Proposal for a Council Decision concerning the specific programme: “Ideas” implementing the 7th Framework Programme (2007-2013) of the European Community for research, technological development and demonstration activities
Date: 2005-09-21
Institutions: European Commission
Subjects: EU programme, EU research policy, innovation, research and development, research programme, technological change

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 21.9.2005 
COM(2005) 441 final 

2005/0186 (CNS) 

Proposal for a 

COUNCIL DECISION 

concerning the specific programme: “Ideas” implementing the 7th Framework 
Programme (2007-2013) of the European Community for research, technological 
development and demonstration activities 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

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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Frontier Research: the European Challenge. High Level Expert Group Report, European Commission, 
May 2005. 

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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. 

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 

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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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2005/0186 (CNS) 

Proposal for a 

COUNCIL DECISION 

Concerning the specific programme: “Ideas” implementing the 7th Framework 
Programme (2007-2013) of the European Community for research, technological 
development and demonstration activities 

(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, 

Whereas: 

(1) 

(2) 

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  Framework  Programme  is  structured  in  four  types  of  activities:  trans-national 
cooperation  on  policy-defined  themes  (“Cooperation”),  investigator-driven  research 
based  on  initiatives  of  the  research  community  (“Ideas”),  support  of  training  and 
career  development  of  researchers  (“People”),  and  support  of  research  capacities 
(“Capacities”).  Activities  under  “Ideas”  as  regards  indirect  actions  shall  be 
implemented by this Specific Programme. 

(3) 

This  Specific  Programme  should  follow  an  “investigator-driven”  approach:  it  should 
support  “frontier  research”  projects  carried  out  by  researchers  on  subjects  of  their 
choice. It should be implemented in a flexible and user-friendly manner, in a spirit of 

8 
9 
10 

OJ C,[], p. []. 
OJ C [], [], p. []. 
OJ C [], [], p. []. 

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(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

openness with respect to all the related actors, and taking account of relevant scientific 
practices. 

Proposals for “frontier research” should be evaluated on the basis of the sole criterion 
of  excellence  as  judged  by  peer  review  and  should  put  the  emphasis  on 
interdisciplinary,  high  risk  pioneering  projects  and  new  groups  and  less  experienced 
researchers as well as established teams. 

This  Specific  Programme  should  be  implemented  according  to  the  principles  of 
scientific  excellence,  autonomy,  efficiency,  transparency,  and  accountability,  by 
means  of  a  European  Research  Council  (ERC)  consisting  of  a  Scientific  Council 
composed of scientists, engineers and scholars of the highest repute, representing the 
European  research  community  in  all  its breadth  and  depth,  supported  by  a  dedicated 
implementation structure. 

The  European  Commission  should  be  responsible  for  the  implementation  of  this 
Specific  Programme  and  should  act  as  the  guarantor  of  the  European  Research 
Council’s autonomy and integrity, as well as its functional efficacy. 

To  guarantee  the  ERC’s  autonomy,  the  Commission  should  ensure  that  positions  of 
the  Scientific  Council  on  the  scientific  orientation  and  aspects  of  programme 
implementation are respected, and that the dedicated implementation structure follows 
strictly, efficiently and with the necessary flexibility, the objectives and requirements 
of this Specific Programme. 

To  guarantee  the  ERC’s  integrity,  the  Commission  should  ensure  that  this  Specific 
Programme is implemented in accordance with the objectives set. 

The  rules  for  the  participation  of  undertakings,  research  centres  and  universities  and 
for  the  dissemination  of  research  results, for  the  Framework  Programme  (hereinafter 
referred  to  as  ‘the  rules  for  participation  and  dissemination’)  should  apply  to  this 
programme. 

(10)  The  Framework  Programme  should  complement  the  activities  carried  out  in  the 
Member States as well as other Community actions that are necessary for the overall 
strategic  effort  for  the  implementation  of  the  Lisbon  objectives,  alongside,  in 
particular,  with 
training, 
competitiveness  and  innovation,  industry,  health,  consumer  protection,  employment, 
energy, transport and environment. 

funds,  agriculture,  education, 

those  on  structural 

(11) 

Implementation  of  the  Framework  Programme  may  give  rise  to  supplementary 
programmes  involving  the  participation  of  certain  Member  States  only,  the 
participation of the Community in programmes undertaken by several Member States, 
or  the  setting  up  of  joint  undertakings  or  other  arrangements  within  the  meaning  of 
Articles 168, 169 and 171 of the Treaty. 

