Communication from the Commission to the Council, the European Parliament, the European Economic and Social committee and the Committee of the Regions - Security Research : The Next Steps
Date: 2004-09-07
Institutions: European Commission
Subjects: European security, advisory committee (EU), applied research, common foreign and security policy, common security and defence policy, public safety, research programme, social policy

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 7.9.2004 
COM(2004) 590 final 

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COMMUNICATION FROM THE COMMISSION TO THE COUNCIL, 
THE EUROPEAN PARLIAMENT, THE EUROPEAN ECONOMIC AND 
SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS 

Security Research : The Next Steps 

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SECURITY RESEARCH – THE NEXT STEPS 

In  October  2003,  EU  Commissioners  Busquin  and  Liikanen  convened  a  ‘Group  of 
Personalities in the field of security research’, drawn from European governments, academia 
and  industry.  The  primary  mission  was  “to  propose  principles  and  priorities  of  a  European 
Security Research Programme (ESRP) in line with the European Union’s foreign, security and 
defence  policy  objectives  and  its  ambition  to  construct  an  area  of  freedom,  security  and 
justice”.  

On  15th  March  2004,  the  Group  presented  its  report,  ‘Research  for  a  Secure  Europe’  to 
President Prodi. The report describes the essential elements of an ESRP and the contribution it 
could  make  to  address  the  new  security  challenges  of  a  changing  world.  A  commentary 
indicating the next steps the Commission intends to take in the field of Security Research is 
given below. The Executive Summary and Conclusions and Recommendations of the Group 
of Personalities report are annexed. 

The Commission welcomes the report of the Group of Personalities on Security Research. It 
subscribes to the main thrust of the recommendations and orientations, and will undertake, in 
collaboration with the stake-holders, necessary action as set out in chapter 4 - The Next Steps.  

The Commission invites the Council and the European Parliament to endorse the orientations 
of the Report of the Group of Personalities on Security Research, and to give their support to 
the proposals outlined in this Communication and its Annex. 

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1. 

INTRODUCTION 

Political, societal and technological developments have created a fluid security environment 
where risks and vulnerabilities are more diverse and less visible. New threats have emerged 
which ignore state borders and target European interests both within and outside EU territory. 

Events such as the Madrid railway attacks of March 2004 underline the need to enhance the 
security for citizens throughout Europe. In addition, enlargement to a ‘Europe of 25’ demands 
extra efforts to ensure a consistent high level of security throughout the whole of a Union with 
frontiers now extending to the East and the South.  

To  address  the  growing  and  diversifying  security  challenge,  Europe  needs  to  harness  the 
combined and relatively untapped strengths of relevant industry and coordinates the research 
community  in  order  effectively  and  innovatively  to  address  existing  and  future  security 
challenges, enhance the protection of the citizen and play an efficient role in peace-keeping 
activities.  The  threat  to  security  which  now  exists  can  only  be  effectively  addressed  at 
European scale. 

The  need  to  address  the  new  security  situation,  and  the  role  of  a  strong  industrial  and 
technology base has been stressed by Heads of state and governments on various occasions: 

– 

– 

– 

– 

– 

– 

The Cologne European Council, which emphasised the need for a competitive 
and dynamic industrial and defence base 

The Lisbon Council drive to a competitive knowledge-based society 

The  Barcelona  Council,  calling  for  a  boost  to  overall  research,  development 
and innovation effort in the Union  

The decision of the Thessaloniki Council to take concrete steps in the field of 
defence 

The  adoption  by  Council  of  the  EU  Security  Strategy  ‘A  secure  Europe  in  a 
better world’1  

The discussion at the Brussels Council of 25/26th March 2004 which resulted in 
a Declaration on Combating Terrorism.  

1 

‘A  Secure  Europe  in  a  Better  World’,  presented  to  the  European  Council  meeting  in  Thessaloniki  on 
19-20  June  2003  by  High  Representative  Javier  Solana,  and  endorsed  by  the  European  Council 
on 12th December 2003. 

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2. 

