Proposal for a Council Decision on the Specific Programme: "Capacities" 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, research staff, technological change, vocational training

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 21.9.2005 
COM(2005) 443 final 

2005/0188 (CNS) 

Proposal for a 

COUNCIL DECISION 

on the Specific Programme: "Capacities" 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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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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2005/0188 (CNS) 

Proposal for a 

COUNCIL DECISION 

on the Specific Programme: "Capacities" 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) 

(3) 

In  accordance  with  Article  166(3)  of  the  Treaty,  Decision  No  /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  the  initiative  of  the  research  community  (“Ideas”),  support  of  training  and 
career  development  of  researchers  (“People”),  and  support  of  research  capacities 
(“Capacities”).  Activities  under  “Capacities”  as  regards  indirect  actions  should  be 
implemented by this Specific Programme. 

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. 

8 
9 
10 

OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 

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(4) 

(5) 

(6) 

(7) 

(8) 

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  those  on  structural  funds,  agriculture,  education,  training,  competitiveness  and 
innovation, industry, health, consumer protection, employment, energy, transport and 
environment. 

Innovation  and  SME-related  activities  supported  under  this  Framework  Programme 
should  be  complementary  to  those  undertaken  under  the  Framework  Programme  for 
Competitiveness and Innovation. 

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. 

This  Specific  Programme  should  contribute  to  the  grant  to  the  European  Investment 
Bank  for  the  constitution  of  a  “Risk-Sharing  Finance  Facility”  in  order  to  improve 
access to EIB loans. 

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

(9) 

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, 

(10)  The  Framework  Programme  should  contribute  towards  promoting  sustainable 

development. 

(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 
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 Regulations (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  the  implementation  of  the  Financial  Regulation 

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and  any  future  amendments,  Council  Regulations  (EC,  Euratom)  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 
Communities’ financial interests against fraud and other irregularities12 and Regulation 
(EC)  No  1074/1999  of  the  European  Parliament  and  of  the  Council  concerning 
investigations conducted by the European Anti-Fraud Office (OLAF)13. 

(13)  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. 

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

Budget of the European Communities. 

(15) 

In the implementation of this programme adequate attention needs to be paid to gender 
mainstreaming,  as  well  as  to,  inter  alia,  the  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  Researchers15
 offers a reference framework, 

HAS ADOPTED THIS DECISION: 

Article 1 

The  Specific  Programme  “Capacities”  for  Community  activities  in  the  area  of  research  and 
technological  development,  including  demonstration  activities,  hereinafter  the  “Specific 
Programme” is hereby adopted for the period from 1 January 2007 to 31 December 2013. 

Article 2 

The Specific Programme shall support the activities for “Capacities”, supporting key aspects 
of European research and innovation capacities: 

(a) 

research infrastructures; 

(b) 

research for the benefit of small and medium sized enterprises (SMEs) 

(c) 

regions of knowledge 

(d) 

research potential 

11 
12 
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. 
OJ L 184, 17.7.1999, p. 23 
C(2005) 576. 

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(e) 

science in society 

(f) 

horizontal activities of international cooperation 

as well as the coherent development of research policies. 

Implementation  of  this  Specific  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. 

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

Article 3 

In accordance with Annex II of the Framework Programme, the amount deemed necessary for 
the execution of the Specific Programme shall be EUR 7 486 million, of which less than 6% 
shall  be  for  the  Commission’s  administrative  expenditure.  An  indicative  breakdown  of  this 
amount is given in Annex II. 

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. 

16 

EN 

Article 5 

The  Specific  Programme  shall  be  implemented  by  means  of  the  funding  schemes 
established in Annex III to the 7th Framework Programme.  

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

18 

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2. 

3. 

Annex  III  to  this  Specific  Programme  sets  out  the  arrangements  for  a  grant  to  the 
European Investment Bank for the establishment of a Risk Sharing Finance Facility. 

Annex  IV  to  this  Specific  Programme  sets  out  an  initiative  for  the  joint 
implementation  of  national  research  programmes  that  would  be  the  subject  of  a 
separate decision on the basis of article 169 of the Treaty. 

4. 

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

Article 6 

1. 

2. 

3. 

The  Commission  shall  draw  up  a  Work  Programme  for  the  implementation  of  the 
Specific  Programme,  setting  out  in  greater  detail  the  objectives  and  scientific  and 
technological  priorities  set  out  in  Annex  I,  the  funding  scheme  to  be  used  for  the 
topic which proposals are invited, and the timetable for implementation. 

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

The  Work  Programme  will  specify  the  criteria  on  which  proposals  for  indirect 
actions  under  the  funding  schemes  shall  be  evaluated  and  projects  selected.  The 
criteria  will  be  those  of  excellence,  impact  and  implementation  and  within  this 
framework  additional  requirements,  weightings  and  thresholds  may  be  further 
specified or complemented in the Work Programme. 

4. 

The Work Programme may identify: 

(a) 

organisations that receive subscriptions in the form of a membership fee 

(b) 

support actions for the activities of specific legal entities. 

Article 7 

1. 

2. 

3. 

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

The procedure laid down in Article 8(2) shall apply for the adoption of: 

(a) 

the Work Programme referred to in Article 6(1) 

(b) 

any adjustment to the indicative breakdown of the amount as set out in Annex 
II. 

The procedure laid down in Article 8(3) shall apply for the adoption of RTD actions 
involving the use of human embryos and human embryonic stem cells. 

1. 

The Commission shall be assisted by a Committee. 

Article 8 

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2. 

3. 

4. 

5. 

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

shall  apply, 

Where  reference  is  made  to  this  paragraph,  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,  and  shall  provide  it  with  information 
about all RTD actions funded under this programme. 

This Decision is addressed to the Member States. 

Done at Brussels,  

For the Council 
The President 

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ANNEX I 

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

INTRODUCTION 

This Specific Programme will enhance research and innovation capacities throughout Europe 
and ensure their optimal use. This aim will be achieved through: 

– 

– 

– 

– 

– 

– 

Optimising the use and development of research infrastructures 

Strengthening  innovative  capacities  of  SMEs  and  their  ability  to  benefit  from 
research 

Supporting the development of regional research-driven clusters 

Unlocking the research potential in the EU´s convergence and outermost regions 

Bringing  science  and  society  closer  together  for  the  harmonious  integration  of 
science and technology in European society; and 

Horizontal actions and measures in support of international cooperation. 

This Specific Programme will also support the coherent development of research policies. 