(12)  As  provided  for  under  Article  170  of  the  Treaty,  the  Community  has  concluded  a 
number of international agreements in the field of research and efforts should be made 
to strengthen international research cooperation with a view to further integrating the 
Community  into  the  world-wide  research  community.  Therefore,  this  Specific 
Programme  should  be  open  to  the  participation  of  countries  having  concluded 

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agreements to this effect and should also be open on the project level, and on the basis 
of  mutual  benefit,  to  the  participation  of  entities  from  third  countries  and  of 
international organisations for scientific cooperation. 

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

(14)  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 
general  budget  of  the  European  Communities  and  Commission  Regulation  (EC, 
Euratom)  2342/2002  of  23  December  2002  laying  down  detailed  rules  for 
implementation of the Financial Regulation and any future amendments. 

(15)  Appropriate  measures  should  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)  2342/2002  of  23  December 
2002  laying  down  detailed  rules  for  implementation  of  the  Financial  Regulation  and 
any  future  amendments,  Council  Regulation  (EC,  Euratom)  No  2988/95  of  18 
December 1995 on the protection of the European Communities financial interests11, 
(Euratom, EC) 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 
irregularities12  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)13. 

interests  against  fraud  and  other 

(16)  The measures necessary for the implementation of this Decision should be adopted in 
accordance  with  Council  Decision  1999/468/EC  of  28  June  1999  laying  down  the 
procedures for the exercise of implementing powers conferred on the Commission14. 

(17)  The Commission shall arrange for the independent assessment of the operation of the 
ERC.In  the  light  of  this  assessment  and  taking  into  account  the  experiences  of  the 
ERC with regards to its basic principles, the possibility should be considered, no later 
than 2010, for reconstituting the ERC as a legally independent structure, which could 
be based on article 171 of the Treaty. 

(18)  The  “Ideas”  Specific  Programme  should  have  its  own  budget  line  in  the  General 

Budget of the European Communities. 

(19)  The importance of this Specific Programme is recognised as being an overall priority 
means to attain the objectives of excellence, management simplification and European 

11 
12 
13 
14 

OJ L 312, 23.12.1995, p. 1. 
OJ L 292, 15.11.1996, p. 2. 
OJ L 136, 31.5.1999, p. 1. 
OJ L 184, 17.7.1999, p. 23 

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(20) 

(21) 

added value in “frontier research” contributed by Community research in addition to 
the efforts already undertaken at national level. 

It responds to the recommendations of the ERCEG report15  set  up  by  the  Copenhagen 
European  Council  (November  2002),  reiterated  by  successive  Councils  (November 
2003,  11  March  2004,  25-26  March  2004,  26  November  2004)  and  endorsed  by  the 
European  Parliament16.  This  Specific  Programme  is  in  line  with  the  Lisbon  strategy 
and  the  European  Council  of  Barcelona  which  set  the  target  of  raising  European 
research efforts to 3% of EU GDP. 

In the implementation of this Specific Programme adequate attention should be paid to 
working conditions, transparency of recruitment processes, and career development as 
regards the researchers recruited on projects and programmes funded under the actions 
of this programme, for which the Commission Recommendation of 11 March 2005 on 
the European Charter for Researchers and on a Code of Conduct for the Recruitment 
of Researchers offers a reference framework. 

HAS ADOPTED THIS DECISION: 

Article 1 

1. 

2. 

The  Specific  Programme  “Ideas”  for  Community  activities  in  the  area  of  “frontier 
research”,  hereinafter  the  “Specific  Programme”,  is  hereby  adopted  for  the  period 
from 1 January 2007 to 31 December 2013. 

The Specific  Programme  shall be “investigator-driven”,  supporting research carried 
out  across  all  fields  by  individual  teams  in  competition  at  the  European  level.  The 
detailed objectives and the broad lines of those activities are set out in Annex I. 

Article 2 

In accordance with Annex II of the Framework Programme, the amount deemed necessary for 
the execution of the Specific Programme shall be EUR 11 862 million, of which less than 6% 
shall be for the Commission’s administrative expenditure. 

