Proposal for a Council Decision concerning the Specific Programme to be carried out by means of direct actions by the Joint Research Centre under the 7th Framework Programme of the European Community for research, technological development and demonstration activities (2007-2013)
Date: 2005-09-21
Institutions: European Commission
Subjects: EU programme, EU research policy, Joint Research Centre, research and development, research programme, technological change

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 21.9.2005 
COM(2005) 439 final 

2005/0184 (CNS) 

Proposal for a 

COUNCIL DECISION 

concerning the Specific Programme to be carried out by means of direct actions by the 
Joint Research Centre under the 7th Framework Programme of the European 
Community for research, technological development and demonstration activities 
(2007-2013) 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM (EC TREATY) 

1. 

CONTEXT OF THE PROPOSALS 

The  proposals  for  five  specific  programmes  follow  the  Commission’s  proposal  for  a  7th 
Framework Programme (2007-2013) adopted on 6 April 20051. A structure was presented in 
terms of four main specific programmes - “Cooperation”, “Ideas”, “People” and “Capacities” 
-  each  corresponding  to  a  major  objective  of  European  research  policy;  a  further  specific 
programme  is  for  the  direct  actions  of  the  Joint  Research  Centre.  The  Commission  will  be 
presenting proposals for the “Rules for Participation and Dissemination” that apply to the 7th 
Framework Programme. 

The policy context and objectives are those set out in the Communication “Building the ERA 
of  knowledge  for  growth”2.  To  meet  these  objectives  and  implement  in  full  the  specific 
programmes will require a doubling of the budget as proposed by the Commission.  

the  key 

term  and  sustainable  manner.  They  are  also 

Research,  technology,  education  and  innovation  are  a  significant  way  of  creating  jobs  in  a 
long 
to  economic  growth, 
competitiveness,  health,  quality  of  life  and  the  environment.  The  research  Framework 
Programme, alongside Community programmes in the areas  of education and  innovation, is 
aimed to progress towards the knowledge economy and society. The specific programmes of 
the  7th  Framework  Programme  are  designed  to  address,  in  combination  with  the  necessary 
national  and  private  efforts,  major  weaknesses  in  the  level,  quality  and  impact  of  European 
research.  The  dissemination  and  transfer  of  knowledge  is  a  key  added  value  of  European 
research actions, and measures will be taken to increase the use of results by industry, policy-
makers and society. 

Europe must invest more in research and a new emphasis is needed if the European Union is 
to  progress  towards  the  objective  of  investing  3%  of  its  GDP  in  research  by  2010.  The  7th 
Framework  Programme  will  contribute  to  this,  both  through  direct  financing  but  also  by 
leveraging additional public and private investments in research.  

Europe  needs  more  researchers  in  order  to  increase  and  improve  its  research  efforts. 
Alongside  other  actions,  such  as  the  European  Charter  for  Researchers  and  national  policy 
measures,  the  7th  Framework  Programme  is  designed  to  stimulate  more  people  to  embark 
upon and pursue research careers, and once again attract leading research talent to Europe.  

Financial  support  at  a  European  level  offers  opportunities  to  increase  the  excellence  and 
effectiveness of research which cannot be achieved at national level. The specific programmes 
of  the  7th  Framework  Programme  represent  further  consolidation  of  the  European  Research 
Area, achieving critical mass and structures in new areas of research and by new means, and 
further supporting the free movement of ideas, knowledge and researchers. 

Throughout the implementation of the specific programmes the potential for European level 
actions  to  strengthen  excellence  in  research  will  be  exploited  to  the  maximum,  notably 
through EU wide competitions backed with rigorous and independent evaluation of proposals. 

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COM(2005) 119. 
COM(2005) 118. 

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This  implies  identifying  and  supporting  existing  excellence  wherever  it  exists  across  the 
European Union as well as creating capacities for future research excellence.  

The  impact  of  the  specific  programmes  will  be  enhanced  through  complementarities  with 
other  Community  policies  and  programmes,  and  in  particular  the  Structural  Funds,  the 
education programmes, and the Competitiveness and Innovation Programme.  

2. 

PRIOR CONSULTATION 

The  preparation  of  the  specific  programme  proposals  has  taken  account  of  the  views 
expressed  by  the  EU  Institutions,  in  particular  the  European  Parliament  and  European 
Council,  as  well  as  other  stakeholders  including  researchers  and  users  of  research.  This 
includes the ongoing discussions and inputs in relation to the proposal for the 7th Framework 
Programme decisions, the extensive consultations and inputs collected during the preparation 
of that proposal, and further work in identifying future research priorities such as that being 
undertaken by European Technology Platforms.  

The Specific Programme proposal draws from the in-depth impact assessment undertaken for 
the  7th  Framework  Programme  proposal3  which  demonstrated  the  strong  and  specific  added 
value of each of the specific programme proposed. In addition, the proposals take account of 
the outcome of the five year assessment of the Framework Programme4.  

3. 

LEGAL ASPECTS 

The proposal for the specific programmes is based on Title XVIII of the Treaty, Articles 163 
to  173,  and  in  particular  Article  166(3)  concerning  implementation  of  the  Framework 
Programme through specific programmes. 

4. 

BUDGETARY IMPLEMENTATION 

The legislative financial statements attached to each proposed Decision set out the budgetary 
implications and the human and administrative resources. 

The Commission intends to set up an executive agency which will be entrusted with certain 
tasks  required  to  implement  the  “Cooperation”,  “People”  and  “Capacities”  Specific 
Programmes.  This  approach  will  also  be  taken  for  the  implementation  of  the  “Ideas” 
programme (see Section 7.2 below). 

5. 

A COHERENT AND FLEXIBLE IMPLEMENTATION 

5.1. 

Adapting to new needs and opportunities 

It is vital that the implementation of the specific programmes is sufficiently flexible to remain 
at  the  forefront  of  scientific  and  technological  developments  and  respond  to  emerging 
scientific,  industrial,  policy  or  societal  needs.  Those  actions  which  allow  researchers 

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SEC(2005) 430. 
COM(2005) 387. 

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themselves to identify topics will be particularly important in this respect. For other actions, 
this  will  be  achieved  primarily  through  the  work  programmes  which  will  be  updated  on  an 
annual basis. This will be undertaken with the assistance of the committees of Member State 
representatives  where  it  is  envisaged  that  the  committees’  clear  focus  will  be  on  the  work 
programmes.  Revisions  may  be  made  more  rapidly  in  case  of  new  priorities  requiring  an 
urgent response, in particular arising from unforeseen policy needs. 

This  multi-annual  programming  will  benefit  from  a  wide  range  of  inputs  to  ensure  that  the 
activities supported maintain direct relevance to the evolving research needs of industry and 
EU  policies.  External  advice  will  be  sought,  including  for  each  of  the  themes  within  the 
Cooperation specific programme, with effective multi-disciplinary coverage and a balance of 
academic and industrial views.  

For the Ideas programme, an entirely new approach will be taken whereby the preparation of 
an annual work programme  will be entrusted to  an independent  scientific council as  part of 
the establishment of an autonomous European Research Council (see Section 7.2 below). 

Additional external inputs, in particular for the Cooperation programme, will be facilitated in 
particular  from  the  European  Technology  Platforms  established  in  various  fields  which 
should  play  a  strong  and  dynamic  role  to  ensure  the  industrial  relevance.  The  research 
priorities  identified  in  the  Strategic  Research  Agendas  defined  by  the  platforms  are  well 
reflected  in  the  specific  programme  proposals,  and  will  provide  an  important  input  in  the 
multiannual programming.  

Other fora and groups may provide the Commission with timely advice on new priorities in 
particular areas, such  as European  Strategy Forum  on  Research  Infrastructures  (ESFRI)  and 
platforms  established 
to  social  or 
environmental policy areas. 

to  consider  strategic  research  agendas  relevant 

An  important  new  opportunity  that  will  be  provided  by  the  Framework  Programme  is  an 
innovative  financing  mechanism,  the  Risk-Sharing  Finance  Facility,  aimed  at  fostering 
private sector expenditure in RTD by improving access to European Investment Bank (EIB) 
loans  for  large  European  actions  which  need  to  combine  several  sources  of  financing, 
including  loans.  These  large  European  actions  are  “Joint  Technology  Initiatives”  and  large 
collaborative projects funded directly by the Framework Programme within the Cooperation 
programme, and new research infrastructure projects under the Capacities programme. Other 
large  European  collaborative  projects  such  as  Eureka  ones  could  also  be  considered,  in 
accordance to eligibility criteria. The contribution envisaged from the specific programmes to 
the  EIB  will  significantly  improve  the  access  to  debt  finance  and  thereby  exercising  a 
significant leverage effect on private investments in RTD.  

5.2. 

Cross cutting issues 

Overall coherence in the implementation of the 7th Framework Programme will be ensured by 
the  Commission,  taking  full  account  of  the  guaranteed  autonomy  and  independence  of  the 
European Research Council in the Ideas programme.  

The work programmes across the other specific programmes will be revised in a coordinated 
way to allow cross cutting issues to be fully taken into account. The committees of Member 
State representatives also have an important responsibility in assisting the Commission in the 
effective  coherence  and  coordination  of  implementation  across  and  within  these  specific 

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programmes. This implies a strong level of coordination within Member States and between 
representatives of different committee configurations. 

Where actions to be supported have a strong relevance to different parts of the Cooperation, 
People  and  Capacities  specific  programmes,  joint  calls  will  be  used  building  on  the 
experience  gained  in  the  6th  Framework  Programme.  This  will  be  particularly  important  for 
research topics that cut across the themes in the Cooperation programme, and such calls will 
be clearly identified in the work programme. 

The  following  issues  that  cut  across  the  Cooperation,  People  and  Capacities  specific 
programmes  are  of  particular  importance,  and  particular  arrangements  for  a  coordinated 
approach are foreseen:  

•  International  cooperation:  all  of  these  specific  programmes  are  open  to  international 
cooperation, and have dedicated actions in this respect. A strategic approach will be taken 
across  the  Framework  Programme  to  promote  European  research  excellence  and 
competitiveness and to address specific global or regional issues where there is a mutual 
interest and benefit. A coherent approach across the specific programmes in line with this 
strategy  will  be  ensured  and  the  Capacities  programme  will  have  a  major  role  in  this 
respect.  

•  Research infrastructures: the main support to research infrastructures will be implemented 
in the Capacities programme, and this programme will ensure a coordinated approach with 
relevant research activities in the other programmes, notably the Cooperation programme. 

•  Cross  cutting  policy  research:  Arrangements  for  effective  coordination  within  the 
Commission services will be put in place, in particular to ensure that activities continue to 
meet  the  needs  of  developments  in  EU  policies.  For  this  purpose,  the  multi-annual 
programming  may  draw  on  the  help  of  user  groups  of  different  Commission  services 
associated  with  the  policies  concerned,  and  in  this  context  an  internal  structure  will  be 
created to ensure the coordination of marine science and technologies across the relevant 
thematic areas.  

•  SME  participation:  the  participation  of  SMEs  will  be  optimised  across  the  specific 
programmes.  In  addition  to  the  strengthened  SME  specific  actions  in  the  Capacities 
programme:  SME  research  interests  are  included  throughout  the  Cooperation  programme 
and topics of particular interest to SMEs will be further identified in the work programmes 
and calls for proposals; the activities in the People programme have a special emphasis on 
the  involvement  of  SMEs;  and  SMEs  will  also  be  able  to  participate  in  the  Ideas 
programme.  The  simplification  measures  envisaged  and  the  increased  flexibility  in 
choosing the appropriate funding scheme will benefit in particular SME participation. 

•  Dissemination and knowledge transfer: the need to foster the uptake of research results is a 
strong feature across the specific  programmes,  with  a  particular emphasis on transferring 
knowledge between countries, across disciplines and from academia to industry, including 
through the mobility of researchers. The involvement of potential users in helping to define 
priorities  (in  particular  through  the  European  Technology  Platforms)  is  important  in  this 
aspect. The complementary actions under the Competitiveness and Innovation Programme 
will also reinforce the use of research results by addressing the barriers to innovation and 
strengthening innovation capabilities. 