The principle of sustainable development and gender equality will be duly taken into account. 
Furthermore,  considerations  of  the  ethical,  social,  legal  and  wider  cultural  aspects  of  the 
research to be undertaken and its potential applications, as well as socio-economic impacts of 
scientific and technological development and foresight, will where relevant form a part of the 
activities under this Specific Programme. 

Actions  for  the  coordination  of  non-Community  programmes  may  be  undertaken  in  this 
Specific  Programme  making  use  of  the  ERA-NET  scheme  and  the  participation  of  the 
Community  in  jointly  implemented  national  research  programmes  (Treaty  Article  169)  as 
described in the Cooperation Specific Programme. 

Synergies  and  complementarity  will  be  sought  with  other  community  policies  and 
programmes  such  as  EU´s  regional  and  cohesion  policy,  the  Structural  Funds,  the 
Competitiveness  and  Innovation  programme  and  relevant  Education  and  Training 
Programmes. 

Coherent development of research policies 

The  activities  undertaken  in  this  part  will  support  the  coherent  development  of  research 
policies,  complementing  the  coordination  activities  under  the  Cooperation  programme,  and 
contributing  to  Community  policies  and  initiatives  (e.g.  legislation,  recommendations  and 
guidelines) that aim to improve the coherence and impact of Member States policies. 

These activities will contribute to the implementation of the Lisbon strategy, in particular to 
the  3%  investment  in  research  objective,  by  assisting  Member  States  and  the  Union  in 

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developing more effective research and development policies. The aim is to improve public 
research  and  its  links  with  industry,  foster  private  investment  in  research,  in  particular  by 
creating  appropriate  framework  conditions  by  strengthening  public  support  and  its  leverage 
effect on private investment. 

Activities will include17: 

•  Monitoring and analysis of research-related public policies and industrial strategies 

The objective is to provide information and analyses in support of the design, implementation, 
evaluation and trans-national co-ordination of public policies. This will include: 

– 

– 

– 

An  information  and  intelligence  service  (ERAWATCH)  to  support  evidence-based 
research policy making and to contribute to the realisation of the European Research 
Area (ERA) by providing a better understanding of the nature, constituent elements 
and evolution of national and regional research policies, initiatives and systems. This 
will  include  regular  analyses,  from  a  European  perspective,  of  issues  relevant  to 
research  policy  making,  notably:  factors  driving  the  evolution  of  research  systems 
and 
for  policies  and  governance  structures;  emerging 
issues/challenges and policy options; and a review at the European level of Member 
States’ progress towards ERA and the 3% objective. 

implications 

their 

An industrial research investment monitoring activity to provide a self-consistent and 
complementary source of information to help steer public policy and to allow firms 
to  benchmark  their  R&D  investment  strategies.  This  will  include  periodic 
scoreboards  of  firm-and  sector-level  R&D  investment,  surveys  of  private  R&D 
investment  trends,  analysis  of  factors  affecting  R&D  investment  decisions  and 
practices  of  firms,  analysis  of  economic  impacts,  and  assessment  of  policy 
implications. 

Development  and  analysis  of  indicators  on  research  activity  and  its  impact  on  the 
economy. This will include the preparation and publication of national and regional 
science  and  technology  key  figures  and  scoreboards  using  official  statistical 
indicators wherever  appropriate; the  assessment of the  strengths and weaknesses of 
Member States’ R&D systems; and the analysis of EU´s position and performance in 
scientific and technological research. 

These activities will be carried out in collaboration with the Joint Research Centre as well as 
through studies and expert groups. 

•  Coordination  of  research  policies,  including  trans-national  cooperation  initiatives 

undertaken at national or regional level on issues of common interest. 

The  aim  is  to  strengthen  the  coordination  of  research  policies  via  actions  to  support  (i)  the 
implementation  of  the  open  method  of  co-ordination  (OMC)  and  (ii)  bottom-up  initiatives 
undertaken by several countries and regions, involving where appropriate other stakeholders 
(including industry, European organisations and civil society organisations). 

17 

The activities related to strengthening and improving the European science system, such as questions of 
scientific advice and expertise and contributing to “better regulation”, are addressed by the Science in 
Society part of this Specific Programme. 

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22 

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These activities will address issues of common interest related to research and other relevant 
policies that should be mobilised for the realisation of the ERA and the attaining of the EU 
3%  research  investment  goal.  They  will:  contribute  to  the  development  of  more  effective 
national and regional policies through mutual learning and peer-review; encourage concerted 
or  joint  initiatives  between  groups  of  countries  and  regions  interested  in  areas  involving  a 
strong trans-national dimension or spill-over; and where appropriate, identify issues requiring 
complementary and mutually reinforcing action at Community and Member States level. 

Initiatives  undertaken  by  several  countries  and  regions  may  cover  activities  such  as  peer-
review  of  national  and  regional  policies,  exchange  of  experience  and  personnel,  joint 
evaluations  and  impact  assessments,  and  the  development  and  implementation  of  joint 
initiatives. 

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,  guidelines  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 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 

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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. 

Research on ethics related to scientific and technological developments will be carried out in 
the “Science in Society” part in this programme. 

1. 

RESEARCH INFRASTRUCTURES 

Objective 

Optimising  the  use  and  development  of  the  best  research  infrastructures  existing  in 
Europe,  and  helping  to  create  in  all  fields  of  science  and  technology  new  research 
infrastructures of pan-European interest (or major upgrades to existing ones) needed by 
the  European  scientific  community  to  remain  at  the  forefront  of  the  advancement  of 
research,  and  able  to  help  industry  to  strengthen  its  base  of  knowledge  and  its 
technological know how. 

Approach 

For Europe to become the most competitive and dynamic knowledge based economy in the 
world,  modern  and  effective  research  infrastructures  are  critical  in  achieving  science  and 
technology leadership. Research infrastructures play a key role in the creation of knowledge, 
in the diffusion of knowledge and its application and exploitation, thus fostering innovation. 
Access to them is more and more indispensable in all fields of science and technology. Many 
Research Infrastructures have evolved from large facilities dedicated almost exclusively to a 
specific  discipline,  into  service  facilities  for  a  broad  variety  of  scientific  communities. 
Enabled by information and communication technology, recent concepts of infrastructure are 
also  expanding  to  include  distributed  systems  of  hardware,  software  and  contents  with  an 
enormous cumulative value as repositories of knowledge in many diverse disciplines. 