THE NEED FOR RESEARCH AND TECHNOLOGY FOR SECURITY  

In  addressing  the  new  security  challenges,  technology  plays  a  key  role.  The  European 
potential  to  research,  develop  and  deploy  a  wide  range  of  security  technologies  exists. 
However, in facing the diversity of new threats, Europe needs to surmount current structural 
and  functional  deficiencies:  reducing  fragmentation  and  duplication  of  effort,  increasing 
cooperation and achieving standardisation and interoperability. 

In Europe, there has for long been a strong separation between research for civil purposes and 
that  for  defence  objectives.  Today,  many  technologies  are  ‘dual-use’:  civil  developments 
adding to defence capabilities, developments originally made for defence purposes leading to 
major innovations and benefits in the day to day life of the citizen. Moreover, terrorism has 
led to a blurring of lines between internal (police oriented) and external security (military). As 
a consequence this separation now has to be overcome. 

In  its  Communication2  of  March  2003  on  a  common  defence  equipment  policy,  the 
Commission  underlined  the  need  for  a  competitive  industrial  base  to  support  the  European 
Security  and  Defence  Policy  (ESDP):  as  a  corollary,  this  implies  better  coordination  at 
European  level,  where  consolidation  of  the  range  of  political,  economic,  industrial  and 
regulatory actions can take place. Equally, the Common Foreign and Security Policy (CFSP), 
supporting as it does humanitarian actions and interventions on behalf of the European Union, 
depends  both  now  and  in  the  future  on  the  availability  of  leading-edge  technologies  to 
maximise the efficiency of the actions undertaken. 

A  coherent  security  research  programme  at  the  level  of  the  European  Union  can  add 
significant value to the optimal use of a highly competent industry. Such research should be 
capability-driven, targeted at the development of interoperable systems, products and services 
useful for the protection of European citizens, territory and critical infrastructures as well as 
for  peacekeeping  activities.  Security  is  also  a  prerequisite  for  the  good  functioning  of  such 
key European services as transport and energy supply; research has an important role to play 
to guarantee a high level of protection. 

In  a  European  initiative  on  security  research,  Union  values  on  individual  rights,  democratic 
values,  ethics  and  liberties  need  to  be  respected.  A  balance  must  be  struck  between 
surveillance  and  control  to  minimise  the  potential  impact  of  terrorist  action,  and  respect  for 
human  rights,  privacy,  social  and  community  cohesion  and  the  successful  integration  of 
minority  communities.  Progress  in  technology  should  go  hand  in  hand  with  policy  making 
and  a  strong  EU  policy  on  technology  development  for  security  may  benefit  the  quality  of 
legislation and other policy initiatives. 

2 

‘Towards an EU Defence Equipment Policy’, COM(2003) 113. 

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To  address  the  need  for  strengthened  and  better  coordinated  security  research,  the 
Commission has undertaken two concrete actions. The first is to launch a Preparatory Action 
in  the  domain  of  security  research3,  the  second,  the  setting  up  of  a  high  level  Group  of 
Personalities  to advise  on a long term strategy for security research in the European Union. 
The  Preparatory  Action  has  been  launched  and  the  first  call  closes  on  23rd  June,  whilst  the 
Group of Personalities report was presented in March4. 

3. 

THE GROUP OF PERSONALITIES REPORT 

The  report  of  the  Group  of  Personalities  identifies  the  role  for  European  coordination  and 
development  of  advanced  technologies  in  monitoring  and  controlling  perceived  threats, 
preventing  major  incidents  such  as  terrorist  attack,  and  in  crisis  management  and 
humanitarian  operations.  It  indicates  the  strong  potential  leveraging  effect  of  a  European 
Security Research Programme (ESRP) and the contribution it could make to address the new 
security challenges of a changing world.  

The report’s recommendations include: 

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– 

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Establishment  of  an  ESRP,  focussing  in  particular  on  internal  security 
questions,  from  2007  onwards,  with  funding  of  at  least  €1  billion  per  year, 
additional  to  that  ensured  today  by  the  Community  Research  Framework 
Programme, national or other intergovernmental sources 

Creation of a “European Security Research Advisory Board” to define strategic 
lines  of  action,  user  involvement,  mechanisms  for  implementation  and  a 
strategic research agenda for the ESRP 

In view of the political developments and many current initiatives, the need for 
cooperation  between  European  institutions  as  well  as  all  other  stakeholders 
involved.  

4. 