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•  Science in society: this activity in the Capacities programme will also play a role to ensure 
that  society  aspects  are  properly  taken  into  account  in  all  specific  programmes,  and  that 
interactions between scientists and the wider public are deepened. 

6. 

SIMPLIFICATION AND MANAGEMENT METHODS 

A  significant  simplification  will  be  achieved  in  the  implementation  of  the  7th  Framework 
Programme, following the ideas presented in the Commission Working Document of 6 April 
2005  and  extensive  dialogue  with  Member  States  and  stakeholders  on  the  basis  of  this 
document. Many of the proposed measures are to be presented in the Rules for Participation 
and  Dissemination,  notably  to  reduce  “red  tape”  significantly  and  simplify  the  funding 
schemes and reporting requirements.  

Within the specific programmes, proposed improvements include: 

•  Improved  efficiency  and  consistency  of  implementation  through  the  externalisation  of 

administrative tasks to an executive agency. 

•  Rationalising funding schemes whereby implementation of each Specific Programme will 

make use of the instruments necessary to realise the objectives of the Programme. 

•  A  clearer  presentation  of  evaluation  criteria:  to  be  included  in  the  Work  Programmes 

following the principles set out in each Specific Programme.  

•  Clearly  presented  work  programmes  such  that  potential  participants  are  well  informed 
about  the  opportunities  available  which  meet  their  particular  needs  and  interests.  For 
example,  work  programmes  and  calls  will,  where  appropriate,  highlight  those  topics  of 
particular interest to SMEs or where cooperation with third countries is beneficial. 

•  Simplifications  in  other  aspects,  such  as  streamlining  the  approval  of  projects,  the  new 
funding and support schemes, and further use of databases and information tools to provide 
better communication. 

7. 

CONTENT OF THE SPECIFIC PROGRAMMES 

7.1. 

Cooperation 

The  Cooperation  specific  programme  is  designed  to  gain  leadership  in  key  scientific  and 
technological areas by supporting cooperation between universities, industry, research centres 
and  public  authorities  across  the  European  Union  as  well  as  the  rest  of  the  world.  Previous 
framework  programmes  demonstrate  the  impact  of  such  actions  in  restructuring  research  in 
Europe and pooling and leveraging resources. The 7th Framework Programme will distribute 
these  impacts  more  widely  and  the  nine  themes  proposed  correspond  to  the  major  fields  of 
progress  in  knowledge  and  technology  where  excellent  research  must  be  strengthened  to 
address European social, economic, public health, environmental and industrial challenges. 

The  programme  represents  strong  elements  of  continuity  with  previous  framework 
programmes  building  on  the  demonstrated  added  value  of  European  support  of  this  type. 
There are, in addition, important novelties in this specific programme which require specific 
consideration for the implementation: 

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•  Responding  to  the  need  for  ambitious  pan-European  public  private  partnerships  to 
accelerate the development of major technologies, through the launch of Joint Technology 
Initiatives5.  A  first  set  of  initiatives  have  been  identified  with  clear  objectives  and 
deliverables  in  the  areas  of  innovative  medicines,  nanoelectronics,  embedded  computing 
systems,  hydrogen  and  fuel  cells,  aeronautics  and  air  traffic  management  and  global 
monitoring for environment and security. These will be the subject of  separate proposals 
(eg, under Article 171 of the Treaty). Further Joint Technology Initiatives, such as in the 
areas of zero emission power generation and renewable energy, may be identified during 
the implementation of the 7th Framework Programme. 

•  A strengthened approach to the coordinating national research programmes. The successful 
ERA -NET scheme will be continued and implemented within the themes. Existing ERA-
NETs from the 6th Framework Programme will be allowed to submit follow up proposals 
to  deepen  their  cooperation  or  broaden  the  consortia  to  new  participants,  and  new  ERA-
Nets  to  address  new  topics  will  be  supported.  The  scheme  will  also  be  open  to  public 
bodies  planning  a  research  programme  but  which  is  not  yet  in  operation.  In  addition,  an 
ERA-NET  plus  scheme  will  be  introduced  to  provide  an  incentive  for  joint  calls  for 
transnational research projects organised between a number of countries. 

•  Following  the  experience  of  the  European  and  Developing  Countries  Clinical  Trials 
Partnership  (EDCTP)  Article  169  initiative,  a  further  four  Article  169  initiatives  have 
been identified with the close cooperation of Member States. Such initiatives in the fields 
of ambient assisted living, Baltic Sea research and metrology are listed in the Cooperation 
programme  and  an  Article  169  initiative  to  bring  together  national  research  performing 
SME-related  programmes  is  mentioned  in  the  Capacities  programme.  Further  initiatives 
may be identified during the implementation of the 7th Framework Programme. 

•  A  more  targeted  approach  to  international  cooperation  within  each  theme  and  across 
themes  is  foreseen  with  specific  cooperation  actions  to  be  identified  in  the  work 
programmes in line with the strategic approach for international cooperation foreseen and 
through policy dialogues and networks with different regions of partner countries. 

•  A  component  on  to  allow  a  flexible  response  to  emerging  needs  and  unforeseen policy 
needs will be supported under each of the themes and the implementation will build on the 
experience  of  the  Scientific  Support  for  Policy  and  New  and  Emerging  Science  and 
Technology  schemes  introduced  in  the  6th  Framework  Programme,  as  well  as  the  Future 
and Emerging Technology scheme in the ICT area.  

7.2. 

Ideas 

Europe does not perform well  in  terms of  truly  outstanding research  or  mastering new  fast-
growing areas of science. The Ideas programme will provide such a pan-European mechanism 
to support the truly creative scientists, engineers and scholars, whose curiosity and thirst for 
knowledge  are  most  likely  to  make  the  unpredictable  and  spectacular  discoveries  that  can 
change the course of human understanding and open up new vistas for technological progress 
and  solving  enduring  social  and  environmental  problems.  Driving  up  the  quality  of  basic 

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As set out in the Commission Staff Working Document, Report on European Technology Platforms and 
Joint Technology Initiatives: Fostering Public-Private R&D Partnerships to Boost Europe’s Industrial 
Competitiveness - SEC(2005) 800, 10.6.2005. 

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research  through  European  wide  competitions  will  generate  significant  social  and  economic 
benefits6. 

The  “Ideas”  programme  adopts  the  term  “frontier  research”  which  reflects  a  new 
understanding  of  basic  research.  At  the  forefront  of  creating  new  knowledge,  “frontier 
research” is an intrinsically risky endeavour that involves the pursuit of fundamental advances 
in science, technology and engineering, without regard for established disciplinary boundaries 
or national borders. 

The programme will follow an “investigator driven” approach, allowing researchers the scope 
to  propose  their  own  topics.  Grants  will  be  provided  for  individual  teams,  leaving  the 
flexibility for a team to consist of any grouping of researchers appropriate for the conduct of 
the  projects,  from  one  single  institution  or  several  institutions,  in  one  country  or  across 
national borders. In all cases, scientific excellence and not administrative requirements should 
drive  the  formation  of  the  teams.  The  programme  will  ensure  differentiation  from  national 
funding actions in basic research by its strategic objectives and European scope. 

The  creation  of  a  European  Research  Council  (ERC)  for  implementing  the  Ideas 
programme  represents  a  new  departure.  Two  key  structural  components  of  the  ERC  will  be 
established  -  an  independent  Scientific  Council  and  a  dedicated  implementation  structure  –
operating according to the principles of trust, credibility and transparency, it should provide 
adequate  financial  means  and  work  with  high  efficiency,  and  it  should  guarantee  a  high 
degree  of  autonomy  and  integrity,  while  being  consistent  with  the  requirements  for 
accountability. 

The Scientific Council will consist of representatives of the European scientific community, 
at the highest level, acting in their personal capacity, independently of political or any other 
interests.  Its  members  will  be  appointed  by  the  Commission,  following  an  independent 
process for their identification.  

The mandate of the Scientific Council will include: 

(1) 

Scientific strategy: Establishment of the overall scientific strategy for the programme, 
in the light of scientific opportunities and European scientific needs. On a permanent 
basis,  in  accordance  with  the  scientific  strategy,  the  establishment  of  the  work 
programme and necessary modifications, including calls for proposals and criteria on 
the basis of which proposals are to be funded, and, as may be required, the definition 
of specific topics or target groups (e.g. young/emerging teams). 

(2)  Monitoring  and  quality  control:  As  appropriate,  from  a  scientific  perspective, 
establishment of positions on implementation and management of calls for proposals, 
evaluation  criteria,  peer  review  processes  including  the  selection  of  experts  and  the 
methods for peer review and proposal evaluation, on the basis of which the proposal to 
be funded will be determined; as well as any other matter affecting the achievements 
and  impact  of  the  Specific  Programme,  and  the  quality  of  the  research  carried  out. 
Monitoring  quality  of  operations  and  evaluation  of  programme  implementation  and 
achievements and recommendations for corrective or future actions. 

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(3) 

Communication  and  dissemination:  Communication  with  the  scientific  community 
and  key  stakeholders  on  the  activities  and  achievements  of  the  programme  and  the 
deliberations of the ERC. Regularly report to the Commission on its activities. 

The  dedicated  implementation  structure  will  be  responsible  for  programme  execution,  as 
provided for in  the annual work programme.  It  will,  in particular, implement the evaluation 
procedures, peer review and selection process according to the principles established by the 
Scientific  Council  and  will  ensure  the  financial  and  scientific  management  of  the  grants.  In 
this regard, in the first instance, the Commission intends to establish an Executive Agency to 
which  it  will  delegate  the  execution  tasks.  The  implementation  structure  will  maintain 
continual close liaison with the Scientific Council on all aspects of programme execution. In 
future and subject to an independent evaluation of the efficiency of the ERC’s structures and 
mechanisms, an alternative structure, for example under the provisions of Article 171 of the 
Treaty, may be established.  

The European Commission will act as the guarantor of the ERC’s full autonomy and integrity. 
This  means  that  the  Commission’s  responsibility  for  the  implementation  of  the  programme 
will be effected by ensuring that the ERC’s implementation structure are put into place, and 
that  the  programme  is  executed  by  the  ERC  in  line  with  the  objectives  that  have  been  set, 
following the scientific orientations and the requirements of scientific excellence, as they are 
determined by the Scientific Council, acting independently. 

The  Commission  will  be  responsible  for  formally  adopting  the  work  programme  for  the 
“Ideas” programme. It will exercise this responsibility in line with the approach set out above. 
As  a  general  rule,  the  Commission  will  adopt  the  work  programme  as  proposed  by  the 
Scientific  Council.  If  the  Commission  is  unable  to  adopt  the  work  programme  as  proposed, 
for  example  because  the  latter  does  not  correspond  to  the  objectives  of  the  programme,  or 
does  not  conform  to  Community  legislation,  the  Commission  will  be  required  to  state  its 
reasons  publicly.  This  procedure  is  designed  to  ensure  that  the  operation  of  the  ERC 
according to the principles or autonomy and integrity, are fully and transparently respected. 

7.3. 

People 

The People specific programme forms part of a broad and  integrated strategy to strengthen, 
qualitatively  and  quantitatively,  human  resources  in  R&D  in  Europe.  The  programme  will 
stimulate people to embark on and pursue research careers, encourage researchers to stay in 
Europe,  and  attract  the  best  brains  to  Europe.  There  is  a  unique  added  value  of  European 
actions  through  harmonised  instruments,  stronger  structuring  effects  and  greater  efficiency 
than bilateral arrangements between Member States. 

The  activities  build  on  the  long  and  successful  experience  of  the  Marie  Curie  actions  in 
responding  to  researchers  needs  for  training,  mobility,  and  career  development.  While 
offering considerable continuity, a stronger focus is given to the following aspects: 

•  An  increased  structuring  effect,  for  example  through  the  introduction  of  co-funding  of 
regional, national and international programmes in the action line “Life-long training and 
career  development”.  The  “co-funding”-mode  would  not  replace  the  mode  where 
individual  post-doc  fellowships  are  applied  for  and  awarded  at  European  level,  as  is 
currently  exclusively  the  practice  in  the  6th  Framework  Programme.  However,  the 
individual  fellowships  have  reached  a  stage  of  maturity  in  Europe.  At  the  same  time  the 
national offers in this area remain fragmented in terms of objectives, evaluation methods 

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and  working  conditions,  and  are  still  often  restricted  as  regards  their  international  or 
European  dimension.  It  is  therefore  proposed  to  co-fund,  on  the  basis  of  open  calls  for 
proposals,  a  selection  of  those  programmes  corresponding  to  the  Framework  Programme 
objectives.  Evaluation  and  selection  will  be  on  merit  without  limitations  regarding  the 
origin  of  the  selected  fellows,  and  applying  acceptable  employment  and  working 
conditions (in terms of e.g. salary, social security, mentoring, professional development). 