The  proposed  action  will  in  particular  contribute  to  the  development,  exploitation  and 
preservation  of  knowledge,  through  its  support  to  research  infrastructures  based  both  on  a 
bottom-up,  excellence-driven  approach  and  a  targeted  approach.  The  strategic  upgrade  of 
information  and  communication  based  e-Infrastructures  is  also  seen  as  a  driver  in  changing 
the way science is conducted. 

The term “Research infrastructures” in the context of the Community Framework Programme 
for Research and Technological Development refers to facilities, resources or services that are 
needed  by  the  research  community  to  conduct  research  in  all  scientific  and  technological 
fields. This definition covers, including the associated human resources: 

– 

Major equipment or set of instruments used for research purposes; 

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– 

– 

– 

Knowledge-based  resources  such  as  collections,  archives,  structured  information  or 
systems related to data management, used in scientific research; 

Enabling Information and Communication Technology-based infrastructures such as 
Grid, computing, software and communications; 

Any other entity of a unique nature that is used for scientific research. 

Only research infrastructures or networks of research infrastructures with clear interest for the 
European scientific community (academic, public and industrial), in terms of performance and 
access, can be considered for support. They must contribute significantly to the development 
of European research capacities. 

Regarding thematic research infrastructures in the “Cooperation” Specific Programme, overall 
coordination will be ensured by this programme. 

Activities 

The activities will cover the following lines of action: 

– 

– 

– 

optimising  the  utilisation  of  existing  research  infrastructures  and  improving  their 
performance; 

foster the development of new research infrastructures (or major upgrades to existing 
ones)  of  pan-European  interest,  based  on  the  work  of  ESFRI  (European  Strategy 
Forum on Research Infrastructures); 

support measures including support to emerging needs. 

1.1. 

Existing research infrastructures 

The  research  infrastructure  actions  will  aim  at  strengthening  European  capacities  and 
performance  of  specific  research 
increasing  user  communities’ 
involvement  in  opportunities  offered  by  research  infrastructures  and  their  commitment 
towards  investment  in  top-level  research.  The  activities  will  consist  of  the  support  to  the 
effective  use  of  facilities,  resources  and  services  in  all  fields  of  science  and  technology 
through “Transnational Access” to infrastructures and of the support to an optimisation of the 
European Research Infrastructures through “Integration” of capacities and efforts. 

infrastructures,  and 

1.1.1.  Transnational Access 

World-class  research  infrastructures  need  huge  and  long-term  investments  in  resources 
(human  and  financial).They  should  be  used  and  exploited  by  an  as  large  as  possible 
community  of  scientist  and  customer  industries  on  a  European  scale.  The  EU  should 
contribute to this objective through the promotion of Transnational Access. This is intended 
to  open  new  opportunities  for  research  teams  to  obtain  access  to  the  best  research 
infrastructures, including research teams, from peripheral and outermost regions. This access 
may  be  made  available  to  external  users,  either  in  person  ("hands-on")  or  by  suitable 
electronic  communications.  It  may  also  take  the  form  of  provision  of  remote  scientific 
services. This will be implemented through “bottom-up” calls for proposals open to all fields 
of science and technology without any preference for one field over another. 

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1.1.2. 

Integrating Activities 

The  optimisation  and  reinforcement  of  the  Research  Infrastructures  capacities  and 
performance  at  EU  level  need  to  be  continuously  promoted  and  improved  to  respond  to 
emerging and growing scientific needs. This can be better achieved through the stimulation of 
their use and development, including upgrades, in a coordinated way. 

Integrating activities for existing research infrastructures will be implemented through: 

– 

– 

“bottom-up” calls to catalyse the mutual co-ordination and the pooling of resources 
among  infrastructures  operators  with  the  aim  of  fostering  a  culture  of  cooperation 
between  them.  Such  activities  should  also  aim  at  structuring  better,  on  a  European 
scale, the way research infrastructures operate, at fostering their joint development in 
terms  of  capacity  and  performance,  and  at  promoting  their  coherent  and  cross-
disciplinary use; 

“targeted  calls”  when  such  focused  actions  will  be  clearly  beneficial  to  support 
potentially important research infrastructures in the long term, and speeding up their 
emergence  at  EU  level.  They  will  be  implemented  in  close  cooperation  with  the 
activities taking place in the thematic areas to ensure that all the actions undertaken 
at  European  level  in  the  EU  framework  respond  to  the  needs  for  research 
infrastructures in their respective area. Domains can already be identified18 for better 
use  and  strengthening  of  existing  European  infrastructures,  fulfilling  long-term 
strategic  needs  of  academic,  public  and  industrial  research  stakeholders  and  the 
society  at  large,  such  as  for  life  sciences  and  its  applications,  information  and 
communication  technologies,  the  development  of  industrial  research  including 
metrology,  support  for  sustainable  development  and  in  particular  in  the  area  of 
environment, and for social sciences and humanities. 

1.1.3. 

ICT based e-Infrastructures 

The deployment of e-Infrastructures provides persistent services to the research communities 
based upon complex processes designed to bring the power of distributed ICT based resources 
(computing,  connectivity,  instrumentation)  to  virtual  communities.  The  reinforcement  of  a 
European approach and of related European activities in this domain can make a significant 
contribution  to  boosting  European  research  potential  and  its  exploitation,  consolidating  e-
Infrastructures  as  a  cornerstone  of  the  European  Research  Area,  a  “forerunner”  of  cross 
discipline  innovation  and  a  driver  in  changing  the  way  science  is  conducted.  It  may  also 
contribute to integrate research teams from peripheral and outermost regions. 

The activities proposed for e-Infrastructure, based on targeted calls for proposals, will aim at 
fostering  the  further  development  and  evolution  of  high-capacity  and  high-performance 
communication (GÉANT) and grid empowered infrastructures as well as of  European high-
end  computing  capabilities  stressing  the  need  to  support  the  reinforcement  of  world  class 
distributed  supercomputing  facilities,  data  storage  and  advanced  visualisation  facilities.  The 
activities will also aim at fostering the adoption by user communities, enhancing their global 
relevance  and  increasing  the  level  of  trust  and  confidence,  building  on  the  achievements  of 
GÉANT and Grid infrastructures. 

18 

Also identified by ESFRI. 