THE NEXT STEPS 

The Commission welcomes the Group of Personalities report. It subscribes to the main thrust 
of  the  recommendations  and  orientations,  and  will  undertake,  in  collaboration  with  stake-
holders, the necessary actions, which may be grouped in four domains: 

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4 

Commission Communication ‘On the implementation of the Preparatory Action on the enhancement of 
the European industrial potential in the field of security research, Towards a programme to advance 
European security through Research and Technology’, COM(2004) 72 final, 3.2.2004, and Decision 
2004/213/EC published in OJ L 67, of 5.3.2004. 
‘Research for a Secure Europe’, Report of the Group of Personalities in the Field of Security Research, 
ISBN  92-894-6611-1,  Luxembourg,  Office  for  Official  Publications  of  the  European  Communities, 
2004. Available on the Commission web-site http://europa.eu.int/comm/research/security 

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a) Consultation and cooperation with stakeholders 

The  Commission  will  establish  in  Autumn  2004,  a  ‘European  Security  Research  Advisory 
Board’ to advise on the content of the ESRP and its implementation, paying due attention to 
the proposals of the Group of Personalities. The  Board  should  include  experts  from  various 
stakeholder  groups:  users,  industry,  and  research  organisations.  It  will  establish  user  needs 
and encourage cooperation  between  Member States in  the  exchange of Intellectual  Property 
Rights and classified information, and the protection of secure information. 

The  Commission  will  ensure  effective  coordination  of  the  ESRP  with  its  own  internal 
research  capabilities  and  other  European  research  activities,  whether  funded  at  Community, 
national  or  intergovernmental  level.  This  coordination  also  relates  to  work  in  international 
organisations  such  as  the  UN,  OSCE  and  NATO,  and  for  the  activities  of  European 
organisations such as the European Space Agency (ESA). 

b) A European Security Research Programme 

Subscribing  to  the  recommendation  to  establish  a  European  Security  Research  Programme 
(ESRP)  to  commence  in  2007,  the  Commission  will  initiate  an  inter-institutional  debate  for 
consensus on such a programme, building on the work of the Preparatory Action on security 
research, which it will continue until the end of 20065. Security research has been included in 
the Communication on the Financial Perspectives of the Union for 2007-20136.  

A programme proposal will be tabled in early 2005 on the content, multi-annual financial plan 
and  institutional  framework  for  an  ESRP,  as  part  of  the  7th  Framework  Programme  of 
Community Research7. The ESRP should be implemented as a specific research programme 
with  its  own  set  of  procedures  (e.g.  adapted  to  confidentiality  requirements),  rules  for 
participation, contracts and funding arrangements.  

The  Commission  notes  the  recommendation  of  the  Group  of  Personalities  that  the  ESRP 
should be attributed an appropriate level of resources and shares the view that ESRP funding 
should be additional to any financing ensured today by the Community Research Framework 
Programme,  national  or  other  intergovernmental  sources.  This  position  is  in  line  with  the 
objective for the European Union to grow towards an investment of 3% of GDP in research 
by 2010. Furthermore, complementarities should be sought with other policy instruments and 
budgets to ensure the application of research results. 

c) An effective institutional setting 

The  Commission  will  ensure  that  the  requirements  of  the  European  Security  Strategy,  the 
Common  Foreign  and  Security  Policy  (CFSP),  the  European  Security  and  Defence  Policy 
(ESDP)  and  other  relevant  Commission  policies  associated  with  internal  security  are  fully 
taken into account in the development of security research. 

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The  proposals  received  following  the  2004  Call  for  proposals  for  this  Preparatory  action  indicate  a 
demand exceeding 15 times the budget availabilities. 
Commission  Communication  ‘Constructing  our  Common  Future  –  Political  challenges  and  budgetary 
requirements in an enlarged Union, COM(2004) 101, 10.2.2004.  
Commission  Communication  ‘Science  and Technology, keys  to  the  future  of  Europe: orientations for 
the research support strategy of the Union’.COM(2004) 353. 

