid:151) 35 % for demonstration

(cid:151) 100 % for certain other

activities such as training of
researchers and consortium
management (3) (4)

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

Networks of excellence

(cid:151) Priority thematic areas

(cid:151) Policy support and

anticipating scientific and
technological needs

Integrated projects

(cid:151) Priority thematic areas

(cid:151) Policy support and

anticipating scientific and
technological needs

Specific targeted research or
innovation projects

(cid:151) Priority thematic areas

(cid:151) Policy support and

anticipating scientific and
technological needs

(cid:151) Specific international
cooperation activities

(cid:151) Promoting interaction between
research and innovation

(cid:151) Developing harmonious

relations between science and
society

Participation in programmes
undertaken by several Member
States (Article 169)

(cid:151) All activities of the sixth

framework programme

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

Specific research projects for SMEs (cid:151) Specific research activities for

SMEs

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

Actions to promote and develop
human resources and mobility

(cid:151) Promotion of human

resources and mobility

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

Coordination actions

(cid:151) 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

(cid:151) In all the activities of the sixth

framework programme

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

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Type of instrument

RTD activities

Community contribution (*) (1)

Integrated infrastructure initiatives

(cid:151) Support for research
infrastructures

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

(cid:151) Non-nuclear activities of the
Joint Research Centre

100 % (7)

(*) 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
development 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.