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It  will  be  necessary  to  support  in  a  coordinated  way  digital libraries,  archives,  data  storage, 
data curation and the necessary pooling of resources, at European level, to organise the data 
repositories for the scientific community and future generations of scientists. The aspects of 
enhanced trust and confidence of e-Infrastructures will be addressed. The activities proposed 
will also aim at anticipating and integrating new requirements and solutions to facilitate the 
emergence of large scale test-beds designed to experiment with new disruptive technologies 
and  to  address  new  user  requirements,  including  e-learning.  The  eIRG  (e-Infrastructure 
Reflection Group) will assist on a regular basis with strategic recommendations. 

1.2. 

New research infrastructures 

This Specific Programme will help to promote the creation of new research infrastructures (or 
major upgrade of existing ones) focusing on “unique” infrastructures with a crucial and pan-
European impact for the development of relevant scientific fields in Europe. 

1.2.1.  Design Studies for new research infrastructures 

To promote the creation of new research infrastructures, though a bottom-up approach of calls 
for proposals, by funding exploratory awards and feasibility studies for new infrastructures. 

1.2.2. 

Support to construction of New Infrastructures 

To  promote  the  creation  of  new  research  infrastructures  based  on  the  work  conducted  by 
ESFRI  on  the  development  of  a  European  roadmap  for  new  research  infrastructures.  The 
Commission  will  identify  priority  projects  to  which  a  possible  EC  support  could  be  given 
under the Framework Programme. 

The activity related to the construction of new infrastructures will be implemented in a two-
stage approach: 

•  Stage 1: Supporting the preparatory phase 

This  first  stage  will  involve  calls  restricted  to  the  priority  projects  identified  by  the 
Commission.  The  preparatory  phase  would  involve  the  finalisation  of  the  detailed 
construction plans, of the legal organisation, of the management and multi-annual planning of 
the  forecasted  research  infrastructure  and  the  final  agreement  between  stakeholders.  During 
this  preparatory  phase  the  European  Commission  will  act  as  a  “facilitator”,  in  particular,  in 
facilitating financial engineering mechanisms for the construction phase. 

•  Stage 2: Supporting the construction phase 

In  the  second  stage,  building  on  the  achieved  technical,  legal,  administrative  and  financial 
agreements, using notably the complementarity between national and Community instruments 
(such as the Structural funds or the European Investment bank), the construction plans would 
be  implemented.  The  Framework  Programme  financial  support  for  the  construction  phase 
may be provided to those priority projects for which there is a critical need for such support. 
In  these  cases,  decisions  will  be  taken  through  a  mechanism  that  will  depend  on  the  nature 
and  the  level  of  funding  required  (e.g.,  direct  grant;  European  Investment  Bank  loans,  the 
access  to  which  may  be  facilitated  through  the  Risk  Sharing  Finance  Facility  (Annex  III); 
Article 171). 

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1.3. 

Support Measures, including support to emerging needs 

Strong  coordination  within  the  EU  in  formulating  and  adopting  a  European  policy  on 
Research  Infrastructures  is  key  to  the  success  of  this  activity.  Throughout  the  whole 
programme  there  will  therefore  be  measures  to  support  such  coordination,  including 
supporting the development of international cooperation. 

These activities would be carried out mainly following a continuously and ‘bottom-up’ open 
call. They would be aimed at supporting analysis of emerging needs, at supporting the work 
of  ESFRI  and  eIRG,  at  the  effective  implementation  of  the  programme  (e.g.  supporting 
conferences,  expert  contracts,  impact  studies,  etc.)  as  well  as at  supporting  the  international 
dimension  of  the  activities  carried  out  under  this  Specific  Programme  and  spreading  of 
European  excellence  at  international  level.  In  the  context  of  international  cooperation,  the 
activities  carried  out  under  this  specific  part  of  the  capacity  programme  will  also  allow  to 
identify  the  needs  of  specific  third  countries  and  mutual  interests  on  which  specific 
cooperation actions could be based and, on the basis of targeted calls, to develop cross-links 
between  key  research  infrastructures  in  third  countries  and  those  within  the  European 
Research Area. 

2. 

RESEARCH FOR THE BENEFIT OF SMES 

Objectives 

Strengthening the innovation capacity of European SMEs and their contribution to the 
development of new technology based products and markets by helping them outsource 
research, increase their research efforts, extend their networks, better exploit research 
results and acquire technological know how. 

Approach 

SMEs  are  at  the  core  of  European  industry.  They  should  be  a  key  component  of  the 
innovation  system  and  in  the  chain  of  transformation  of  knowledge  into  new  products, 
processes  and  services.  Faced  with  an  increasing  competition  in  the  internal  market  and 
globally,  European  SMEs  need  to  increase  their  knowledge  and  research  intensity,  expand 
geographically  their  business  activities  and  internationalize  their  knowledge  networks.  All 
Member States have actions relevant to SMEs, but often they do not encourage and support 
trans-national research cooperation and technology transfer. Actions at EU level are necessary 
to complement and enhance the impact of actions undertaken at national and regional level. 

Specific  actions  will  be  implemented  to  support  SMEs  or  SME  associations  in  need  of 
outsourcing research to universities and research centres (“RTD performers”). These actions 
will be carried out in the entire field of science and technology. The evaluation of the project 
proposals  will  take  due  account  of  the  expected  economic  impact  for  the  SMEs.  Financial 
means  will  be  allocated  through  two  schemes:  Research  for  SMEs  and  Research  for  SME 
associations.  The  first  targets  mainly  low  to  medium  technology  SMEs  with  little  or  no 
research  capability,  but  also  research  intensive  SMEs  who  need  to  outsource  research  to 
complement  their  core  research  capability.  The  second  targets  SME  associations  which  are 
normally best placed to know or identify the common technical problems of their members, to 
act on their behalf, and to promote the effective dissemination and take-up of the results. 

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In  addition  to  these  specific  actions,  the  participation  of  SMEs  across  the  Framework 
Programme will be encouraged and facilitated. The research needs and potential of SMEs are 
duly taken into account in developing the content of the thematic areas of the “co-operation” 
programme,  which  will  be  implemented  through  projects  of  different  sizes  and  scope 
depending on the field and topic. 

During the implementation of the Community RTD Framework Programme, complementarity 
and  synergy  will  be  ensured  with  the  actions  of  the  Competitiveness  and  Innovation 
Framework  Programme  to  encourage  and  facilitate  the  participation  of  SMEs  in  the 
Community RTD Framework Programme. 

Activities 

The following two SME specific schemes will be implemented: 

•  Research for SMEs 

This scheme supports small groups of innovative SMEs to solve common or complementary 
technological  problems.  Projects,  which  are  relatively  short  term,  must  be  centred  on  the 
innovation  needs  of  the  SMEs  which  outsource  research  to  RTD  performers  and  must 
demonstrate a clear exploitation potential for the SMEs concerned. 