Article 3 

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, 

ERCEG  -  European  Research  Council  Expert  Group;  The  ERCEG  was  set  up on  the initiative  of  the 
Danish Minister of Science, Technology and Innovation, during the Danish EU presidency. December 
2003. 
Report  on Science  and  Technology Guidelines for future European  Union  Policy  to  support research. 
Rapporteur: Pia Elda Locatelli, A6-0046/2005, 28.2.2005. 

1. 

2. 

15 

16 

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18 

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– 

– 

research  activity  intended  to  modify  the  genetic  heritage  of  human  beings 
which could make such changes heritable17, 

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 Member States, 

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

1. 

2. 

3. 

4. 

1. 

2. 

3. 

Article 4 

The  Commission  shall  be  responsible  for  the  implementation  of  the  Specific 
Programme. 

The  Commission  will  establish  a  European  Research  Council,  which  shall  be  the 
means for implementing the Specific Programme. 

The  European  Research  Council  will  consist  of  an  independent  Scientific  Council, 
supported by a dedicated implementation structure, as described in Annex I. It will 
operate according to the principles of scientific excellence, autonomy, efficiency and 
transparency. 

The  Commission  will  act  as  the  guarantor  of  the  European  Research  Council’s 
autonomy and integrity and will ensure the proper execution of the tasks entrusted to 
it. 

Article 5 

The Scientific Council shall be composed of scientists, engineers and scholars of the 
highest repute, appointed by the Commission, and acting in their personal capacity, 
independent of extraneous interests. 

It shall act according to the mandate set out in Annex I. 

It shall establish: 

a) 

b) 

the work programme for the implementation of the Specific Programme, to be 
adopted pursuant to article 6(1); 

the methods for peer review and proposal evaluation, on the basis of which the 
proposals to be funded will be determined; 

17 

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

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c) 

its position on any matter which from a scientific perspective may enhance the 
achievements  and  impact  of  the  Specific  Programme,  and  the  quality  of  the 
research carried out. 

It  shall  exclusively  act  in  the  interest  of  achieving  the  Specific  Programme’s 
scientific, technological and scholarly objectives, according to the principles set out 
in Article 4(3). 

Article 6 

The  Commission  shall  adopt  the  work  programme  for  the  implementation  of  the 
Specific  Programme,  setting  out  in  greater  detail  the  objectives  and  scientific  and 
technological  priorities  contained  in  Annex  I,  the  associated  funding,  and  the 
timetable for implementation. 

The  work  programme  shall  take  account  of  the  state  of  science  and  technology  in 
Europe and anticipate developments. It shall be updated as and where appropriate. 

The work programme shall specify the criteria on which proposals under the funding 
schemes  shall  be  evaluated  and  projects  selected.  For  individual  projects  the  sole 
criterion  of  excellence  shall  be  applicable.  For  coordination  and  support  actions, 
project-related criteria may be applicable. 

The Commission shall ensure that the implementation of the Specific Programme is 
in accordance with the work programme and the principles set out in Article 4(3), as 
well  as  with  the  methods  and  positions  established  by  the  Scientific  Council  as 
defined  under  Article  5(3)(a)  and  5(3)(b).  The  Commission  shall  ensure  that  the 
dedicated  implementation  structure  follows  strictly,  efficiently  and  with  the 
necessary  flexibility,  the  objectives  and  requirements  of  this  Specific  Programme 
alone. 

Concerning the tasks set out in Article 5(3), the Commission shall only abstain from 
following the position of the Scientific Council when it considers that the provisions 
of  this  Specific  Programme  have  not  been  respected.  In  this  case,  the  Commission 
may  adopt  measures  to  maintain  continuity  in  the  implementation  of  the  specific 
programme and the achievement of its objectives, duly motivating such measures. 

The  procedure  laid  down  in  Article  8(2)  shall  apply  for  the  adoption  of  the  work 
programme referred to in Article 6(1). 

The  procedure  laid  down  in  Article  8(3)  shall  apply  for  the  adoption  of  the  work 
programme when there is a difference of substance with the position of the Scientific 
Council in accordance with Article 6(5). 

The procedure laid down in Article 8(4) shall apply for the adoption of RTD actions 
involving the use of human embryos and human embryonic stem cells. 

4. 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

1. 

The rules for participation and dissemination shall apply to this Specific Programme. 

Article 7 

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2. 