•  Participation of industry: while the bottom-up character of the Marie Curie actions will 
be preserved, a stronger orientation will be placed on training and career development for 
and  in  different  sectors,  in  particular  in  the  private  sector.  This  will  be  achieved  by  an 
emphasis  on  the  development  of  complementary  skills  and  competences,  crucial  for  a 
better understanding of research in enterprise and for the quality of their research. This will 
be  enhanced  by  stimulating  intersectoral  experiences  through  active  participation  of 
industry,  in  all  the  actions  and  by  putting  in  place  the  dedicated  scheme  for  knowledge 
sharing in partnerships between the public and private sector, including in particular SMEs. 

•  The  international  dimension  will  be  reinforced.  Besides  outgoing  fellowships  with  a 
mandatory return, aimed at contributing to the life long training and career development of 
EU-researchers, the international co-operation through researchers from third countries is 
further  expanded.  In  addition,  new  dimensions  are  introduced  for  collaboration  with  EU 
neighbouring  and  EU  S&T  Agreement  countries.  Furthermore  support  of  “scientific 
diasporas” of European researchers abroad and foreign researchers within Europe will be 
provided. 

7.4. 

Capacities 

The Capacities specific programme will enhance research and innovation capacity throughout 
Europe.  The  programme  is  a  combination  of  continuation  and  reinforcement  of  actions  in 
previous framework programmes and in addition important novelties. 

A major new element is the foreseen strategic approach to supporting the construction of new 
research  infrastructure  which  will  complement  the  continued  support  for  optimal  use  of 
existing  research  infrastructure.  The  support  for  construction  of  new  infrastructure  will  be 
implemented  through  a  two-stage  approach:  preparatory  phase  and  a  construction  phase. 
Building on the work by ESFRI (The European Strategy Forum on Research Infrastructure) 
on the development of a European roadmap for new research infrastructure, the Commission 
will  identify  priority  projects  to  which  a  possible  EC  support  could  be  given  under  the  7th 
Framework  Programme.  For  those  projects,  the  Commission  will  act  as  a  facilitator,  in 
particular  in  facilitating  financial  engineering  mechanisms  for  the  construction  phase, 
including facilitating access to EIB loans through the Risk Sharing Finance Facility. Annex 1 
presents the ESFRI “list of opportunities”, which consists of concrete examples of new, large-
scale  research  infrastructures,  which  the  scientific  community  in  Europe  will  need  in  the 
coming decade. 

The two schemes to support research for the benefit of SMEs and SME associations will be 
pursued  with  an  increased  budget  to  respond  to  the  growing  need  of  SMEs  to  outsource 
research. 

Regions  of  Knowledge  actions  build  on  the  successful  pilot  action.  The  aim  is  to  enable 
transnational networks of regions to make full use of their research strengths, enable them to 

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absorb  new  knowledge  arising  from  research  and  to  facilitate  the  emergence  of  “research-
driven clusters” associating universities, research centres, enterprises and regional authorities. 

An important new element is the action to unlocking the full Research Potential in the EU´s 
“convergence” and outermost regions. The realisation of the knowledge-based economy and 
society relies on strengthening the excellence of European research, but also on better using 
“untapped”  high  research  potential  which  exists  all  over  the  EU.  Actions  will  allow  for  the 
recruitment  of  researchers  from  other  EU  countries,  the  secondment  of  research  and 
management  staff,  the  organisation  of  evaluation  facilities  and  the  acquisition  and 
development  of  research  equipment.  Such  actions  will  complement  the  needs  and 
opportunities  for  reinforcing  the  research  capacities  of  existing  and  emerging  centres  of 
excellence in these regions which can be met by Structural Funds.  

Science  in  Society  represents  a  significant  expansion  of  work  in  previous  Framework 
Programme. It will foster better sciences, lead to better EU polices and a more engaged and 
informed public. 

An  important  aim  of  the  7th  Framework  Programme  is  to  build  a  strong  and  coherent 
international  science  and  technology  policy  and  activities  in  the  Capacities  programme  will 
support this approach, in particular by helping to identify priorities for cooperation. 

The  coherent  development  of  policies  will  put  a  greater  emphasis  on  the  co-ordination  of 
national  and  regional  research  policies  through  a  specific  support  scheme  for  trans-national 
policy  cooperation  initiatives  by  Member  States  and  regions.  This  will  reinforce  the 
implementation of the open method of co-ordination to research policies and foster concerted 
or joint initiatives between groups of countries and regions in areas involving a strong trans-
national dimension. 

7.5. 

Joint Research Centre actions 

While continuing to provide scientific and technical support to the EU policy making the JRC 
will  further  reinforce  its  customer-driven  orientation  and  its  strong  networking  with  the 
scientific  community.  It  will  develop  its  activities  in  the  specific  context  of  growth, 
sustainable development and security. 

The JRC actions will also respond to the call for ‘better regulation’ of the new Lisbon agenda. 
New challenges associated with the growing need to respond to the crises, emergencies and 
pressing political imperatives will be met by building up capacities and facilities in selected 
areas in view of providing adequate support in an EU context. An integrated approach to the 
provision  of  scientific  and  technical  support  to  policies  will  also  be  a  key  feature  of  this 
specific programme. 

8. 

BUILDING THE ERA OF KNOWLEDGE FOR GROWTH 

Achieving the necessary rapid progress towards a knowledge economy and society requires a 
new ambition and effectiveness in European research. All actors across the European Union - 
national  governments,  research  establishments,  industry  –  have  their  role  to  play  in  this 
endeavour.  

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The  specific  programmes  to  implement  the  7th  Framework  Programme  are  designed  to 
maximise the  leverage  and  impact  of  European level research spending within the available 
budget.  Key  features  are  the  focus  on  four  objectives  in  the  corresponding  specific 
programmes, with activities and means of implementation designed to meet these objectives; 
a  strong  element  of  continuity  together  with  major  new  approaches;  a  consistent  focus  on 
supporting existing excellence and creating the capacity for tomorrows research excellence; a 
streamlined and simplified management to ensure a user-friendliness and cost effectiveness; 
and an inbuilt flexibility such that the Framework Programme can respond to new needs and 
opportunities. 

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Annex 1 

ESFRI “LIST OF OPPORTUNITIES”7 

•  Facility for Antiproton and Ion Research (FAIR) 

•  Facility for intense secondary beams of unstable isotopes (SPIRAL II) 

•  European deep-sea neutrino telescope (KM3NeT) 

•  Extremely Large Telescope (ELT) – for optical astronomy 

•  Pan-European Research Infrastructure for Nano -Structures (PRINS) 

•  European Spallation Source (ESS) – neutron source 

•  European XFEL – for hard X rays 

•  IRUVX FELs Network – from infrared to soft X rays 

•  ESRF upgrade – synchrotron 

•  High Performance Computer for Europe (HPCEUR) 

•  Marine vessel for coastal research – essentially Baltic Sea 

•  Research Icebreaker Aurora Borealis 

•  European Multidisciplinary Seafloor Observatory (EMSO) 

•  European infrastructure for research in, and protection of, biodiversity 

•  Advanced infrastructure for brain and whole body imaging 

•  Bio-informatics infrastructure for Europe 

•  European network of advanced clinical research centres 

•  European network of bio-banks and genomic resources 

•  High security laboratories for emerging diseases and threats to public health 

•  Infrastructure for functional analysis of a whole mammalian genome 

•  Model testing facilities for biomedical research 

•  European Research Observatory for the Humanities and Social Sciences (EROHS) 

7 

Towards  New  Research  Infrastructures  for  Europe:  the  ESFRI  “List  of  Opportunities”,  March  2005, 
www.cordis.lu/esfri/. 

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•  European Social Survey (ESS) 

“Global projects” 

•  ITER 

•  International Space Station (ISS) 

•  International Linear Collider (ILC) 

•  Square Kilometer Array (SKA) – radio telescope 

•  International Fusion Materials Irradiation Facility (IFMIF) 

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2005/0184 (CNS) 

Proposal for a 

COUNCIL DECISION 

concerning the Specific Programme to be carried out by means of direct actions by the 
Joint Research Centre under the 7th Framework Programme of the European 
Community for research, technological development and demonstration activities 
(2007-2013) 

(Text with EEA relevance) 

THE COUNCIL OF THE EUROPEAN UNION, 

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

Having regard to the proposal from the Commission8, 

Having regard to the opinion of the European Parliament9, 

Having regard to the opinion of the European Economic and Social Committee10, 

Having regard to the opinion of the Committee of the Regions11, 

Whereas: 

(1) 

(2) 

(3) 

8 
9 
10 
11 
12 

In accordance with Article 166(3) of the Treaty, Decision No xxx/EC of the European 
Parliament and the Council concerning the 7th Framework Programme of the European 
Community  for  research,  technological  development  and  demonstration  activities, 
(2007-2013)  (hereinafter  referred  to  as  ‘the  Framework  Programme’)  is  to  be 
implemented  through  specific  programmes  that  define  detailed  rules  for  their 
implementation, fix their duration and provide for the means deemed necessary. 

The  Joint  Research  Centre,  hereinafter  referred  to  as  ‘the  JRC’  should  carry  out  so-
called  direct  R&D  activities  under  a  JRC  Specific  Programme  implementing  the  EC 
Framework Programme.  

In implementing its mission12, the JRC should provide customer driven scientific and 
technical  support  to  the  EU  policy  making  process,  ensuring  support  to  the 

OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
The  mission  of  the  JRC  is  to  provide  customer-driven  scientific  and  technical  support  for  the 
conception, development, implementation and monitoring of EU policies. As a service of the European 
Commission, the JRC functions as a reference centre of science and technology for the Union. Close to 

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(4) 

(5) 

(6) 

(7) 

(8) 

implementation  and  monitoring  of  existing  policies  and  responding  to  new  policy 
demands. In order to achieve its mission the JRC carries out high quality research. 

The  direct  actions  conducted  by  the  Joint  Research  Centre  (JRC)  should  be 
implemented  by  the  present  Specific  Programme.  In  implementing  this  Specific 
Programme in accordance with its mission, the JRC should place particular emphasis 
on  areas  of  key  concern  for  the  Union:  prosperity  in  a  knowledge-intensive  society, 
solidarity and responsible management of resources, security and freedom, and Europe 
as world partner.  

The  present  Specific  Programme  should  be  implemented  in  a  flexible,  efficient  and 
transparent  manner,  taking  into  account  the  relevant  need  of  JRC’s  user  and 
Community polices, as well as respecting the objective of protecting the Community’s 
financial interests. The research activities carried out under the programme should be 
adapted  where  appropriate  to  these  needs  and  to  scientific  and  technological 
developments and aim to achieve scientific excellence. 

The  rules  for  participation  of  undertakings,  research  centres  and  universities  and  for 
the  dissemination  of  research  results,  for  the  Framework  Programme  (hereinafter 
referred  as  ‘the  rules  for  participation  and  dissemination’)  relating  to  direct  actions 
should also apply to the R&D activities carried out under this Specific Programme. 

For the purpose of implementing this programme, in addition to cooperation covered 
by the Agreement on the European Economic Area or by an Association Agreement, it 
may  be  appropriate  to  engage  in  international  cooperation  activities,  in  particular  on 
the  basis  of  Article  170  of  the  Treaty,  with  third  countries  and  international 
organisations. 

In  support  to  EU  enlargement  and  integration,  the  JRC  aims  at  promoting  the 
integration  of  new  Member  States'  organisations  and  researchers  in  its  activities  in 
particular on the implementation of the scientific and technological components of the 
EU acquis, as well as an increased cooperation with those from Candidate Countries. 
A  progressive  opening  is  also  envisaged  towards  the  Neighbouring  Countries, 
specifically on priority topics of the European Neighbourhood Policy. 