•  Research for SME associations 

This scheme supports SME associations to develop technical solutions to problems common 
to  a  large  number  of  SMEs  in  specific  industrial  sectors  or  segments  of  the  value  chain 
through  research  needed,  for  example,  to  develop  or  conform  to  European  norms  and 
standards,  and  to  meet  regulatory  requirements  in  areas  such  as  health,  safety  and 
environmental protection. Projects, which can have a duration of several years, must be driven 
by the SME associations which outsource research to RTD performers for the benefit of their 
members and must involve a number of individual SMEs. 

Common features of the schemes 

– 

– 

Other enterprises and end-users can participate in the schemes if it is in the interest of 
the SMEs or the SME associations. 

In addition to research, the projects should include activities to promote the take-up 
and  effective  exploitation  of  the  research  results,  such  as,  testing,  demonstration, 
training,  technology  transfer,  knowledge  management  and  IPR  protection.  For 
Research for SME associations, projects should also include activities to disseminate 
effectively  the  research  results  to  the  members  of  the  SME  associations,  and  if 
appropriate, more widely. 

– 

Special rules will apply for ownership and access rights for the two schemes. 

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3. 

REGIONS OF KNOWLEDGE 

Objectives 

Strengthening the research potential of European regions, in particular by encouraging 
and supporting the development, across Europe, of regional “research-driven clusters” 
associating  regional  authorities,  universities,  research  centres,  enterprises  and  other 
relevant stakeholders. 

Approach 

Regions  are  increasingly  recognised  as  important  players  in  the  EU's  research  and 
development  landscape.  At  the  same  time  evidence  indicates  that  investment  in  R&D 
improves regional attractiveness while  increasing  competitiveness of  local  businesses.  R&D 
intensive clusters rang among the best drivers of such investment activity resulting in direct 
gains in local competitive advantage with beneficial effects in terms of growth and jobs. The 
2003 Pilot Action Regions of Knowledge19  confirmed  the  importance  of  such  clusters  and 
the interest to support and encourage their development. 

This  action  will  enable  European  regions  to  strengthen  their  capacity  for  investing  in  RTD, 
while  maximising  their  potential  for  a  successful  involvement  of  their  stakeholders  in 
European  research  projects.  Increased  and  more  focused  use  of  Structural  Funds  for  R&D 
investment and activities will be also pursued by improving synergies between Regional and 
Research  Policies  primarily  by  producing  regional  research  strategies  which  regional 
authorities can integrate into their economic development strategy. 

“Regions  of  Knowledge”  aims  at  supporting  the  definition  and  implementation  of  optimal 
policies  and  strategies  for  the  development  of  R&D  driven  clusters.  In  particular  it  will 
improve  the  relevance  and  effectiveness  of  regional  research  agendas  through  mutual 
learning;  promote  and  strengthen  cooperation  between  clusters;  and  contribute 
to 
strengthening the sustainable development of existing R&D driven clusters as well as foster 
the  creation  of  new  ones.  Support  will  be  provided  in  particular  for  demand-driven  and 
problem-oriented projects addressing specific technological areas or sectors20. 

This action will apply to all regions, including Convergence21 ones. 

Activities 

Projects  would  normally  involve  regional  authorities,  regional  development  agencies, 
universities, research centres, and industry as well as where appropriate technology transfer, 
financial  or  civil  society  organisations.  Regions  of  Knowledge  projects  will  cover  the 
following activities: 

19 

20 
21 

A  pilot  action  on  “Regions  of  Knowledge”  was  introduced  into  the  2003  Community  budget  at  the 
initiative  of  the  European  Parliament.  This  was  followed  by  another  Call  for  proposals  under  the  6th 
Community FP for RTD (2004) under the “Coherent development of policies” programme. 
This does not exclude the combination of different technological areas where relevant. 
Convergence regions are those set out in Article 5 of the proposal for a Council Regulation laying down 
general  provisions  on  the  European  Regional  Development  Fund,  the  European  Social  Fund  and  the 
Cohesion Fund - COM(2004) 492. This includes “convergence” objective regions, regions eligible for 
funding from the Cohesion fund, and outermost regions. 

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•  Analysis,  development  and  implementation  of  research  agendas  of  regional  clusters 
and cooperation between them. These will include analysis as well as an implementation 
plan focusing on R&D capacity and priorities. Projects shall use foresight, benchmarking 
or  other  methods,  demonstrating  expected  benefits,  such  as  strengthened  links  between 
clusters involved, optimised involvement in European research projects and higher impacts 
on regional development. 

•  “Mentoring” of regions with a less developed research profile by highly developed ones 
based on R&D focused cluster building. Transnational regional consortia will mobilise and 
associate  research  actors  in  academia,  industry  and  government  to  deliver  “guidance” 
solutions with and for technologically less developed regions. 

•  Initiatives  to  improve  integration  of  research  actors  and  institutions  in  regional 
economies,  through  their  interactions  at  cluster  level.  These  will  include  transnational 
activities  to  improve  links  between  research  stakeholders  and  the  local  business 
communities as well as relevant activities between clusters. 

Support  will  also  be  provided  to  activities  to  promote  systematic  mutual  information 
exchange as well as interactions between similar projects and where appropriate, with actions 
of  other  relevant  Community  programmes  (e.g.  analysis  and  synthesis  workshops,  round-
tables, publications). 

4. 

RESEARCH POTENTIAL 

Objective 

Stimulating  the  realisation  of  the  full  research  potential  of  the  enlarged  Union  by 
unlocking  and  developing  the  research  potential  in  the  EU´s  convergence  regions  and 
outermost  regions,  and  helping  to  strengthen  the  capacities  of  their  researchers  to 
successfully participate in research activities at EU level. 

Approach 

In  order  to  support  the  realisation  of  the  full  research  potential  of  the  enlarged  Union,  a 
dedicated  action  will  seek  to  unlock  the  potential  of  research  groups,  in  particular  in  the 
convergence  regions  and  outermost  regions  of  the  European  Union,  that  are  currently  not 
using their possibilities to the full or that are in need of new knowledge and support to realise 
their  potential.  The  actions  will  very  much  build  on  past  and  existing  measures  such  as  the 
European Centres of Excellence in the then Acceding and Candidate Countries in the 5th FP 
and  Marie  Curie  Host  fellowships  for  Transfer  of  Knowledge.  They  will  also  complement 
efforts to be undertaken by the European Social Fund under the new Cohesion Policy (2007-
2013)  focusing  on  developing  human  potential  for  research  at  national  level  in  the  eligible 
areas. 