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It is determined to develop cooperation and synergies between Community security research 
and  relevant  aspects  of  the  European  Defence  Agency  (EDA)  work.  The  Commission 
participation  in  the  Steering  Board  of  the  Agency  and  a  close  working  relation  will  help 
implementing  its  aim  for  complementarity  with  EDA  work  and,  where  appropriate,  mutual 
use of research results. It encourages Member States to work with the Commission towards 
improving coordination and optimisation of use of research and technology results for civil, 
security  and  defence  applications.  Jointly  identifying  and  meeting  common  R&D  and 
technology  needs  will  contribute  to  fostering  cooperation  between  competent  authorities  at 
different levels in a very pragmatic and concrete way. 

d) A governance structure responding to the urgency and nature of the work 

The Commission will establish, in discussion with Member States and other stakeholders and 
based on its experiences with RTD programme management, the best mechanisms to ensure 
effective management of the ESRP. 

The  Commission  will  put  in  place  effective  and  flexible  contract,  participation  and  funding 
mechanisms  –  for  example  to  allow  co-funding  of  new  technologies  by  public  authorities; 
thereby  ensuring  a  high  degree  of  synergy  or  of  complementarity    -  ,  in  consultation  with 
stakeholders  and  deriving  from  experience  gained  on  rules  and  procedures  during  the 
Preparatory Action. 

5. 

CONCLUSION 

The  above  approach  will  ensure  security  research  under  a  Community  Framework  that  can 
provide strong added value, by: 

Acknowledging that the availability of new technologies is a key element in the fight against 
terrorism; a strong, structured security research programme at European level is necessary to 
help protect European citizens and the European economy; 

Reducing  fragmentation,  addressing  duplication,  increasing  cooperation  (including  amongst 
Member states) to address standardisation and interoperability, benchmarking excellence, thus 
delivering better value for money to the European effort and removing the current dispersion, 
with the effect of facilitating the emergence of a true European market in this field; 

Responding  to  the  challenges  and  opportunities  of  an  extended  Union  with  a  population  of 
455 million in 25 Member States; 

Recognising that security is a problem for all Member States and all citizens, to which shared 
or common solutions should be sought, in full respect of European human values and ethics; 

Building  on  existing  Community  experience  of  the  management  of  joint  research 
programmes,  and  the  existence  of  an  accepted  and  well-known  legal  framework  for  public-
private cooperation through RTD. 

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ANNEX 

Research for a Secure Europe  

Group of Personalities in the Field of Security Research 

Executive Summary and Recommendations  

EXECUTIVE SUMMARY 

In  today’s  global  society,  the  European  Union  faces  new  opportunities  as  well  as  new 
dangers.  Political,  social  and  technological  developments  have  created  a  fluid  security 
environment  where  risks  and  vulnerabilities  are  more  diverse  and  less  visible.  New  threats 
have emerged that ignore state borders and target European interests outside and within EU 
territory. The European Council recognized these threats in December 2003 with the adoption 
of the EU Security Strategy ‘A secure Europe in a better world’.  

These  threats  call  for  European  responses  and  a  comprehensive  security  approach  that 
addresses internal as well as external security and can combine civil and military means. The 
closer the Union cooperates with the UN, OSCE, NATO and all its international partners, the 
more effective its contribution to international security will be. In particular, the EU needs to 
develop capabilities to protect its citizens at home as well as to deploy significant resources 
for peacekeeping, humanitarian aid and institution-building activities abroad.  

To  achieve  these  objectives,  Europe  must  take  advantage  of  its  technological  strengths. 
Technology itself cannot guarantee security, but security without the support of technology is 
impossible. It provides us with information about threats, helps us to build effective protection 
against  them  and,  if  necessary,  enables  us  to  neutralize  them.  Moreover,  new  technology 
trends offer new opportunities. Civil, security and defence applications increasingly draw on 
the same technological base – creating new synergies between different research sectors. 

Using technology as a ‘force enabler’ for a secure Europe requires state-of-the-art industries, 
a  strong  knowledge  infrastructure,  appropriate  funding  and  an  optimal  use  of  resources. 
Europe has high quality research institutes and a substantial and diverse industrial base from 
which  to  address  technology  requirements  in  the  security  domain.  However,  structural 
deficiencies  at  the  institutional  and  political  level  hinder  Europe  in  the  exploitation  of  its 
scientific, technological and industrial strength. The dividing line between defence and civil 
research; the absence of specific frameworks for security research at the EU level; the limited 
cooperation  between  Member  States  and  the  lack  of  coordination  among  national  and 
European  efforts  –  all  serve  to  exacerbate  the  lack  of  public  research  funding  and  present 
major obstacles to delivering cost-effective solutions. 