(9) 

Research  activities  carried  out  within  this  Specific  Programme  should  respect 
fundamental  ethical  principles,  including  those  which  are  reflected  in  the  Charter  of 
Fundamental Rights of the European Union.  

(10)  The  JRC  should  continue  to  generate  additional  resources  through  competitive 
activities;  these  include  participation  to  the  indirect  actions  of  the  Framework 
Programme,  third  party  work  and  to  a  lesser  extent  the  exploitation  of  intellectual 
property. 

(11)  Sound  financial  management  of  the  Framework  Programme  and  its  implementation 
should be ensured in the most effective and user-friendly manner possible, as well as 
ease  of  access  for  all  participants,  in  compliance  with  Council  Regulation  (EC, 
Euratom) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to the 

the  policy-making  process,  it  serves  the  common  interest  of  the  Member  States,  while  being 
independent of special interests, whether private or national. 

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general budget of the European Communities, Commission Regulation (EC, Euratom) 
No 2342/2002 of 23 December 2002 laying down detailed rules for implementation of 
the Financial Regulation and any future amendments. 

(12)  Appropriate measures should also be taken to prevent irregularities and fraud and the 
necessary steps should be taken to recover funds lost, wrongly paid or incorrectly used 
in accordance with Council Regulation (EC, Euratom) No 1605/2002 of 25 June 2002 
on  the  Financial  Regulation  applicable  to  the  general  budget  of  the  European 
Communities, Commission Regulation (EC, Euratom) No 2342/2002 of 23 December 
2002  laying  down  detailed  rules  for  implementation  of  the  Financial  Regulation  and 
any  future  amendments,  Council  Regulations  (EC,  Euratom)  No  2988/95  of  18 
December 1995 on the protection of the European Communities financial interests13, 
(EC, Euratom) No 2185/96 of 11 November 1996 concerning on-the-spot checks and 
inspections  carried  out  by  the  Commission  in  order  to  protect  the  European 
irregularities14  and 
Communities’  financial 
Regulation  (EC)  No  1074/1999  of  the  European  Parliament  and  of  the  Council 
concerning investigations conducted by the European Anti-Fraud Office (OLAF)15. 

interests  against  fraud  and  other 

(13)  The  Commission  should  in  due  course  arrange  for  an  independent  assessment  to  be 
conducted  concerning  the  activities  carried  out  in  the  fields  covered  by  this 
programme. 

(14)  The  Board  of  Governors  of  the  JRC  has  been  consulted  on  the  scientific  and 

technological content of this specific programme, 

HAS DECIDED AS FOLLOWS: 

Article 1 

The Specific Programme related to the direct actions in research, technological development 
and  demonstration  to  be  carried  out  by  the  Joint  Research  Centre,  hereinafter  the  “Specific 
Programme” is hereby adopted for the period from 1 January 2007 to 31 December 2013. 

Article 2 

The Specific Programme shall establish the activities for the non-nuclear actions of the Joint 
Research Centre, providing customer driven scientific and technical support to the EU policy 
making process, ensuring support to the implementation  and monitoring  of existing  policies 
and responding to new policy demands. 

The objectives and the broad lines of those activities are set out in Annex. 

13 
14 
15 

OJ L 312, 23.12.1995, p. 1. 
OJ L 292, 15.11.1996, p. 2. 
OJ L 136, 31.5.1999, p. 1. 

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In accordance with Annex II of the Framework Programme, the amount deemed necessary for 
the execution of the Specific Programme shall be EUR 1 817 million.  

Article 3 

Article 4 

1. 

2. 

All research activities carried out under the Specific Programme shall be carried out 
in compliance with fundamental ethical principles.  

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

– 

– 

– 

research activity aiming at human cloning for reproductive purposes, 

research  activity  intended  to  modify  the  genetic  heritage  of  human  beings 
which could make such changes heritable16, 

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

3. 

The following research shall not be financed under this programme: 

– 

– 

research activities that are prohibited in all the Member States, 

research activities to be carried out in a Member State where such research is 
prohibited. 

1. 

2. 

1. 

2. 

Article 5 

The  Specific  Programme  shall  be  implemented  by  means  of  the  direct  actions  as 
established in Annex III to the Framework Programme.  

The rules for participation and dissemination relating to direct actions shall apply to 
the Specific Programme. 

Article 6 

The  Commission  shall  draw  up  a  multi-annual  Work  Programme  for  the 
implementation of the specific programme, setting out in greater detail the objectives 
and scientific and technological priorities set out in the Annex, and the timetable for 
implementation. 

The multi-annual Work Programme shall take account of relevant research activities 
carried out by the Member States, Associated States and European and international 
organisations. It shall be updated where appropriate. 

16 

Research relating to cancer treatment of the gonads can be financed. 

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Article 7 

The Commission shall arrange for the independent assessment provided for in Article 7 of the 
Framework  Programme  to  be  conducted  concerning  the  activities  carried  out  in  the  fields 
covered by the Specific Programme. 

Article 8 

This Decision is addressed to the Member States. 

Done at Brussels,  

For the Council 
The President 
[…]

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Annex - EC Programme 

1. 

OBJECTIVE 

To provide  customer-driven  scientific  and  technical  support  to  the  EU  policy  making 
process, ensuring support to the implementation and monitoring of existing policies and 
responding to new policy demands. 

2. 

APPROACH 

The JRC will reinforce its customer-driven orientation, and its strong networking with the 
scientific  community,  in  the  specific  context  of  growth,  sustainable  development  and 
security by: 

– 

– 

– 

– 

– 

flexibly responding to the developing needs and requirements of the EU policy 
makers;  

focussing  attention  on issues  which  are  important  in  terms  of  societal  concern, 
which  have  a  research  component  and  which  have  a  dominant  community 
dimension;  

developing  partnerships  with  research  centres,  universities,  industry,  public 
authorities, regulatory bodies in the Member States and with third countries and 
international bodies; 

reinforcing its competencies and facilities; 

the JRC has focussed its resources to respond to the S/T challenges arising from 
the complex and multi-faceted aspects of EU policy related issues. It has done so 
by  organising  its  activities  around  the  main  policy  areas  and  by  establishing 
synergies  with  other  sources  of  S/T  support  available  in  the  Member  States.  It 
will further enhance this capacity, also by collaborating with EU Agencies, other 
EU Institutions and authorities in the Member States.  

technological  change,  scientific  developments, 

An  integrated  approach  to  the  provision  of  S/T  support  to  policies  represents  a  key 
feature  of  this  Specific Programme.  Indeed,  in  various  areas  the  need for understanding 
interactions  between 
innovation 
and competitiveness  and  different  regulatory  and  policy  approaches  (e.g.  economic 
instruments,  voluntary schemes  and  flexible  mechanisms)  is  very  acute.  A  strong 
research base will underpin such objectives. The participation in the direct actions of the 
Framework  Programme  will  strive  to  maximise  complementarity  with  the  institutional 
programme outlined in section 3 below. 

Dissemination of knowledge among the various stakeholders involved in this process will 
represent a key feature of the approach. Activities will also be aimed at the support to the 

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implementation and monitoring of legislation and at the dissemination of best practises in 
the context of EU-25, Candidate and Neighbouring Countries.  

JRC  will  respond  to  the  call  for  'better  regulation'  of  the  new  Lisbon  agenda  by 
underpinning ex-ante as well as ex-post policy assessment and appraisals, supporting the 
Commission  evidence-based  policy  initiatives.  Furthermore,  requirements  issued  in  the 
context  of  policy  implementation  and  monitoring  will  lead  to  the  setting  up  of  fit-for-
purpose support activities insofar as they are research based.  

New challenges associated with the growing need to respond to crises, emergencies, and 
pressing  political  imperatives  will  be  met  by  building  up  capacities  and  facilities  in 
selected areas to provide adequate support in an EU context.  

EU  external  relations  and  security-related  policies  will  exercise  new  demands  upon  the 
JRC throughout the duration of the 7th Framework Programme. These areas of work will 
be  supported  by  in-house  and  secure  information/analysis  systems  to  respond  at  short 
notice. By the same token, the global and international dimension of the JRC’s work will 
also develop further in the present programme.  

A specific part of the JRC’s resources is devoted to exploratory research, to develop new 
knowledge  and  new  competencies.  Resources  are  invested  in  exploratory  research  as 
“seed money” which might yield practical results at a later stage and, if successful, will 
contribute to the activities of the JRC in the medium to long term. 

When requested in the context of its support to thematic policies the JRC will engage into 
specific exercises leading to a better exploitation of relevant EU-wide research results. In 
doing so it will enhance the benefits of knowledge society.  

3. 

ACTIVITIES 

3.1. 

Policy Theme 1: Prosperity in a knowledge intensive society 

3.1.1.  Agenda 1.1 Competitiveness and Innovation 

Fostering EU competitiveness, transparency of internal market and trade will be pursued 
by  the  production  and  dissemination  of  internationally  accepted  references  and  the 
promotion of a common European measurement system. Comparability of measurement 
results  will  be  fostered  through  the  provision  of  quality  assurance  tools  like  reference 
materials, reference measurements, validated methods and data in a broad range of policy 
related areas such as: 

– 

safety of chemicals and products including cosmetics, through the establishment 
of  a  centre  of  reference  for  integrated  chemical  risk  assessment  and  by  S/T 
support  to  the  chemicals  legislation  including  support  (training)  to  the 
preparation of ECA; 

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– 

– 

– 

– 

– 

alternative (non-animal) testing approaches and intelligent testing strategies; 

food safety, quality and authenticity; feed safety; biotechnology; 

eEnergy (cleaner and renewable energy sources and carriers); 

security and protection of the citizen; 

environment and Health. 

This reference work will be pursued in close cooperation with Member State institutions, 
international standardisation bodies (ISO, CEN, Codex Alimentarius, AOAC), regulatory 
authorities  and  industry.  The JRC  maintain  a  role  as  Community  Reference  Laboratory 
(CRL) in the areas of genetically modified food and feed, food contact materials and feed 
additives and take up a role as CRL in further related fields of its competence. 

The JRC will pursue the development of advanced econometric modelling and sensitivity 
analysis techniques in a wide range of policy fields, in macro-economic modelling, short 
term  analysis  of  financial  and  business  cycles  and  the  development  and  assessment  of 
composite indicators.  

The JRC will also continue to apply the financial econometrics and statistics tools in the 
area of financial services (for instance, Clearing and Settlement and banking directives). 
It will remain involved in a variety of initiatives by providing support to ex ante and ex 
post  assessments  (including  impact  assessments)  by  developing  specific  indicators  and 
carrying out analyses. 

The JRC will increase its support to the development of EU policy on international trade, 
with  particular  emphasis  on  the  impact  of  trade  policy  on  sustainable  development  and 
competitiveness.  

The  Lisbon  agenda  for  growth  and  jobs  will  be  supported  by  direct  quantitative  socio-
economic analysis – also in relation to the ‘better regulation’ principle – in a number of 
policy  areas  like  macro-economic  stability  and  growth,  financial  services,  aspects  of 
competitiveness,  lifelong  learning  and  the  human  capital  dimension  of  the  Lisbon 
strategy, agriculture, climate change, sustainable energy and transport systems. The JRC 
will contribute to a better understanding of the relationship between education provision 
and the needs of the knowledge society, of factors affecting equity in education and how 
efficient use of educational resources can be achieved. 

At  the  core  of  competitiveness  and  environment  objectives  are  the  eco-efficient 
technologies which will continue to be identified and assessed by the European Integrated 
Pollution  Prevention  and  Control  Bureau  and  by  input  to  the  implementation  and 
monitoring  of  the  Environmental  Technology  Action  Plan.  The  conditions  under  which 
these  technologies  are  developed  will  be  studied,  to  identify  the  barriers  to  their 
dissemination,  to  assess  performance  targets  and  use  and  to  analyse  the  measures  to 
improve their uptake. 