By  focussing  on  the  strengthening  and  expansion  of  the  collaborations  of  such  research 
groups with research centres in other EU countries an important contribution will be given to 
unlocking  their  potential  and  with  that  to  their  long  term  sustained  development.  Through 
optimising  their  international  exposure  and  recognition,  leadership  potential  and  quality  of 
their scientists, the visibility of these research groups will be increased and their participation 
in the European Research Area facilitated. 

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Activities 

The  action  will  favour  in  particular  strategic  partnerships,  including  twinning,  between 
research groups both from public and private sector, in the convergence regions or outermost 
regions of the EU, selected on the basis of quality and high potential, with well established 
research groups elsewhere in Europe. Particular emphasis will be put on the expected longer-
term effects of the partnership both at EU and regional level. With a view to realising their 
full potential (i.e. to strengthen their knowledge, to develop additional competence including 
in research management, or to gain visibility), the action will comprise support to the selected 
research groups in the qualifying regions in the frame of the research programmes developed 
within the strategic partnerships for: 

•  Exchange  know-how  and  experience  through  trans-national  two-way  secondments  of 
research  staff  between  the  selected  centres  in  the  qualifying  regions  and  one  or  more 
partner organisations in another EU State, with in-built obligatory return mechanisms for 
seconded staff originating from the selected centres in the qualifying regions; 

•  The  recruitment  by  the  selected  centres  of  incoming  experienced  researchers  for 
involvement in transfer of knowledge and/or in the training of researchers, including as a 
means to particularly encourage the return of nationals having left the country; 

•  The acquisition and development of certain research equipment for the selected centres; 

•  The organisation of workshops and conferences to facilitate knowledge transfer at national 
and international level involving both the selected centres’ own research staff and invited 
researchers, from other countries in the frame of the development of the selected centres’ 
international  training  capacity  and  reputation;  participation  of  the  research  staff  of  the 
centres  selected  under  the  scheme  at  international  conferences  or  short  term  training 
events,  for  knowledge  sharing,  network  building  and  to  expose  them  to  a  more 
international environment; 

•  Dissemination  and  promotional  activities  to  ensure  increased  visibility  of  the  selected 

centres and their activities. 

In  addition,  and  independently  of  this  support  measures,  the  action  will  provide  evaluation 
facilities through which any research centre in the qualifying regions, whether or not applying 
for  funding,  can  obtain  an  international  independent  expert  evaluation  of  the  level  of  their 
overall  research  quality  and  infrastructures.  This  evaluation  would  be  carried  out  by  high-
level, independent international experts nominated by the Commission. 

5. 

SCIENCE IN SOCIETY 

Objective 

With  a  view  to  building  an  effective  and  democratic  European  Knowledge  society,  the 
aim is to stimulate the harmonious integration of scientific and technological endeavour 
and associated research policies in the European social web. 

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Approach 

“Science  in  society”  represents  a  significant  expansion  and  extension  of  the  pilot  work 
undertaken  in  the  Sixth  Framework  Programme,  commensurate  with  the  raised  ambition  of 
the European research policy. 

The  development  of  European  societies  largely  depends  on  their  capacity  to  create,  exploit 
and  disseminate  knowledge  and,  from  there,  to  continuously  innovate.  Scientific  research 
plays  a  major  role  in  this  regard,  and  should  continue  being  one  of  the  driving  forces  in 
promoting growth, welfare and sustainable development. 

To  achieve  this  aim,  it  is  imperative  that  a  social  and  cultural  environment  conducive  to 
successful  and  exploitable  research  is  created.  This  means  that  legitimate  societal  concerns 
and needs are taken on board, entailing an enhanced democratic debate with a more engaged 
and informed public, and better conditions for collective choices on scientific issues. It should 
also establish a climate favourable to scientific vocations, a new surge of research investments 
and the subsequent dissemination of knowledge upon which the Lisbon strategy is built. 

This  section  of  the  Capacities  programme  will  then  focus  on  the  development  of  a  set  of 
conditions  by  which  such  a  conducive  environment  becomes  the  norm  rather  than  the 
exception in Europe. 

The risk of a scientific divide within our societies needs to be addressed in the first place. It 
separates  those  who  do  not  have  access  to  relevant  knowledge  from  the  few  who  do;  those 
who do not have the capacity to influence policy-making in research from those who do have 
this  capacity.  This  leads  to  the  ambiguous  feelings  expressed  by  citizens  regarding  the 
potential  benefits  from  science  and  technology,  and  their  effective  subordination  to  public 
scrutiny.  On  the  one  hand,  they  readily  invite  more  research  to  address  the  outstanding 
problems of the present time (diseases, pollution, epidemics, unemployment, etc) and to better 
anticipate their possible impacts in the future. On the other hand, they cannot help showing 
distrust for certain uses of science and possible interferences of vested interests in decision-
making processes. 

Among the causes for an often less than satisfactory integration of science in society are the 
following: 

•  insufficient  public  participation  in  priority-setting  and  in  establishing  science  policy 
directions,  which  would  allow  a  wider  debate  on  possible  associated  risks  and 
consequences, 

•  growing reservations with regard to certain scientific developments, the feeling of lack of 

control, and open questions concerning the respect of fundamental values, 

•  the perceived isolation of the world of science from the everyday realities of economic and 

social life, 

•  questioning the objectivity of scientific evidence made available to public policy-making. 

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33 

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The chosen approach aims to: 

–  render more inclusive and transparent the mechanisms for access to, and validation of the 

expertise necessary to underpin more robust policies, 

–  set landmarks for an ethically sound research endeavour in the light of fundamental rights, 

–  allow Europe to play a more active role on the world stage, in the debate and promotion of 

shared values, equal opportunities and societal dialogue, 

–  bridge  the  gap  between  those  who  have  a  scientific  education  and  those  who  do  not, 
promote  a  taste  for  scientific  culture  in  the  direct  neighbourhood  of  all  citizens  (calling 
upon cities, regions, foundations, science centres, etc.), 

–  encourage a societal dialogue on research policy, and stimulate civil society organisations 

to become more involved in research activities, 

–  provide  an  image  of  science  and  researchers  which  is  meaningful  to  all,  especially  to 

young people, 

–  help  women  to  continue  to  progress  in  scientific  careers  and  better  use  their  scientific 

talents for the benefit of all, 

–  renew science communication, favouring modern means to achieve higher impact, helping 

scientists to work closely with media professionals. 