1. 

2. 

3. 

4. 

5. 

6. 

The  Specific  Programme  shall  be  implemented  by  means  of  the  funding  schemes 
defined in Annex III of the Framework Programme. 

The Commission shall be assisted by a Committee. 

Article 8 

Where  reference  is  made  to  this  paragraph,  the  advisory  procedure  laid  down  in 
Article  3  of  Decision  1999/468/EC  shall  apply,  in  compliance  with  Article  7(3) 
thereof. 

Where reference is made to this paragraph, the management procedure laid down in 
Article  4  of  Decision  1999/468/EC 
in  compliance  with  
Article 7(3) thereof. 

shall  apply, 

Where  reference  is  made  to  this  paragraph,  the  regulatory  procedure  laid  down  in 
Articles 5 and 7 of Decision 1999/468/EC shall apply. 

The period provided for in Articles 4(3) and 5(6) of Decision 1999/468/EC shall be 
two months. 

The Commission shall regularly inform the committee of the overall progress of the 
implementation of the specific programme. 

This Decision is addressed to the Member States. 

Done at Brussels, 

For the Council 
The President 

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ANNEX I 

SCIENTIFIC OBJECTIVES AND BROAD LINES OF THE ACTIVITIES 

Investigator-driven  “frontier  research”  is  a  key  driver  of  wealth  and  social  progress,  as  it 
opens  new  opportunities  for  scientific  and  technological  advance,  and  is  instrumental  in 
producing new knowledge leading to future applications and markets. 

Despite  many  achievements  and  a  high  level  of  performance  in  a  large  number  of  fields, 
Europe is not making the most of its research potential and resources, and urgently needs a 
strengthened capacity to generate knowledge. 

Objectives 

The objective of the Specific Programme “Ideas” is to reinforce excellence, dynamism and 
creativity  in  European  research  and  improve  the  attractiveness  of  Europe  for  the  best 
researchers  from  both  European  and  third  countries,  as  well  as  for  industrial  research 
investment,  by  providing  a  Europe-wide  competitive  funding  mechanism  for  “frontier 
research” executed by individual teams. 

For  its  implementation,  a  European  Research  Council  (ERC),  consisting  of  a  Scientific 
Council and a dedicated implementation structure, will be created by the Commission under 
this  Specific  Programme.  The  ERC  will  operate  according  to  the  principles  of  scientific 
excellence,  autonomy,  efficiency,  transparency  and  accountability,  and  will  support 
investigator-driven  projects  in  “frontier  research”,  carried  out  by  individual  teams 
competing at the European level, within and across all fields of research. 

By promoting “frontier research” from across the EU, the Specific Programme will aim to 
put European research in a leading position, opening the way to creating new scientific and 
technological results and probably unexpected results. It will stimulate the flow of ideas and 
allow Europe better to exploit its research assets in the drive towards a dynamic knowledge-
based society, with long-term benefits for the competitiveness of European economies and 
well being. 

Activities 

This programme will promote world class “frontier research”. The term “frontier research” 
reflects a new understanding of basic research. On one hand it denotes that basic research in 
science and technology is of critical importance to economic and social welfare, and on the 
other  that  research  at  and  beyond  the  frontiers of  current  understanding  is  an  intrinsically 
risky venture, progressing on new and most challenging research areas and is characterised 
by an absence of disciplinary boundaries. 

The programme will support individual projects, which may be carried out in any field of 
basic  scientific  and  technological  research  which  falls  within  the  scope  of  Community 
research  under  this  Framework  Programme,  including  engineering,  socio-economic 
sciences and the humanities. As appropriate, specific research topics or target groups (e.g. 
young/emerging  teams)  may  be  taken  into  account,  following  the  objectives  of  the 
programme  and  needs  for  efficient  implementation.  Particular  attention  will  be  paid  to 
emerging and fast-growing areas at the frontier of knowledge, and at the interface between 
disciplines. 

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An  “investigator-driven”  approach  will  be  followed.  This  means  that  the  programme  will 
support projects carried out by researchers on subjects of their choice within the scope of 
calls for proposals. Proposals will be evaluated on the sole criterion of excellence as judged 
by peer review, taking account of excellence in new groups, less experienced researchers, as 
well  as  established  teams,  and  paying  particular  attention  to  proposals  which  are  highly 
pioneering and involve correspondingly high scientific risks. 