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Support to competitiveness will also be provided through activities such as: 

– 

– 

– 

support  to  the  setting  up  and  maintenance  of  European  standards  such  as 
Eurocodes, Euronorms, IEC, ISO norms and European Reference Materials; 

developing  standards  for  environmental  and  security  monitoring  systems  and 
harmonised  data  access  in  the  context  of  INSPIRE  (Infrastructure  for  Spatial 
Information  in  Europe)  and  GMES  (Global  Monitoring  for  Environment  and 
Security); 

strengthening  the  European  Measurement  Infrastructure  by  interlaboratory 
comparisons in support to accreditation/certification processes. 

3.1.2.  Agenda 1.2 European Research Area 

The  JRC  will  contribute  directly  to  European  Research  Area  by  scientific  networking, 
training and mobility of researchers, access to research infrastructures and collaborative 
research.  It  will  participate  in  European  Technology  Platforms,  Joint  Technology 
Initiatives  and  Article  169  actions  where  relevant.  Special  attention  will  be  paid  to 
involving partners in the new Member States and Candidate Countries. 

The JRC will provide support to evidence-based research policy-making at both EU and 
Member State levels. 

This  strategic  support  to  research  policy-making  will  be  complemented  by  providing 
technology assessments of the research priorities in individual thematic areas.  

The  consolidation,  development  and  dissemination  of  science  and  technology  foresight 
methods will also be promoted at European level.  

3.1.3.  Agenda 1.3 Energy and Transport 

The  JRC  will  focus its energy  activities  on a  smooth  transition  to less  carbon intensive 
and renewable sources and carriers of energy (including hydrogen), increased efficiency 
of energy systems and improved safety and security of energy supply. The objectives of 
the JRC in the area of energy are: 

– 

– 

to  provide  a  sustainable  energy  reference  system  feeding  the  EU  policy 
needs  with  S&T  expertise  on  technological  innovation  and  evolution  (all 
energy sources); 

to  act  as  reference  centre  for  pre-normative  performance  verification  and 
certification  of  selected 
technologies  (i.e.  cleaner  fossil,  biomass, 
photovoltaic, fuel cell and hydrogen); 

– 

to provide information on reliability of energy supply for Europe. 

JRC will contribute to the development of sustainable transport in Europe by focusing on:  

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– 

– 

– 

the environment with emission control and related impacts on ecosystems; 
the potential to reduce emissions by emerging technologies under different 
policy scenarios; 

the  techno-economic  dimension  with  research  on  the  assessment  of 
improved  fuels  and engines,  alternative  vehicles  concepts  and  the  impact 
of  innovation  on  competitiveness  and  economic  growth  as  well  as  to 
assessments of transport policy options; 

the social dimension, with activities including spatial planning, impacts on 
health  and  awareness  raising.  Efforts  will  also  be  devoted  to  aspects  of 
safety and security of air, land and maritime transport.  

Energy  and  transport  are  the  main  sectors  responsible  for  pollution  affecting  the  air 
quality. JRC will support the EU thematic strategy on air pollution (CAFE Clean Air for 
Europe) with particular attention on characterisation and apportioning of emissions from 
various sources in support to the development of emission abatement strategies. 

3.1.4.  Agenda 1.4 Information Society 

The  JRC  will  support  the  formulation  of  Information  Society  Technology  policies  and 
instruments  contributing  to  a  competitive  European  knowledge  society  by  generating 
prospective analyses and strategies related to the knowledge society. Growth, solidarity, 
inclusion and sustainability will be points of attention. The JRC will also contribute to the 
implementation  of  the  EU  policies  closely  linked  with  or  strongly  benefiting  from 
Information Society Technology developments. This covers applications in e-business, e-
health,  personal  security,  e-learning,  e-governance,  and  environment  as  well  as  the 
determination  of  the  potential  for  new  developments  in  the  pursuit  of  the  overall 
European strategies on growth, inclusion and quality of life.  

The JRC will work on “convergence” in the IST area with the aim of assessing potential 
impact on society in terms of competitiveness, privacy, ownership and social inclusion. 
Convergence  applications  will  be  pursued  in  the  area  of  health  (bio-sensors,  nano-
technology  and  cognitive  sciences),  security  (sensors,  public  security  and  personal 
integrity)  and  environment  (monitoring  technologies  and  sustainable  environmental 
management).  

3.1.5.  Agenda 1.5 Life Sciences and Biotechnology 

Life  sciences  and  biotechnology  are  pertinent  to  many  policy  areas  where  they  can 
significantly contribute to the Lisbon objectives. This potential is broadly recognised in 
health,  agriculture,  food,  environment  and  other  sectors  where  applications  are  being 
rapidly  developed.  The provision  of  reference materials  and  validated methods  requires 
access  to  and  control  of  a  broad  range  of  advanced  biotechnological  instruments.  The 
JRC  will  further  develop  its  competencies  in  this  area  in  view  of  the  legislative  and 
regulatory context.  

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In  particular,  the  JRC  will  carry  out  studies  on  the  socio-economic  impact  of  selected 
applications of biotechnology and life sciences in support of future legislation. With an 
integrated  effort  in  nano-biotechnology,  physics,  biology  and  chemistry  applied  to 
detection  techniques  the  JRC  will  contribute  to  the  development  of  new  strategies  and 
technologies  for  environment  and  health  monitoring,  (eco)  toxicology  studies,  food 
control and security. 

Activities will be developed interalia. in the following areas: 

(1) 

Biotechnology and health-related aspects: 

– 

– 

– 

– 

– 

provision of quality assurance tools for genetic testing;  

studies  on  genome-based  diagnostic  applications  and  drug  development 
(e.g. pharmacogenomics); 

development  and  validation  of  advanced  methods  for  refining,  reducing 
and  replacing  animal  tests  for  biotechnological  pharmaceuticals,  for 
predicting  the  toxicity  of  chemicals  by  in  vitro  cell  cultures,  high 
throughput techniques and toxicogenomics; 

identification  and  assessment  of  novel  bioinformatic  methodologies  in 
support 
integrating  physiological  responses 
modulated by individual susceptibility and life style factors; 

to “omics”  approaches, 

development of a methodological framework for properly considering risk 
modifiers in human health risk assessment; 

– 

assessment of environmental and health impacts of nanotechnologies.  

(2) 

Biotechnology in agriculture, food and feed: 

– 

– 

– 

prospective  studies  on  emerging  biotechnological  applications  in  food 
production  (e.g.  functional  food,  cloned  farm  animals  and  molecular 
“pharming” crops); 

GMO  detection,  identification  and  quantification  (includes  validation  of 
high throughput screening methods, and quality assurance tools for GMOs 
of next generations); 

studies on the coexistence of GM/non-GM crops; studies on the economics 
of GM crops.  

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3.2. 

Policy Theme 2: Solidarity and the responsible management of resources 

3.2.1.  Agenda 2.1 Rural Development, Agriculture and Fisheries 

The  JRC  will  support  European  policies  for  Rural  Development,  Agriculture  and 
Fisheries covering all the three dimensions of sustainability: 

– 

– 

– 

Production aspects: support to implementation, control and monitoring of 
the CAP (Single Payment Schemes, Cross compliance and Farm Advisory 
Systems),  including  Integrated  Administration  and  Control  Systems  for 
arable  lands  and  permanent  crop  registers,  and  implementation  of 
rural/urban  cadastre 
(using 
positioning/navigation  techniques).  Crop  production  forecast  based  on 
growth  simulation  models,  area  frame  techniques,  remote  sensing  and  an 
agro-phenological  network.  Support  to  the  implementation  of  an  EU 
farmer insurance system. Support to the methodological aspects of the new 
EU agriculture statistical system (including LUCAS).  

support  market  and 

investment 

to 

landscapes.  Analysing 

Environmental  aspects:  Assessing  implications  of  good  agricultural  and 
environmental conditions and studying impacts and effectiveness of agri-
environmental  measures  on  soil  and  water  conditions,  biodiversity  and 
European 
rural 
development and regional policies and their impacts on European land use 
changes  through  the  development  of  indicators  and  spatial  models. 
Supporting  the  development  of  targeted  territorial  strategies  for  the 
implementation  of  rural  development  programmes.  Assessing  the  impact 
of  climate  change  on  agriculture  in  view  of  adaptation  measures. 
Contribution  to  mitigation  of  GHG  (greenhouse  gas)  emissions  by 
dedicated energy crops and by energy recovery from agri-wastes. 

links  between  agricultural, 

Producer/consumer  aspects:  Strategic  policy  analyses  in  areas  such  as: 
impact  of  the  CAP  reform  on  the  sustainability  of  farming  systems; 
responsiveness of agriculture to consumer demands: food characterisation 
and  control,  impact  of  quality  assurance  (QA)  and  certification  schemes 
managed  within  supply  chains,  and  responsiveness  to  environmental  and 
animal  welfare  standards;  projection  and  policy  impact  analyses  of  main 
European agricultural commodities in terms of production, world market, 
prices,  income  and  consumer  welfare;  impact  of  changes  in  trade  policy 
and world commodity markets; agricultural policies in rural development 
in  conjunction  with  other  policies.  Specific  attention  will  be  given  to the 
impact  of  CAP  Reform  in  the  new  Member  States  and  Candidate 
Countries.  

Common  Fisheries  Policy  objectives  will  be  addressed  by  improving  the  quality  and 
timeliness  of  scientific  data  and  by  developing  processes  for  the  assessment  of  the 
economic  and  social  impact  of  management  options.  New  technologies,  including  fish 
origin  identification  based  on  DNA  analysis,  will  be  used  to  identify  non-compliance. 

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Attention will be paid to techniques which favour stakeholder involvement. In line with 
the EU’s emerging maritime policy, the feasibility of services developed for fisheries – 
such as vessel monitoring by remote sensing and electronic reporting, will be extended to 
merchant  vessel  identification.  The  impact  of  a  growing  aquaculture  sector  will  be 
assessed. 

3.2.2.  Agenda 2.2 Natural Resources 

The  JRC  is  working  towards  a  holistic  approach  related  to  monitoring  change  and 
analysing  impacts  and  pressures  on  natural  resources  aiming  to  develop  integrated 
concepts  for  sustainable  development.  In  complement  to  the  Agenda  2.1,  this  research 
will be closely aligned to the EU’s seven thematic environmental  strategies. It will pay 
attention to the sharing of environmental information and feed the development of GMES 
services. Applications will conform to INSPIRE principles.  

More specifically, activities will concentrate on: 

–  Water management in the context of the Water Framework Directive and 
Maritime Policy with attention to ecological quality of inland and coastal 
water of Europe, pollutant cycles, harmonised measurements of chemical 
and  biological  contaminants,  dynamic  modelling  and  pan-European 
information systems.  

– 

– 

– 

– 

Soil protection initiatives identified in the Soil Framework Directive, with 
focus on streamlining the flow of soil information in Europe, the definition 
of common criteria and methods for delineating risk areas of soil threats, 
and approaches for soil monitoring. 

Life-cycle analysis approaches to track resources from extraction through 
use,  recycling  and  ultimate  disposal  of  materials.  Sustainable  production 
and consumption of natural resources and materials, and the environmental 
impact  and  sustainability  of  products  under  different  technology  and 
policy scenarios. 

Forestry;  a  system  for  monitoring  Community  forests  will  be  established 
with  information  on  forest  fires,  forest  ecological  condition  and  forest 
resources. Activities will cover forest biodiversity indicators, tools for the 
analysis  of  post-fire  impacts,  analysis  of  interactions  of  forest  fires,  soils 
and  climate  change,  and  the  integration  of  information  related  to  forests 
resources available from Member States. 

Provision of continuing technical support to the development of INSPIRE: 
contribution  to  the  EU  shared  environment  information  system  (in  close 
cooperation with the European Environment Agency and ESTAT). 

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– 

Impact assessment of structural and cohesion programmes and support to 
the  definition  and  evaluation  of  EU  Regional  Policies  by  mean  of 
territorial indicators at regional and urban level. 