‘Science in Society’ will be implemented through: 

•  Policy-related actions and research supported directly from this theme; 

•  Cooperation between Member States, identifying common goals, and reinforcing national 

practices, in the spirit of the open method of co-ordination; 

•  Promoting, supporting and monitoring the uptake and impact of ‘Science in Society’ issues 
in other parts of the Framework Programme22. The overall coordination of issues related to 
Science  in  Society  both  across  the  Framework  Programme  and  within  other  relevant 
Community activities (e.g. relating to education and culture) will be ensured by this theme. 

Three action lines will be pursued. 

First action line: A more dynamic governance of the science and society relationship 

•  Strengthening and improving the European science system 

There  is  such  an  expectation  placed  upon  the  European  science  system  to  sustain  our 
innovation  potential  that  society  must  gain  a  deeper  insight  into  its  constituents,  its  own 
economy, its regulations and its habits. Three aspects of broad significance, focusing on the 
actors and dynamics of the European Research Area, will be tackled. 

22 

Include the running of the ethical review procedures for proposals addressing sensitive issues under the 
‘Cooperation’ specific programme. 

EN 

34 

   EN 

 
                                                 
–  improving the use, and monitoring the impact, of scientific advice and expertise for policy-
making in Europe, and developing practical tools and schemes (e.g. electronic networks) 

–  promoting trust and self-regulation in the scientific community 

–  encouraging the debate on information dissemination, including access to scientific results 

and the future of scientific publications. 

•  Broader engagement to anticipate and clarify political, societal and ethical issues 

Society’s  aspirations  and  concerns,  and  fundamental  ethical  principles,  need  to  be  better 
integrated  throughout  the  research  process,  creating  a  more  secure  and  constructive 
environment for researchers and for society as a whole. Two aspects come into play: 

–  Broader engagement on science-related questions 

–  Conditions for an informed debate on ethics and science 

•  Better understanding of the place of science and technology in society 

In order to address the relationship between science and society through sound policies, the 
knowledge  accumulated  in  the  history,  sociology  and  philosophy  of  sciences  needs  to  be 
expanded,  consolidated  and  spread  at  European  level.  To  this  end,  scholars  from  these 
disciplines  should  form  networks  to  structure  research  and  debates  capable  of  revealing  the 
real  participation  of  science  in  building  a  European  society  and  identity,  stressing  in 
particular: 

–  Relationships between science, democracy and law 

–  Research on ethics in science and technology 

–  The reciprocal influence of science and culture 

–  The role and the image of scientists 

•  The evolving role of universities 

Work will aim at supporting the appropriate reforms enabling universities to fully play their 
role  in  the  creation,  dissemination  and  sharing  of  knowledge,  together  with  industry  and 
society  at  large  (in  line  with  Community  initiatives  on  university-based  research).  The 
emphasis will be on: 

–  Defining better framework conditions for more efficient university research 

–  Promoting  the  establishment  of  structured  partnerships  with  the  business  sector,  having 

regard to universities’ research management capacities 

–  Reinforcing the knowledge sharing between universities and society at large 

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35 

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Second action line: Strengthening potential, broadening horizons 

•  Gender and research 

Based  on  policy  orientations  contained  in  the  Commission  staff  working  paper  and  Council 
conclusions23  and  other  relevant  EU  policy  orientations,  a  framework  for  positive  actions 
will be implemented to reinforce the role of women in scientific research, and to enhance the 
gender  dimension  of  research.  This  framework  will  provide  the  context  for  policy  debate, 
monitoring, co-ordination and underpinning research. It will comprise: 

–  Strengthening the role of women in scientific research 

–  Gender dimension of research 

–  Mainstreaming gender in EU research policy and programmes 

•  Young people and science 

Activities  will  be  designed  to  attract  more  people  into  scientific  careers,  foster  links  across 
generations,  and  raise  the  level  of  scientific  literacy  generally.  European  exchanges  and 
cooperation  will  concentrate  on  science  teaching  methods  adapted  to  young  audiences,  the 
support  to  science  teachers  (concepts,  materials),  developing  the  linkages  between  schools 
and  professional  life.  In  addition,  events  with  a  broad  European  scope  may  be  supported 
which  bring  together  distinguished  scientists  –  as  “role  models”  –  and  aspiring  young 
scientists.  Underpinning  research  will  be  addressed,  taking  into  account  social  contexts  and 
cultural values. Three aspects have been retained: 

–  Supporting formal and informal science education in schools 

–  Reinforcing links between science education and science careers 

–  Research and coordination actions on new methods in science education 

Third action line: Science and society communicate 

Activities will promote effective two-way communication channels that enable the public to 
engage with science, and scientists to engage with the public. The approach will favour closer 
cooperation  and  exchange  of  best  practice  between  scientists  and  media  professionals,  but 
also  a  greater  involvement  of  target  groups,  namely  young  people,  researchers  going  to  the 
public, and the specialised press. The effort will focus on: 

–  Provision of reliable and timely information to the scientific press, including support to the 

development of a European scientific press resource facility 

–  Training actions to bridge the gap between the media and the scientific community 

–  Encouraging a European dimension at science events targeting the public 

23 

‘Women and science: excellence and innovation- gender equality in science’ - SEC(2005) 370; Council 
conclusions of 18 April 2005. 

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36 

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–  Promotion  of  science  by  audio-visual  means  via  European  co-productions  and  the 

circulation of science programmes 

–  Promotion of excellent trans-national research and science communication by the means of 

popular Prizes 

–  Research aimed at enhancing science communication in its methods and its products. 

6. 

ACTIVITIES OF INTERNATIONAL COOPERATION 

Objective 

To  become  competitive  and  play  a  leading  role  at  world  level,  the  European  Community 
needs a strong and coherent international science and technology policy. 

This international policy has two interdependent objectives: 

–  To support European competitiveness through strategic partnerships with third countries in 
selected fields of science and by engaging the best third country scientists to work in and 
with Europe 

–  To address specific problems that third countries face or that have a global character, on 

the basis of mutual interest and mutual benefit. 