The programme will support projects carried out by individual teams. An individual team 
consists of an individual principal investigator and other individuals, members of the team. 

The  principal  investigator  must  be  employed  by  a  legal  entity  in  a  Member  State  or 
associated country. Other team members may be employed by the same legal entity or by 
other  legal  entities  in  Member  States,  associated  countries  or  third  countries.  The 
association  of  team  members  employed  by  legal  entities  other  than  that  of  the  principal 
investigator  must  be  justified  on  the  scientific  value  added  provided  to  the  project,  in 
particular in the case where the legal entity involved is in a third country. The contribution 
of team members employed by legal entities in third countries to a project may be covered 
by  the  Community  grant,  so  long  as  the  country  is  one  of  the  International  Cooperation 
Partner Countries18. 

Programme Implementation 

For the implementation of this Specific Programme, the Commission will establish, at the 
start, the two key structural components of the ERC-an independent Scientific Council and 
a dedicated implementation structure. 

The Scientific Council 

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

The tasks of the Scientific Council will be as follows: 

1. 

Scientific strategy 

•  Establish  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,  ensure  the 
establishment  of  the  work  programme  and  necessary  modifications,  including 
calls for proposals and criteria and, as may be required, the definition of specific 
topics or target groups (e.g. young/emerging teams). 

2. 

Scientific  management,  monitoring  and  quality  control  of  programme 
implementation 

•  As  appropriate, 

from  a  scientific  perspective,  establish  positions  on 
implementation and management of calls for proposals, evaluation criteria, peer 

18 

See Rules for Participation. 

EN 

23 

   EN 

 
                                                 
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  under  the  supervision  of  the  Scientific  Council;  as  well  as 
any  other  matter  affecting  the  achievements  and  impact  of  the  Specific 
Programme, and the quality of the research carried out. 

•  Monitor  quality  of  operations  and  evaluate  programme  implementation  and 

achievements and make recommendations for corrective or future actions. 

3. 

Communication and dissemination 

•  Assure 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. 

Dedicated implementation structure 

The dedicated implementation structure will be responsible for all aspects of administrative 
implementation and 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. 

Role of the European Commission 

The  European  Commission  will  act  as  the  guarantor  of  the  ERC’s  full  autonomy  and 
integrity. Its responsibility for the implementation of the programme will relate to ensuring 
that the programme is executed according to the scientific objectives stated above and to the 
requirements  of  scientific  excellence,  as  determined  by  the  Scientific  Council,  acting 
independently. In particular the Commission will: 

•  Ensure the establishment of a dedicated implementation structure and the delegation of 

tasks and responsibilities to it. 

•  Adopt the work programme and the positions regarding implementing methodology, as 

defined by the Scientific Council. 

•  Ensure  that  proposals  are  retained,  and  projects  financed,  solely  on  the  basis  of  their 
ranking order resulting from the peer review; any change in the rank order of peer review 
must be explicitly endorsed by the Scientific Council. 

•  Regularly inform the programme committee on the implementation of the programme. 

•  Provide an annual report on the ERC’s operations to Council and Parliament. 

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 

EN 

24 

   EN 

 
privacy, as well as of animals and the environment in accordance with Community law and 
relevant  international  conventions,  guidelines  and  codes  of  conduct,  such  as  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 
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. 

In  accordance  with  Article  4(3)  of  this  Decision  no  funding  will  be  granted  for  research 
activities that are prohibited in all the Member States. 

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. 

EN 

25 

   EN 

 
LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Proposal  for  a  COUNCIL  DECISION  adopting  a  specific  programme  for  research, 
technological development and demonstration activities: “Ideas” (2007 to 2013) 

2. 

ABM / ABB FRAMEWORK 

RESEARCH…  

3. 

BUDGET LINES 

3.1. 

Budget  lines  (operational  lines  and  related  technical  and  administrative 
assistance lines) including headings : 

Titles 08 (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): 

Budget 
line 

06, 
09 

02, 
08, 
and 11 

XX.01 

XX.01.05 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

Non-
comp 

Non-
comp 

Non-
comp  

Diff19/ 

Non-
diff20 

Non-
diff 

YES 

YES 

YES 

No [1a] 

YES 

NO 

NO 

No [ 1a…] 

YES 

YES 

YES 

No [ 1a…] 

19 
20 

Differentiated appropriations. 
Non-differentiated appropriations here after referred to as NDA. 