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To  overcome  these  deficiencies,  Europe  needs  to  increase  its  funding  and  improve  the 
coherence  of  its  efforts.  This  implies  (a)  effective  coordination  between  national  and 
European research activities, (b) systematic analysis of security-related capability needs, from 
civil security to defence, (c) full exploitation of synergies between defence, security and civil 
research, (d) specific legal conditions and funding instruments for security-related research at 
the  European  level,  and  (e)  institutional  arrangements  that  are  both  efficient  and  flexible 
enough  to  combine  Member  State  and  Community  efforts  and  to  involve  other  interested 
partners.  

Recent initiatives demonstrate a growing awareness of the necessity to act. In this context, the 
creation of the ‘Agency in the field of defence capabilities development, research, acquisition 
and  armaments’  and  the  Commission’s  Preparatory  Action  in  the  field  of  security-related 
research are particularly important. The challenge will be to take these initiatives forward and 
to develop them into a coherent approach. The establishment of a European Security Research 
Programme  (ESRP)  from  2007  onwards  would  be  a  major  contribution  towards  the 
achievement of this objective.  

An  ESRP  should  take  advantage  of  the  duality  of  technologies  and  the  growing  overlap  of 
security  functions  to  bridge  the  gap  between  civil  and  defence  research.  In  support  of  a 
comprehensive  security  approach,  it  should  fund  research  activities  targeted  at  the 
development of systems and products that are useful: 

– 

– 

In particular for the protection of Member State territory, sovereignty, domestic 
population and critical infrastructure against transnational threats, and 

For EU missions ‘outside the Union for peace keeping, conflict prevention and 
strengthening  international  security  in  accordance  with  the  principles  of  the 
United Nations Charter’. 

An ESRP should maximize the benefits of multi-purpose aspects of technologies. In order to 
stimulate synergies, it should look at the ‘crossroads’ between civil and defence applications 
and foster cross-sector transformation and integration of technologies. Its focus should be on 
interoperability  and  connectivity  as  key  elements  of  trans-border  and  inter-service 
cooperation.  A  core  of  architectural  design  rules  and  standards  should  be  worked  out  at  an 
early stage.  

An  ESRP  should  complement  civil  Community  programmes  on  the  one  hand,  and  security 
and  defence  research  activities  conducted  at  the  national  or  intergovernmental  level  on  the 
other. Effective coordination between an ESRP and other relevant research activities is crucial 
to ensure coherence of efforts.  

Moreover, an ESRP must take into account the specific aspects of the security market. This 
entails  the  creation  of  new  funding  instruments  and  technology  transfer  rules.  At  the  same 
time, customers must be involved throughout the process to avoid disconnecting research and 
procurement.  

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An  ESRP  developed  along  these  lines  is  of  strong  social  interest  and  can  give  significant 
added value. It would help to enhance Europe’s security, which is in itself a precondition of 
numerous  Community  policies  (transport,  energy,  telecommunication,  etc.).  It  would  foster 
cross-border  cooperation,  increase  European  industrial  competitiveness  and  strengthen 
Europe’s research base. What is more, it would contribute significantly to the EU policy on 
growth and competitiveness as established in Lisbon and Barcelona.  

For  all  these  reasons,  an  ESRP  should  be  Community-funded.  It  should  have  a  minimum 
annual  budget  of  EURO  1  billion  with  the  possibility  to  progressively  increase  it  further,  if 
appropriate.  In  line  with  the  objective  for  the  EU  to  invest  3%  of  GDP  in  research,  ESRP 
funding  must  be  additional  to  any  financing  ensured  today  by  the  Community  Research 
Framework Programme or national or intergovernmental sources. Such an investment would 
be an important contribution towards making Europe more secure for its citizens. 

CONCLUSIONS AND RECOMMENDATIONS 

Considering  the  vast  challenges  that  an  enlarged  European  Union  faces,  this  report  has 
identified  an  urgent  need  to  adapt  the  funding  and  the  organization  of  European  research 
activities to new security and technology realities.  