3.2.3.  Agenda 2.3 Environment and Health  

The link between environment and health represent a new focus of attention at EU level. 
The JRC will contribute to this emerging policy field by: 

– 

– 

– 

development  and  validation  of  methods  for  monitoring  pathways  and 
assessing exposure: ambient air (air quality), indoor air (products, smoke), 
drinking water and food (including contact materials, contaminants in food 
chain).  A  contribution  to  the  development  of  total  human  exposure 
approach is foreseen notably in the area of chemicals; 

assessment  of  health  effects  through  experimental  work,  biomonitoring, 
toxicogenomic analyses, computational techniques and analytical tools; 

exploiting  knowledge  derived  from  the  two  items  above  in  order  to 
contribute  to  the  future  development  of  an  integrated  environment  and 
health  system,  in  line  with  the  policy  framework  on  E&H  information 
being developed under the EU Action Plan. 

3.2.4.  Agenda 2.4 Climate Change  

Reducing  greenhouse  gas  emissions  is  a  central  objective  of  the  Kyoto  protocol. 
Assessing the potential for reducing GHG emissions (mitigation measures) in a common 
framework  is  therefore  a  key  item  in  the  JRC  agenda.  Quality  assessment,  verification 
and analysis of GHG emission data will be pursued, especially in difficult sectors such as 
agriculture and forestry. Similar work will address the issue of verification in the context 
of carbon trading.  

Adaptation to climate change has become imperative and the JRC will continue to collect 
and assess data related to climate impacts on various vulnerable sectors of the European 
economy. This includes agriculture, forestry, water resources and natural risks. Assessing 
hazards  related  to  climate  change  will  focus  on  the  incidence  at  EU  level  of  floods, 
droughts,  forest  fires,  storms,  deterioration  of  air  quality  and  coastal  and  marine 
processes.  

Adequate  knowledge  of  the  signals  and  impacts  of  climate  change  around  the  world  is 
necessary. Global monitoring techniques will be further developed to assess changes in 
the atmosphere, oceans and terrestrial biosphere which either drive or result from climate 
change.  This  work  forms  part  of  the  European  contribution  to  the  global  observing 
systems  formally  endorsed  by  the  UN  Framework  Convention  on  Climate  Change 
(contribution to the Global Climate Observation System). Similar work will address the 
verification of carbon trading associated with the Kyoto Protocol’s flexible mechanisms 
(Joint  Implementation  and  Clean  Development  Mechanism)  and  future  regimes  beyond 

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2012.  The  JRC  will  engage  in  a  3rd  phase  of  the  TREES  (Tropical  Ecosystem 
Environment observations by Satellites) programme, to update the preceding assessments 
of global forest cover. 

The JRC will collaborate with other modelling centres around Europe to develop trade-
off  scenarios  and  cost-benefit  analyses.  Of  particular  relevance  for  the  7th  Framework 
Programme  is  the  analysis  of  options  for  the  post-Kyoto  period  which  will  open 
discussions on integrating climate policies in other sectoral policies.  

3.3. 

Policy Theme 3: Security and freedom 

3.3.1.  Agenda 3.1 Internal Security 

JRC will support EU policies in the areas of justice, freedom and security, and customs. 
The focus will be on applying IT and systems analysis competencies to the fight against 
crime and fraud, smuggling and illicit trafficking, the protection of critical infrastructures, 
counter-terrorism measures and migration and border management. Technical support to 
integrated border management (e.g. interoperability) will also be provided.  

Activities will include support to: 

– 

– 

– 

– 

– 

the  capacity  to  detect  and  monitor  fraud  against  the  EU  budget  and 
diversion of funds through automatic intelligence gathering and advanced 
analytical techniques applied to large datasets; 

assessing  threats  and  vulnerabilities  of  critical  infrastructures  in  key 
sectors  at  the  Union  level  (e.g.  information  systems,  financial  systems, 
industrial  plants,  public  buildings,  transport  systems  and  infrastructures, 
financial  networks,  navigation  systems, 
communication  networks, 
electricity and gas/oil infrastructures, food distribution systems, etc); 

the  prevention,  preparedness  and  risk  management  of  scenarios  triggered 
by  intentional  acts  (sabotage  of  industrial  installations,  blasts,  impacts, 
biological and chemical agents, attacks to food systems) on infrastructures; 

border  security  and  management  through  standards  and  testing  for 
trafficking, 
biometric  sensors,  monitoring  systems 
monitoring migration flows; 

to  detect 

illicit 

information  gathering  in  the  field  of  transport  of  goods  by  air,  sea,  road, 
using various tracking technologies; 

– 

the EU crisis room structure (ARGUS) and crisis response mechanisms. 

3.3.2.  Agenda 3.2 Disasters and Response 

The  JRC  will  carry  out  actions  related  to  natural  and  technological  disasters  and 
accidents,  to  foster  a  better  capacity  to  understand  and  deal  with  vulnerabilities,  risks, 

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early  warning,  alert  systems,  monitoring  and  damage  assessment,  prevention  and 
mitigation measures. In particular it will contribute to the improvement of EU response 
capacity  and  crisis  management  in  terms  of  rapid  response,  monitoring,  damage 
assessments (e.g., in the context of the Civil Protection Mechanism and Solidarity fund 
intervention).  

The  Major  Accidents  Hazards  Bureau  will  contribute  to  safety  management  through 
monitoring accidents and incidents and drawing lessons learned, specifically in Seveso II 
installations.  

With respect to natural disasters, the JRC will focus on the development of early warning 
and  alert  systems  drawing  upon  models,  earth  observation 
technologies,  and 
measurement  networks  for  a  variety  of  situations  across  Europe  including  floods, 
droughts,  oil  spills,  earthquakes,  forest  fires  and  storms.  Multi-hazard  risks  will  be 
studied  for  the  Mediterranean/Black  Sea  basin  and  the  fringes  of  the  Atlantic  Ocean. 
Reporting on and drawing lessons from natural disasters will be continued. Work in this 
agenda will also be conducted in support to the development of GMES services related to 
crisis and emergencies. 

3.3.3.  Agenda 3.3 Food and Feed Safety and Quality 

Activities will be in line with the Fork to Farm concept. The JRC will provide validation 
of methods and harmonised procedures for a broad range of food and feed types. It will 
also reinforce its ability to deal with food and feed crises by its expertise in food and feed 
analysis  and  by  entering  new  areas  where  needed.  Attention  will  be  paid  to  a  close 
cooperation with the European Food Safety Authority.  

Specific domains of action will cover: 

– 

– 

– 

– 

– 

validation  of  molecular  biology  and  hyphenated  techniques  for  food  and 
feed control e.g. in the area of allergens, functional and organic food;  

areas related to food and health where future legislation is expected  (e.g. 
micro-biology,  functional  and  organic  food,  allergens,  health  claims  in 
labelling);  

areas  related  to  feed  safety  for  existing  legislation  (e.g.  feed  additive 
authorisations); 

microbiology  for  food  and  feed,  validation  of  bio-molecular  detection 
methods  for  micro-organisms,  in  particular  for  pathogens  in  food  and 
water; 

validation of analytical methods for the detection of banned substances, of 
contaminants,  feed  additives  and  animal  proteins,  compliance  with 
labelling Directives and for designation of origin (e.g. isotopic methods);  

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– 

electronic traceability along the feed-food chain. 

3.4. 

Policy Theme 4: Europe as world partner 

The  JRC  will  support  EU  decision-making  in  the  framework  of  external  relations 
instruments  (development  cooperation,  trade  and  instruments  responding  to  crises 
including the instruments for Stability and Humanitarian Aid. 

3.4.1.  Agenda 4.1 Global Security 

The  JRC  will  enhance  its  support  to  Community  reconstruction  and  humanitarian  aid 
programmes  through  novel  technologies  (including  space,  geo-spatial  analysis,  web 
intelligence, real-time information systems) to serve several levels of intervention (from 
preparedness to rapid response and field operations) in order to address the identification 
of forgotten crises, early warning of potential crises, humanitarian needs assessment and 
relief,  integrated  crisis  response  and  post-crisis  damage  assessment.  Support  to 
international  humanitarian  aid  will  also  be  provided  through  an  extension  of  the 
functionalities of the Global Disaster Alert and Response System, to cover a broad range 
of  humanitarian  disasters  in  close  cooperation  with  the  UN  Agencies  (especially  its 
Office for Coordination of Humanitarian Affairs). 

The  JRC  will  establish  a  global  geo-spatial  database  and  contribute  to  services  (rapid 
mapping) in support of crisis management and security; inter-operability of systems and 
standards  for  supporting  data  exchange  between  systems,  notably  with  Council  SitCen 
and EU Satellite Centre. This activity is undertaken in the context of the development of 
future GMES pilot services. 

The  JRC  will  provide  support  to  the  Instrument  for  Stability,  addressing  trans-border 
challenges  (non-proliferation,  fight  against  trafficking  and  terrorism)  and  longer-term 
global stability and security issues. JRC will work on the issue of proliferation of WMD 
and  dual  use  goods  and  technologies,  including  export  control,  border  control,  supply 
chain  security,  and  country  profiling.  Systems  to  be  further  developed  for  that  purpose 
intelligence  based  systems,  data 
include  export  control  classification  systems, 
warehousing and multi-lingual web mining intelligence tools. Strong integration with the 
relevant JRC activities under the Euratom specific programme is foreseen. 

Remote sensing analysis techniques and systems for integration and analysis of multiple 
source  data  (including  earth  observation  and  open  source)  are  central  to  the  approach; 
they  will  be  used  in  support  to  the  implementation  of  Joint  Actions  under  CFSP,  the 
Kimberley process, mechanisms for monitoring illegal trade including in timber and dual 
use  items,  EU  Programme  for  Peace,  and  conflict  prevention  programmes  in  general. 
These activities will contribute to the global dimension of the GMES initiative. 

3.4.2.  Agenda 4.2 Development Cooperation 

An  Observatory  for  Sustainable  Development  and  Environment  will  initially  be 
established  in  Africa,  Caribbean  and  Pacific  countries.  Environmental  diagnostics  and 

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country  profiles,  scenario  building  and  cross  policy  interactions  will  be  the  three 
components served by the information gathering and communication system lying at the 
heart  of  the  Observatory.  The  provision  of  long-term  observation  of  resources  and 
environmental  parameters  (e.g  on  land  cover,  forest  cover,  fires,  biodiversity,  coastal 
zones, climate vulnerability, etc) will support trends analyses. The development will be 
carried out in close collaboration with the GMES initiative and the Africa Monitoring for 
Environment and Sustainable Development programme.  

The  global  crop  monitoring  component  of  the  observatory  will  be  developed  in  the 
context  of  food  security  and  the  Community  initiative  on  poverty  eradication  and 
sustainable development.  Research  work  will  focus  on  new  methods  for  assessing  food 
supply and needs, food security information systems and vulnerability assessments. 

End products delivered will be “client driven”, i.e., in this particular case be designed in a 
way that they respond to the needs and are manageable by Developing Countries. 

Cooperation  with  major  actors (FAO,  EUMETSAT,  WFP,  ESA  GMES-GMFS)  will  be 
reinforced. 

Ethical aspects 

During  the  implementation  of  this  specific  programme  and  in  the  research  activities 
arising  from  it,  fundamental  ethical  principles  are  to  be  respected.  These  include,  inter 
alia, the principles reflected in the Charter of Fundamental Rights of the EU, including 
the  following:  protection  of  human  dignity  and  human  life,  protection  of  personal  data 
and privacy, as well as animals and the environment in accordance with Community law 
and the latest versions of relevant international conventions and codes of conduct, e.g. the 
Helsinki  Declaration,  the  Convention  of  the  Council  of  Europe  on  Human  Rights  and 
Biomedicine  signed  in  Oviedo  on  4  April  1997  and  its  Additional  Protocols,  the  UN 
Convention on the Rights of the Child, the Universal Declaration on the human genome 
and human rights adopted by UNESCO, UN Biological and Toxin Weapons Convention 
(BTWC), International Treaty on Plant Genetic Resources for Food and Agriculture, and 
the relevant World Health Organisation (WHO) resolutions. 

Account  will  also  be  taken  of  the  Opinions  of  the  European  Group  of  Advisers  on  the 
Ethical  Implications  of  Biotechnology  (1991-1997)  and  the  Opinions  of  the  European 
Group on Ethics in Science and New Technologies (as from 1998). 