EN 

26 

   EN 

 
 
 
 
 
 
                                                 
4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

Summary of commitment appropriations (CA) and payment appropriations (PA) 21 

EUR million (to 3 decimal places)  

Secti
on 
no. 

Expenditure type 

Operational expenditure22 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

Total 

Commitment 
Appropriations (CA) 

8.1 

a  4.955,289 

Payment 
Appropriations (PA) 

b  1.982,116 

6.450,321 

7.929,201 

9.553,215 

11.203,503 

12.811,940 

4.066,715 

6.097,835 

7.985,639 

9.578,238 

11.189,390 

14.568,94
6 

67.472,416 

26.572,48
223 

67.472,416 

Administrative expenditure within reference amount24 

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 

7.171,102 

8.664,398 

10.303,115  11.968,401 

13.592,136 

2.688,764 

4.787,496 

6.833,031 

8.735,539 

10.343,136  11.969,586 

15.364,74
6 

27.368,28
225 

72.725,834 

72.725,834 

Administrative expenditure not included in reference amount26 

Human resources and 
associated 
expenditure (NDA) 

8.2.
5 d 

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

8.2.
6 e 

11,633 

11,866 

12,103 

12,345 

12,592 

12,844 

13,101 

86,483 

0,807 

0,824 

0,840 

0,857 

0,874 

0,891 

0,909 

6,002 

Total indicative financial cost of intervention 

21 

22 
23 
24 
25 
26 

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 

27 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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): 

Co-financing body 

Year 
n 

n + 1 

n + 2 

n + 3 

n + 4 

n + 5 
and 
later 

Total 

EUR million (to 3 decimal places) 

TOTAL CA including co-
financing 

f 

a+c
+d+
e+f 

4.1.2.  Compatibility with Financial Programming 

⌧  Proposal  is  compatible  with  next  financial  programming  (Commission’s 
February  2004  Communication  on  the  financial  perspectives  2007-2013 
COM (2004) 101). 

Proposal  will  entail reprogramming of the relevant  heading in  the financial 

(cid:133) 
perspective. 

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional 

(cid:133) 
Agreement27 (i.e. flexibility instrument or revision of the financial perspective). 

4.1.3.  Financial impact on Revenue 

(cid:133) 

Proposal has no financial implications on revenue 

⌧ 

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

Certain Associated States may contribute to the funding of the framework programmes. 

In accordance with Article 161 of the Financial Regulation, the Joint Research Centre may 
benefit  from  revenue  from  various  types  of  competitive  activities  and  from  other  services 
provided for outside bodies. 

27 

See points 19 and 24 of the Interinstitutional agreement. 

EN 

28 

   EN 

 
       
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
In accordance with Article 18 of the Financial Regulation, certain revenue may be used to 
finance specific items. 

NB: All details and observations relating to the method of calculating the effect 
on revenue should be shown in a separate annex. 

Budget line 

Revenue 

EUR million (to one decimal place) 

Prior to
action 
[Year 
n-1] 

[Yea
r 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  FTE  (including  officials,  temporary  and  external  staff)  – 
see detail under point 8.2.1. 

Annual requirements 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

number 

Total 
human resources28 

of 

1.848 

1.848 1.848 

1.848 

1.848 

1.848 

1.848 

5. 

CHARACTERISTICS AND OBJECTIVES 

5.1. 

Need to be met in the short or long term 

This Specific Programme addresses the need to face a number of acute challenges that make 
the proposal to create a European Research Council (ERC) both timely and necessary. This 
concerns  in  particular,  reinforcing  excellence,  especially  in  new,  fast-growing  research 
areas; staying ahead in a world of growing scientific and technological competition; linking 
science  to  technological  innovation;  competing  for  talent  and  encouraging  greater 
investment. 

Responding to these challenges, the ERC will provide the pan-European mechanism needed 
to  selectively  encourage  and  support  the  truly  creative  scientists,  engineers  and  scholars 
who are most likely to make the unpredictable and spectacular discoveries that can change 
the course of human understanding. 