To make this happen, we advocate: 

a) 

Combining national, intergovernmental and Community research efforts across 
the civil-military continuum in the most efficient way; 

b)  Developing a specific European Security Research Programme (ESRP).  

At  the  same  time,  we  insist  that  the  respect  for  civil  liberties  and  ethical  principles  must 
govern all European research activities. 

An  ESRP  can  add  value  to  the  European  project  and  is  of  strong  social  interest.  It  has  the 
potential to foster industry’s competitiveness and strengthen Europe’s research base. It would 
promote  cross-border  cooperation  and  contribute  to  the  EU  policy  on  growth  and 
competitiveness  as  established  in  Lisbon  and  Barcelona.  Most  importantly,  it  would  help  to 
enhance the EU’s security, which is in itself a precondition of numerous Community policies 
(transport,  energy,  telecommunication,  etc.).  For  all  these  reasons,  an  ESRP  should  be 
Community-funded.  

An ESRP should not replace or duplicate Member States efforts. Its aim should be to support 
and supplement them, and to give them new coherence. Having this in mind, we put forward 
the following recommendations: 

1.  A  Community-funded  ESRP  ensuring  the  involvement  of  all  Member  States 
should be launched as early as 2007. Its minimum funding should be €1 billion 
per year, additional to existing funding. This spending level should be reached 
rapidly, with the possibility to progressively increase it further, if appropriate, 
to  bring  the  combined  EU  (Community,  national  and  intergovernmental) 
security research investment level close to that of the U.S. 

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2.  An  ESRP  should  fund  capability-related  research  projects  up  to  the  level  of 
demonstrators that are useful in particular for Internal Security in the EU and 
for CFSP/ESDP-missions. 

3. 

In closing the gap between civil and defence research, an ESRP should seek to 
maximize  the  benefits  of  multi-purpose  aspects  of  technology.  In  order  to 
stimulate  synergies,  it  should  encourage  transformation,  integration  of 
applications and technology transfer from one sector to the other.  

4.  An ESRP should focus on interoperability and connectivity as key elements of 
cross-border  and  inter-service  cooperation.  In  this  context,  a  kernel  of 
architectural design rules and standards should be worked out at an early stage.  

5. 

6. 

The  rules  governing  an  ESRP  must  suit  the  specificities  of  security  research. 
The Commission should, in consultation with all relevant stakeholders, develop 
the necessary rules for IPR and technology transfer. 

Recognizing  that  many  requirements  will  be  government-specified,  new 
financing  instruments  should  be  created  to  enable  research  funding  to  be 
disbursed, if justified, at up to 100% of cost. 

7.  A ‘Security Research Advisory Board’ should be established to draw strategic 
lines of action to prepare the research agenda of an ESRP as well as to advise 
on the principles and mechanisms for its implementation. Moreover, it should 
identify  critical technology areas  where Europe should aim for an  indigenous 
competitive  capability.  The  Board  should  consist  of  high-level  experts  from 
public  and  private  customers,  industry,  research  organizations  and  any  other 
relevant stakeholders. 

8.  Definition of customer needs will be key for the successful implementation of 
an ESRP. A mechanism should therefore be established at EU level to identify 
in  consultation  with  potential  customers,  future  capability  needs  for  Internal 
Security missions.  

9. 

Effective  coordination  must  make  sure  that  the  ESRP  does  not  duplicate  but 
complements  other  European 
funded  at 
Community, national or intergovernmental level.  

research  activities  whether 

10.  The  Commission  and  the  Council  should  ensure  an  effective  and  efficient 
liaison  between  an  ESRP  and  the  future  ‘Agency  in  the  field  of  defence 
capabilities development, research, acquisition and armaments’.  

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11.  The  ESRP  should  take  into  account  and,  where  appropriate,  coordinate  with 
research efforts of international organizations with responsibilities for global or 
regional security issues. 

12.  An ESRP should aim at fostering the competitiveness of the European security 
industries and stimulating the development of the market (public and private) 
for security products and systems. Implementing the Proposals for Action put 
forward  in  the  Commission’s  Communication  ‘Towards  a  European  defence 
equipment  market’  would  greatly  help  to  achieve  this  objective  and  to 
maximize the benefits of an ESRP. 

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