In compliance with the principle of subsidiarity and the diversity of approaches existing 
in  Europe,  participants  in  research  projects  must  conform  to  current  legislation, 
regulations and ethical rules in the countries where the research will be carried out. In any 
case, national provisions apply and no research forbidden in any given Member State or 
other country will be supported by Community funding to be carried out in that Member 
State or country. 

Where  appropriate,  those  carrying  out  research  projects  must  seek  the  approval  of  the 
relevant  national  or  local  ethics  committees  prior  to  the  start  of  the  RTD  activities.  An 

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ethical review will also be implemented systematically by the Commission for proposals 
dealing with ethically sensitive issues or where ethical aspects have not been adequately 
addressed. In specific cases an ethical review may take place during the implementation 
of a project. 

The Protocol on protection and welfare of animals annexed to the Treaty requires that the 
Community  pays  full  regard  to  the  welfare  requirements  of  animals  in  formulating  and 
implementing Community policies including research. Council Directive 86/609/EEC on 
the protection of animals used for experimental and other scientific purposes requires that 
all experiments be designed to avoid distress and unnecessary pain and suffering to the 
experimental  animals;  use  the  minimum  number  of  animals;  involve  animals  with  the 
lowest  degree  of  neurophysiological  sensitivity;  and  cause  the  least  pain,  suffering, 
distress or lasting harm. Altering the genetic heritage of animals and cloning of animals 
may be considered only if the aims are ethically justified and the conditions are such that 
the animals’ welfare is guaranteed and the principles of biodiversity are respected. 

During  the  implementation  of  this  programme,  scientific  advances  and  national  and 
international  provisions  will  be  regularly  monitored  by  the  Commission  so  as  to  take 
account of any developments.  

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LEGISLATIVE FINANCIAL STATEMENT 

1.  NAME  OF  THE  PROPOSAL  :  Specific  programme  of  research,  technological 
development and demonstration to be carried out by means of direct actions by 
the  Joint  Research  Centre  under  the  7th  Framework  Programme  of  the 
technological  development  and 
European  Community 
demonstration activities (2007 to 2013).  

research, 

for 

2.  ABM / ABB FRAMEWORK 

Policy Area(s) concerned and associated Activity/Activities: 

Direct Research 

3.  BUDGET LINES 

3.1. Budget lines (operational lines and related technical and administrative assistance 

lines (ex- B..A lines)) including headings : 

10 02 Directly financed research operating appropriations 

(final budgetary nomenclature for FP7 will be established in due course).  

3.2. Duration of the action and of the financial impact: 

2007-2013 subject to the approval of new financial perspectives framework 

3.3. Budgetary characteristics (add rows if necessary) : 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

Budget 
line 

10 01 05 

Non-comp 

Non-diff 

YES 

10 02 

Non-comp 

 diff17 

YES 

YES 

YES 

YES 

YES 

No [1a] 

No [1a] 

17 

Non-differentiated appropriations hereafter referred to as NDA. 

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4.  SUMMARY OF RESOURCES 

4.1. Financial Resources 

4.1.1.  Summary of commitment appropriations (CA) and payment 

appropriations (PA) 18 

EUR million (to 3 decimal places)  

Secti
on 
no. 

Expenditure type 

Operational expenditure19 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

Total 

Commitment 
Appropriations (CA) 

Payment 
Appropriations (PA) 

8.1 

a  4.955,289 

b  1.982,116 

6.450,321 

7.929,201 

9.553,215 

11.203,503 

12.811,940 

14.568,946 

67.472,416 

4.066,715 

6.097,835 

7.985,639 

9.578,238 

11.189,390 

26.572,48220 

67.472,416 

Administrative expenditure within reference amount21 

Technical 
administrative 
assistance (NDA) 

& 

8.2.
4 

C 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT  

706,648 

720,781 

735,196 

749,900 

764,898 

780,196 

795,800 

5.253,418 

Commitment 
Appropriations 

Payment 
Appropriations 

a+c 

b+c 

5.661,
937 

2.688,
764 

7.171,102 

8.664,398 

10.303,115  11.968,401 

13.592,136 

15.364,746 

72.725,834 

4.787,496 

6.833,031 

8.735,539 

10.343,136  11.969,586 

27.368,28222 

72.725,834 

Administrative expenditure not included in reference amount23 

Human  resources  and 
associated  expenditure 
(NDA) 

8.2.5 
d 

11,633 

11,866 

12,103 

12,345 

12,592 

12,844 

13,101 

86,483 

18 

19 
20 
21 
22 
23 

These figures refer to the expenditure for the entire EC Framework Programme - see COM(2005) 
119. 
Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Payment appropriations refers to 2013 and following years. 
Expenditure within article xx 01 05 of Title xx. 
Payment appropriations refers to 2013 and following years. 
Expenditure within chapter xx 01 other than articles xx 01 05. 

EN 

35 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
than 

Administrative 
costs, 
other 
human 
and 
resources 
associated  costs,  not 
included 
reference 
in 
amount (NDA) 

8.2.6 
e 

0,807 

0,824 

0,840 

0,857 

0,874 

0,891 

0,909 

6,002 

Total indicative financial cost of intervention 

TOTAL  CA 
cost 
Resources 

of 

TOTAL  PA 
cost 
Resources 

of 

including 
Human 

including 
Human 

a+c
+d
+e 

b+c
+d
+e 

5.674,377     7.183,791 

8.677,340 

10.316,316 

11.981,867 

13.605,871 

15.378,756 

72.818,319 

2.701,204 

4.800,186 

6.845,974 

8.748,741 

10.356,602 

11.983,321 

27.382,292 

72.818,319 

Co-financing details 

If the proposal involves co-financing by Member States, or other bodies (please specify 
which),  an  estimate  of  the  level  of  this  co-financing  should  be  indicated  in  the  table 
below (additional lines may be added if different bodies are foreseen for the provision of 
the co-financing): 

EUR million (to 3 decimal places) 

n + 1 

n + 2 

n + 3 

n + 4 

Year 
n 

n  +  5 
and 
later 

Total 

Co-financing body 

…………………… 

TOTAL CA including co-
financing 

f 

a+c
+d+
e+f 

4.1.2.  Compatibility with Financial Programming 

(cid:58) 

(cid:133) 

is 

compatible  with 

financial 
Proposal 
(Commission’s  February  2004  Communication  on 
perspectives 2007-2013 COM (2004) 101). 

existing 

programming 
financial 
the 

Proposal will entail reprogramming of the relevant heading in the financial 
perspective. 

EN 

36 

   EN 

 
       
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
(cid:133) 

Proposal may require application of the provisions of the Interinstitutional 
Agreement24  (i.e.  flexibility  instrument  or  revision  of  the  financial 
perspective). 

4.1.3.  Financial impact on Revenue 

(cid:133) 

(cid:58) 

Proposal has no financial implications on revenue 

Proposal has financial impact – the effect on revenue is as follows: 

Certain  associated  states  may  contribute  to  a  supplementary  funding  of  the 
framework programme trough association agreements.  

EUR million (to one decimal place) 

Budget line 

Revenue 

Prior to
action 
[Year n-
1] 

[Year 
n] 

Situation following action 

[n+1] 

[n+2] 

[n+3] 

[n+4] 

[n+5] 

a) Revenue in absolute terms 

b) Change in revenue 

 ∆ 

(Please  specify  each  revenue  budget  line  involved,  adding  the  appropriate 
number of rows to the table if there is an effect on more than one budget line.) 

4.2. Human Resources (officials) – see detail under point 8.2.1. 

Annual requirements 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

number 

Total 
human resources25 

of 

1.944 

1.944 1.944 

1.944 

1.944 

1.944 

1.944 

This figure does not include the short term staff but covers the officials authorised on the 
JRC staff table. 

5.  CHARACTERISTICS AND OBJECTIVES 

5.1. Need to be met in the short or long term 

24 
25 

See points 19 and 24 of the Interinstitutional agreement. 
Figures  indicated  in  the  table  refer  only  to  the  staff  financed  by  the  establishment  plan  for  all 
direct  actions  under  the  responsibility  of  DG  JRC.  Therefore  these  figures  do  not  comprise  the 
posts  of  the  establishment  plan  from  the  operating  budget  and  the  posts  from  the  establishment 
plan for indirect actions - see documents COM(2005) 440, 441, 442, 443, 444. 

EN 

37 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
To provide  customer-driven  scientific  and  technical  support  to  the  EU  policy  making 
process, ensuring support to the implementation and monitoring of existing policies and 
responding to new policy demands. 

5.2. Value-added of Community involvement and coherence of the proposal with 

other financial instruments and possible synergy 

The  JRC  has  focussed  its  resources  to  respond  to  the  S/T  challenges  arising  from  the 
complex and multi-faceted aspects of EU policy related issues.  

5.3. Objectives, expected results and related indicators of the proposal in the 

context of the ABM framework 

The focus of the work will be on the following policy themes, as indicated in the Annex. 

1. Policy Theme 1: Prosperity in a knowledge intensive society 

2. Policy Theme 2: Solidarity and the responsible management of resources 

3. Policy Theme 3: Security and freedom 

4. Policy theme 4: Europe as a world partner  

5.4. Method of Implementation (indicative) 

Show below the method(s) chosen for the implementation of the action. 

(cid:58) Centralised Management 

(cid:58)     Directly by the Commission 

   ٱ  

Indirectly by delegation to: 

      ٱ 

      ٱ 

      ٱ 

Executive Agencies 

Bodies set up by the Communities as referred to in 
art. 185 of the Financial Regulation 

National  public-sector  bodies/bodies  with  public-
service mission 

ٱ  Shared or decentralised management 

ٱ  With Member states 

EN 

38 

   EN 

 
 
 
 
   
ٱ  With Third countries 

ٱ  Joint management with international organisations (please specify) 

Relevant comments: 

EN 

39 

   EN 

 
6.  MONITORING AND EVALUATION 

6.1. General  

The JRC supports the annual and multi-annual (i.e. Research Framework Programme) 
cycles of planning, execution, monitoring and evaluation through an established set of 
key performance indicators and specific evaluation activities. 

The JRC provides scientific and technological support to (mainly Commission) users 
through  a  Work  Programme  with  roughly  one  hundred  actions.  The  methodologies, 
indicators and criteria are applied across the entire set of actions and across internal 
JRC budget lines. As a consequence, an evaluation exercise typically covers a large 
number if not all budget lines of the JRC's Work Programme.    

6.2. Monitoring system  

On an annual basis following the Commission decision26 on the reorganisation of the 
Joint  Research  Centre  and  in  line  with  obligations  stemming  from  the  Specific 
Programmes  (nuclear  and  non-nuclear  parts),  the  JRC  Board  of  Governors 
implements  the  annual  monitoring  of  the  implementation  of  the  JRC  Work 
Programme with its observations on the JRC annual report. An appropriate link with 
the Annual Monitoring of Indirect Actions is ensured. 

6.3. Evaluation 

The JRC assesses the output and impact of its actions on an annual basis, using an ex-
post  methodology  applied  in  a  peer  review  process.  The  results  of  this  assessment 
feed directly into the planning for the work programme  of the following year.  The 
indicators and criteria used in this periodic action review relate directly to the actions' 
outputs and the JRC's corporate Key Performance Indicators.  

So  far  the  JRC  has  carried  out  user  satisfaction  surveys  on  a  bi-annual  basis.  The 
intention  under  the  new  Framework  Programme  is  to  phase-in  a  continuous  user 
feedback collection system that will be linked to the annual reviews of actions. 

26 

OJ L 107, 30.4.1996, p. 12 - 96/282/Euratom 

EN 

40 

   EN 

 
 
 
 
 
 
                                                 
In  line  with  the  Commission’s  rules  and  good  practices  concerning  its  evaluation 
activities, there will be a mid-term review 3 1/2 years after the start of the Research 
Framework  Programme  of  seven  years  duration.  This  evaluation  will  be  carried  out 
by  high-level  external  experts  and  it  will  draw  upon  the  structured  information 
collected in the annual review of the actions as well as on other sources, such as the 
user satisfaction surveys. 

Finally,  an  ex-post  evaluation  will  be  carried  out  at  the  end  of  the  seven  year 
Framework Programme.        