28 

Figures indicated in the table refer only to the staff financed by the establishment plan for all indirect 
actions  under  the  responsibility  of  DGs  RTD,  INFSO,  TREN,  ENTR  and  FISH.    Therefore  these 
figures do not comprise the posts of the establishment plan from the operating budget and the posts 
from the JRC's establishment plan - see documents COM(2005) 439 & 445. 

EN 

29 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
5.2. 

Value-added of Community involvement  and coherence of the proposal with 
other financial instruments and possible synergy 

This  Specific  Programme  is  designed  to  create  the  ERC,  which  is  both  a  significant  new 
development  in  Community  research,  and  at  the  same  time  a  logical  progression  of 
European research policy, fully coherent with the aims of the European Research Area. ItI 
will provide added value above and beyond what can be achieved at the national level by: 

–  encouraging  and  supporting  the  finest  talent  and  the  best  ideas  at  pan-European  level, 
and focusing resources selectively on excellent research by highly competitive funding; 

–  conferring  status  and  visibility  on  European  “frontier  research”,  attracting  talent  and 

creativity to Europe; 

–  catalysing  the  adaptation  of  national  research  structures  to  the  evolving  European 
Research  Area,  thereby  creating  a  European  research  system  capable  of  matching  the 
best in the world; 

–  helping to nurture science-based industry, attract and retain more R&D-intensive firms in 
Europe, and create a greater impetus for the establishment of research-based spin-offs;  

–  addressing  the  complex  societal  challenges  faced  by  Europe,  by  providing  the 
opportunity  to  invest  quickly  in  the  knowledge  base  necessary  to  tackle  the  new  and 
emerging issues confronting society. 

The  ERC  will  be  implemented  in  a  way  that  reflects  its  independence  from  the  strategic 
orientations of other parts of the Framework Programme. Complementarities with the other 
parts  of  the  Framework  Programme  will  be  assured  by  the  specific  objectives  of  this 
programme (support to investigator-driven research) and its instrument (“frontier research” 
grants for individual projects).  

5.3. 

Objectives,  expected  results  and  related  indicators  of  the  proposal  in  the 
context of the ABM framework 

The objective of the Specific Programme “Ideas” is to reinforce excellence, dynamism and 
creativity  in  European  research  and  improve  the  attractiveness  of  Europe  for  the  best 
researchers  from  both  European  and  third  countries,  as  well  as  for  industrial  research 
investment. 

By promoting “frontier research” from across the EU, the Specific Programme will aim to 
put European research in a leading position, opening the way to creating new scientific and 
technological results and probably unexpected results. It will stimulate the flow of ideas and 
allow Europe better to exploit its research assets in the drive towards a dynamic knowledge-
based society, with long-term benefits for the competitiveness of European economies and 
well being. 

Performance indicators will be developed and may operate at three levels: 

–  Quantitative and qualitative indicators to show the path or direction of scientific 
and  technical  progress.  These  could  include  in  the  longer  term,  publications, 
citation indexes, patents, others. 

EN 

30 

   EN 

 
–  Management  indicators  to  monitor  performance  internally  and  support  senior 
management  decision  making.  These  could  include  level  of  budget  execution, 
time to contract and time to payment. 

–  Outcome (impact) indicators to assess the overall effectiveness of the research 

against high level objectives. 

5.4.  Method of Implementation (indicative) 

Show below the method(s)29 chosen for the implementation of the action. 

⌧ Centralised Management 

⌧  Directly by the Commission 

⌧ 

Indirectly by delegation to: 

⌧  Executive Agencies 

⌧  Bodies set up by the Communities as referred to in art. 185 

of the Financial Regulation 

(cid:134)  National  public-sector  bodies/bodies  with  public-service 

mission  

ٱ Shared or decentralised management 

ٱ  With Member states 

ٱ  With Third countries 

ٱ Joint management with international organisations (please specify) 

Remarks: 

The  Commission  proposes  indirect  centralised  management  of  this  programme  by 
delegation to an Executive Agency. 

The  tasks  required  to  implement  the  programme  will  be  entrusted  to  an  executive  agency 
which will manage the calls and the reception of proposals, adopt the instruments of budget 
implementation, award contracts and grants, deal with individual project-level management 
and  payments  and  gather,  analyse  and  transmit  to  the  Commission  all  the  information 
needed to guide the implementation of the programme. 

6. 