6.3.1.  Ex-ante evaluation 

While  the  JRC's  work  programme  is  updated  annually,  the  research  process 
develops over a longer time scale. Hence, the annual review of actions provides 
also a strong ex-ante evaluation component. 

Measures taken following an intermediate/ex-post evaluation (lessons learned 
from similar experiences in the past) 

Past  evaluations  have  shown  specificities  of  JRC  operations,  which  make  it 
necessary  to  translate the  basic  internal  Commission  rules  of  evaluation  (i.e.  the 
assessment  of  results,  effectiveness,  efficiency,  side-effects,  sustainability  etc.) 
into the specific JRC context. These specificities are that: 

(3) 

(4) 

(5) 

The  JRC  implements  its  Work  Programme  with  roughly  one  hundred 
actions, which in turn support Commission policies 

There  are  no  standard  cost-benefit  models  that  could  be  applied  to  the 
operation and the evaluation of the JRC’s activities. 

The  impact  area  of  the  JRC’s  work  is  at  the  level  of  European  policy 
makers, not European society at large. 

It  is  also  not  enough  for  the  JRC  to  measure  its  output  as  a  scientific 
organisation,  which  is  a  challenge  in  itself.  Combining  the  aspects  of  the 
scientific  organisation  and  the  character  of  a  Commission  services,  the  real 
challenge for the JRC is to measure the impact of its activities, first on the policy 
makers and then on the policies they devise.  

EN 

41 

   EN 

 
 
 
 
 
Following  the  basic  lessons  emerging  in  the  last  Framework  Programme,  the 
JRC  is  designing  its  activities  more  and  more  in  such  a  way  that  they  can  be 
made  subject  to  a  meaningful  evaluation.  Furthermore,  to  assess  the  overall 
output  of  the  JRC  it  is  necessary  to  integrate  the  evaluation  results  of  all 
individual  actions.  As  a  consequence,  JRC  evaluations  are  now  complemented 
by a set of support activities providing structured information to support 

• 

the  annual  planning,  execution  and  evaluation  cycle  and  related  decision 
making, and  

• 

the multi-annual mid-term and ex-post evaluations. 

•  As  a  consequence  the  JRC  developed  and  implemented  Periodic  Action  Reviews 
(PAR)  analysing  the  output  of  its  individual  actions  in  2003  and  2004.  PAR  has 
multiple objectives: 

•  It evaluates JRC Actions according to a well defined methodology; 

•  It supports work programme planning for the coming year; 

•  It leads to a comprehensive data base supporting various reporting obligations; 

•  It builds a semi-quantitative data base for the benefit of future JRC evaluations; 

•  It  allows  deriving  corporate  level  indicators  from  various  lower  levels  including  the 

Action level. 

The PAR review mechanism runs on an annual basis and will be further developed in 
the current Specific Programme.  

6.3.2.  Terms and frequency of future evaluation 

The  periodic  action  review  and  the  monitoring  of  the  implementation  of  the 
Framework  Programme  will  be  carried  out  annually.  The  User  Satisfaction 
Survey  is  presently  carried  out  bi-annually.  In  the  future  a  more  continuous 
process  might  be  phased  in.  The  mid-term  evaluation  will  be  implemented  3  ½ 
years after the start of the Framework Programme 7. The ex-post evaluation at the 
end of FP7.  

7.  ANTI-FRAUD MEASURES  

Appropriate  measures  should  also  be  taken  to  prevent  irregularities  and  fraud  and  the 
necessary steps shall be taken to recover funds lost, wrongly paid or incorrectly used in 
accordance with Council Regulation (EC,  EURATOM) No 1605/2002 of 25 June  2002 

EN 

42 

   EN 

 
 
 
on  the  Financial  Regulation  applicable  to  the  general  budget  of  the  European 
Communities, Commission Regulation (EC, EURATOM) No 2342/2002 of 23 December 
202 laying down detailed rules for implementation of the Financial Regulation  and any 
future  amendments,  Council  Regulations  (EC,  Euratom)  No  2988/95  of  18  December 
1995 on the protection of the European Communities financial interests27, (EC, Euratom) 
No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried 
out by the Commission in order to protect the European Communities’ financial interests 
against  fraud  and  other  irregularities28  and  Regulation  (EC)  No  1073/1999  of  the 
European  Parliament  and  of  the  Council  concerning  investigations  conducted  by  the 
European Anti-Fraud Office (OLAF)29. 

27 
28 
29 

OJ L 312, 23.12.1995, p. 1. 
OJ L 292, 15.11.1996, p. 2. 
OJ L 136, 31.5.1999, p. 1. 

EN 

43 

   EN 

 
                                                 
8.  DETAILS OF RESOURCES 

8.1. Objectives of the proposal in terms of their financial cost 

Year 2007 

Year 2008 

Year 2009 

Year 2010 

Year 2011 

Year 2012 

Year 2013 

Total 

Commitment appropriations in EUR million (to 3 decimal places) 

Total cost 

Total cost 

Total cost 

Total cost 

Total cost 

Total cost 

Total cost 

Total cost 

of  Objectives, 
(Headings 
actions  and  outputs  should  be 
provided) 

SUSTAINABLE  GROWTH 

SUSTAINABLE    MANAGEMENT 

AND 

PROTECTION 

OF  

NATURAL RESOURCES 

INTERNAL SECURITY 

EXTERNAL  RESPONSIBILITY 
AND GLOBAL SECURITY 

TOTAL COST 

236,910 

244,023 

251,346 

258,878 

266,619 

274,640 

284,869 

1.817,286 

EN 

44 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
8.2. Administrative Expenditure 

8.2.1.  Number and type of human resources 

Types of 
post 

Staff to be assigned to management of the action using existing and/or additional 
resources (number of posts) 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

A*/AD 

B*, 
C*/AST 

Officials 
or 
temporary 
staff30 
(XX 01 
01) 

Staff  financed31  by 
art. XX 01 02 

Other 
statutory 
staff32  financed  by 
art. XX 01 04/05 

1.944 

1.944 

1.944 

1.944 

1.944 

1.944 

1.944 

TOTAL33 

1.944 

1.944 

1.944 

1.944 

1.944 

1.944 

1.944 

This presentation reflects the JRC situation where the Staff is primarily “JRC” and - with 
the exception of staff directly attached to research project –  managed  as a single  group 
for the nuclear and non nuclear activities. Administrative, technical and support staff may 
work for both programme the same day on the same site. 

The ratio of non-nuclear to total staff may vary during the period of execution framework 
programme but respect a ratio of the order of 70 %.  

The figure of 1.944 staff covers the statutory staff. 

Cost of which is NOT covered by the reference amount. 
Cost of which is NOT covered by the reference amount. 
Cost of which is included within the reference amount. 

30 
31 
32 
33           Figures indicated in the table refer only to the staff financed by the establishment plan for all direct  
actions under the responsibility of DG JRC. Therefore these figures do not comprise the posts of 
the  establishment  plan  from  the  operating  budget  and  the  posts  from  the  establishment  plan  for 
indirect actions - see documents COM(2005) 440, 441, 442, 443, 444. 

EN 

45 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.2.  Description of tasks deriving from the action 

Tasks derive from the non-nuclear direct research specific programme 

8.2.3.  Sources of human resources (statutory) 

(When  more  than  one  source  is  stated,  please  indicate  the  number  of  posts  originating 
from each of the sources) 

(cid:58) 

Posts  currently  allocated  to  the  management  of  the  programme  to  be 
replaced or extended 

  (cid:58) 

Posts pre-allocated within the APS/PDB exercise for year n 

(cid:133) 

(cid:58) 

(cid:133) 

Posts to be requested in the next APS/PDB procedure 

Posts  to  be  redeployed  using  existing  resources  within  the  managing 
service (internal redeployment) 

Posts required for year n although not foreseen in the APS/PDB exercise 
of the year in question 

8.2.4  Other  Administrative  expenditure  included  in  reference  amount  (XX  01  05  – 
Expenditure on administrative management)34 

EUR million (to 3 decimal places)  

Budget line 

(number and heading) 

Year  

2007 

Year 
2008 

Year  

2009 

Year 
2010 

Year 
2011 

Year 
2012  

Year 
2013 

TOTAL 

Statutory staff 

xx.01 05 01 

304,222  310,306  316,513 

322,843  329,300  335,886  342,603 

2.261,673 

34 

These figures refer to the expenditure for the entire EC Framework Programme - see COM(2005) 
119. 

EN 

46 

   EN 

 
 
 
 
 
 
 
 
        
                                                 
External staff 

xx.01 05 02  205,478  209,587  213,779 

218,055  222,415  226,863  231,401 

1.527,577 

Other administrative 
expenses 

xx.01 05 03  196,948  200,888  204,904 

209,002 

213,183  217,447  221,796 

1.464,167 

Total 
administrative assistance 

Technical 

and 

706,648 

720,781 

735,196 

749,900 

764,898 

780,196 

795,800 

5.253,418 

8.2.5  Financial  cost  of  human  resources  and  associated  costs  not  included  in  the 
reference amount 

EUR million (to 3 decimal places)  

Type of human resources 

Year  

2007 

Year 
2008 

Year  

Year  

2009 

2010 

Year 
2011 

Year 
2012  

Year 
2013  TOTAL 

Officials  and  temporary  staff 
(08 0101 and ) 

Staff  financed  by  Art  XX  01 
02  (auxiliary,  END,  contract 
staff, etc.) 

Total cost of Human 
Resources and associated 
costs (NOT in reference 
amount) 

11,633 

11,866 

12,103 

12,345 

12,592 

12,844 

13,101 

86,483 

11,633 

11,866 

12,103 

12,345 

12,592 

12,844 

13,101 

86,483 

Calculation– Administrative expenditures  

Have been calculated taking into account the following hypothesis: 

–  the number of official staff on the ex part A of the budget remains at 2006 level  

–  expenditures increased by the 2% each year according to the inflation foreseen such as 
indicated  in  Fiche  1  REV  (working  document  of  commission  services  related  to  the 
financial perspectives), 

–  the assumption of 108 000 € for each official staff, and 70.000 € for the external staff 

(2004 prices) 

Calculation– Staff financed under art. XX 01 02 

EN 

47 

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Reference should be made to Point 8.2.1, if applicable 

8.2.6 Other administrative expenditure not included in reference amount35 

EUR million (to 3 decimal places) 

Year 
2007 

Year 
2008 

Year 
2009 

Year 
2010 

Year 
2011 

Year  

2012 
and 
2013 

TOTAL 

XX 01 02 11 01 – Missions 

0,320   

0,326 

0,333 

0,339 

0,346 

0,713 

2,376 

XX 01 02 11 02 – Meetings & Conferences 

0,010   

0,010   

0,011   

0,011  

0,011   

0,023    

0,076    

XX 01 02 11 03 – Committees36  

XX 01 02 11 04 – Studies & consultations 

XX 01 02 11 05 - Information systems 

0,478   

0,487   

0,497   

0,507   

0,517   

1,065    

3,550    

 2  Total 

Other 
Expenditure (XX 01 02 11) 

Management 

3 

Other 

expenditure 

administrative 
including reference to budget line) 

nature 

of 

an 
(specify 

Total Administrative expenditure, other 
than human resources and associated 
costs (NOT included in reference 
amount) 

0,807   

0,824   

0,840   

0,857   

0,874    1,801 

6,002   

Calculation - Other administrative expenditure not included in reference amount 

35 

36 

These figures refer to the expenditure for the entire EC Framework Programme - see COM(2005) 
119. 
EURAB committee. 

EN 

48 

   EN 

 
 
 
           
           
            
           
           
          
                
           
           
           
           
           
          
                
           
           
           
           
           
          
                
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
           
           
           
           
           
                
 
                                                 
These figures are estimated on the basis of the 2006 DG RTD requests increased of the 
2% for the yearly foreseen inflation. (Fiche 1 REV) 

The needs for human and administrative resources shall be covered within the allocation 
granted  to  the  managing  DG  in  the  framework  of  the  annual  allocation  procedure.  The 
allocation  of  posts  should  take  into  account  an  eventual  reallocation  of  posts  between 
departments on the basis of the new financial perspectives. 

EN 

49 

   EN