MONITORING AND EVALUATION 

Monitoring and evaluation aspects are set out in the Legislative Financial Statement of the 
proposal of the 7th framework programme - COM(2005) 119.  

29 

If more than one method is indicated please provide additional details in the "Relevant comments" 
section of this point. 

EN 

31 

   EN 

 
                                                 
7. 

ANTI-FRAUD MEASURES  

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  Communities30,  Commission  Regulation  (EC, 
Euratom) No 2342/2002 of 23 December 2002 laying down detailed rules for the implementation of 
Council Regulation 1605/200231, Council Regulations (EC, Euratom) No 2988/95 of 18 December 
1995  on  the  protection  of  the  European  Communities  financial  interests32,  (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  irregularities33  and  Regulation  (EC)  No  1073/1999  of  the  European  Parliament  and  of  the 
Council concerning investigations conducted by the European Anti-Fraud Office (OLAF)34. 

30 
31 
32 
33 
34 

OJ L 248, 16.9.2002, p. 1. 
OJ L 357, 31.12.2002, p. 1. 
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 

32 

   EN 

 
                                                 
8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

(Headings  of 
Objectives, 
actions 
outputs 
should 
provided) 

and 

be 

Year 2007 

Year 2008 

Year 2009 

Year 2010 

Year 2011 

Year 2012  

Year 2013 

TOTAL 

Commitment appropriations in EUR million (to 3 decimal places)  

No. 
output
s 

Total 
cost 

No. 
output
s 

Total 
cost 

No. 
output
s 

Total 
cost 

No. 
output
s 

Total 
cost 

No. 
output
s 

Total 
cost 

No. 
output
s 

Total cost  No. 

output
s 

Total 
cost 

Total cost 

N
o. 
o
ut
p
ut
s 

OPERATION
AL 
OBJECTIVE 
No.1 35 

TOTAL 
COST 

907,44
5 

907,44
5 

1.158,73
2 

1.158,73
2 

1.407,30
8 

1.407,30
8 

1.680,17
2 

1.680,17
2 

1.957,44
2 

1.957,44
2 

2.227,716 

2.227,716 

2.522,69
9 

2.522,69
9 

11.861,514 

11.861,514 

35 

As described under Section 5.3. 

EN 

33 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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/FTEs) 

Year 2007  Year 2008  Year 2009  Year 2010  Year 2011  Year 2012  Year 2013 

A*/AD 

B*, 
C*/AST 

Officials 
or 
temporary 
staff36 
(XX 01 
01) 

Staff  financed37  by  art. 
XX 01 02 

Other  staff38 
financed  by 
art. XX 01 05 

A*/AD 

B*, 
C*/AST 

TOTAL39 

1.848 

1.848 

1.848 

1.848 

1.848 

1.848 

1.848 

8.2.2.  Description of tasks deriving from the action 

Implementation of the Framework 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) 

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

⌧ 
extended 

⌧ 

Posts pre-allocated within the APS/PDB exercise for year 2006 

36 
37 
38 
39 

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. 
Figures indicated in the table refer only to the staff financed by the establishment plan for all indirect actions 
under  the  responsibility  of  DGs  RTD,  INFSO,  TREN,  ENTR  and  FISH.    Therefore  these  figures  do  not 
comprise  the  posts  of  the  establishment  plan  from  the  operating  budget  and  the  posts  from  the  JRC's 
establishment plan - see documents COM(2005) 439 & 445. 

EN 

34 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(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 

(cid:133) 
in question 

EN 

35 

   EN 

 
8.2.4.  Other  Administrative  expenditure  included  in  reference  amount  (XX  01  05  – 

Expenditure on administrative management)40 

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 

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: 

40 

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

EN 

36 

   EN 

 
        
 
 
 
 
 
 
 
 
 
                                                 
–  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 

Reference should be made to Point 8.2.1, if applicable 

8.2.6 Other administrative expenditure not included in reference amount41 

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 – Committees42  

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 

0,807   

0,824   

0,840   

0,857   

0,874    1,801 

6,002   

41 

42 

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

EN 

37 

   EN 

 
 
 
            
           
           
           
           
          
                
           
           
           
           
            
          
                
           
           
           
           
           
          
                
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
           
           
           
           
           
                
                                                 
amount) 

Calculation - Other administrative expenditure not included in reference amount 

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 financial perspectives. 

EN 

38 

   EN