Approach 

In order to identify and establish the priority areas of research of mutual interest and mutual 
benefit  with  targeted  third  countries  (International  Cooperation  Partner  Countries24)  for  the 
specific  international  cooperation  actions  of  the  Cooperation  Specific  Programme,  ongoing 
policy dialogues and partnership networks will be enhanced with the different regions in these 
third  countries  to  provide  input  to  help  implement  these  actions.  Coherence  of  national 
activities  on  international  scientific  cooperation  will  be  enhanced  by  supporting  the  co-
ordination  of  national  programmes  (Member  States,  Candidate  and  associated  countries) 
through multilateral co-ordination of national RTD  policies and  activities. Cooperation with 
third  countries  in  the  Framework  Programme  will  be  targeted  in  particular  at  the  following 
groups of countries25: 

–  Candidate countries26 

–  Mediterranean partner countries (MPC), Western Balkans countries (WBC) as well as the 

Eastern European, Caucasus and Central Asian countries27 (EECCA) 

–  Developing countries 

24 
25 
26 

27 

See Rules for participation 
This includes third countries neighbouring the outermost regions. 
For  fully  associated  Candidate  Countries  actions  will  be  limited  to  specific  actions  to  facilitate  and 
promote their integration in the framework programme. 
Armenia,  Azerbaijan,  Belarus,  Georgia,  Kazakhstan,  Kyrgyz  Republic,  Moldova,  Russia,  Tajikistan, 
Turkmenistan, Ukraine and Uzbekistan. 

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37 

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–  Emerging economies. 

The  theme-oriented  international  cooperation  research  actions  are  carried  out  under  the 
Cooperation Specific Programme. The international actions in the area of human potential are 
carried  out  under  the  People  Specific  Programme.  The  horizontal  support  activities  of 
international  cooperation  are  described  in  this  programme.  The  overall  coordination  of  the 
international cooperation actions under the different programmes will be ensured. 

Activities 

The main activities to develop jointly agreed international scientific cooperation policies are: 

•  Regional priority setting and definition of S&T Cooperation policies 

EU  S&T  cooperation  for  priority  setting  will  be  based  on  a  comprehensive  policy  dialogue 
with  partner  countries  and  regions  in  recognition  of  their  socio-cultural  conditions  and 
research capacities. This dialogue for S&T cooperation is carried out at multiple levels, such 
as  through  international  fora  (the  various  UN  conventions),  institutionalised  bi-regional 
dialogues28  including:  Asia-Europe  Meetings  (ASEM);  Latin  America,  Caribbean  and  EU 
(ALCUE);  the  Mediterranean  and  Western  Balkan  Partnerships;  the  EU-ACP  (African, 
Caribbean and Pacific) States and Eastern Europe, Caucasus & Central Asia29, and bilateral 
and multilateral agreements as well as through informal trans-regional meetings of scientists 
and other societal partners. 

The  highest  priority  will  be  given  to  the  strengthening  of  bi-regional/bilateral  dialogues  to 
guide  and  set  the  framework  for  international  S&T  cooperation  and  joint  identification  of 
research  areas  for  mutual  interest  and  benefit.  Such  dialogue  and  partnership  in  S&T 
constitutes the most effective way of achieving globally and mutually agreed objectives, with 
respect  to  regional  and  country  level  specific  needs.  Consequently,  international  S&T 
cooperation  in  the  Framework  Programme  will  be  governed  in  a  coherent  way  through 
integrated  research  policy  formulation  resulting  from  these  dialogues  and  from  S&T 
agreements30. 

These initiatives will be implemented through specific international cooperation activities that 
will  develop  the  bi-regional  dialogue  in  close  consultation  with  Member  States,  Associated 
Countries and International Cooperation Partner Countries. 

This  priority  setting  and  the  definition  of  S&T  Cooperation  policies  will  have  direct  and 
measurable impacts on the other activities foreseen for International S&T Cooperation under 
the  Capacities  Specific  Programme,  namely:  enhancement  and  development  of  S&T 
Agreements,  S&T  Cooperation  Partnerships  and  a  positive  synergistic  effect  on  the 
coordination of national policies and activities on international S&T cooperation. 

28 

29 

30 

Bi-regional  dialogue  means  in  this  context  the  dialogue  between  the  Member  States,  the  EC  and  the 
third countries concerned 
Which also could involve the International Science and Technology Centre (ISTC) and the Science and 
Technology Centre (STCU). 
Considering the Community’s interests, agreements have been concluded with all major industrialised 
or emerging economy partners, and with almost all countries included in the European Neighbourhood 
Policy. 

EN 

38 

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Within  the  framework  of  S&T  Agreements,  in  accordance  with  the  defined  priorities,  the 
identification of new, emerging elements deserving actions and endorsement at political level 
to be implemented by the themes will be given priority. 

In addition, the participation of scientists in national research programmes of third countries 
will allow the full exploitation of the possibilities of the S&T Agreements and will allow the 
scientists  to  acquire  knowledge  of  third  country  research  systems  and  their  cultures  in  a 
reciprocal  way.  For  this,  the  Framework  Programme  will  cover  the  cost  of  research 
participation  of  scientists  from  Member  States  and  associated  countries  in  the  national 
research programmes  of the third countries where there is mutual interest and benefit. Such 
collaboration will take place on a competitive basis. 

The joint projects  developed within above dialogues and S&T cooperation Agreements  will 
be  needs-driven  and  will  have  significant  size  in  terms  of  partnerships,  competences  and 
financing as well as having an important socio-economic impact. The projects will be targeted 
specifically on the priorities identified through the policy dialogue of S&T cooperation within 
the  regional  fora,  and  there  will  be  specific  calls  per  region  or  groups  of  International 
Cooperation  Partner  Countries.  The  output  of  these  dialogues  will  contribute  to  the 
determination of the priorities and needs for the specific international cooperation actions in 
the different themes in the Cooperation Specific Programme. 

•  Enhancement  and  development  of  S&T  Cooperation  Partnerships 

including 

structural activities and networks 

The  realisation  of  identified  priorities  will  be  further  elaborated  and  turned  into  actions  by 
setting up equitable S&T Cooperation Partnerships regrouping multiple stakeholders (partners 
from  research,  industry,  government  and  civil  society)  for  research  capacity  building  and 
research  actions.  These  have  proven  to  be  the  most  suitable  mechanism  to  mobilise  the 
strengths  of  these  partners  synergistically.  These  Partnerships  will  require  pluridisciplinary 
approaches to tackle diverse needs on a global, regional and/or country level. 

The  development  of  S&T  Partnerships  will  be  based  on  bi-regional  leadership  and 
coordination  of  political  initiatives  in  defined  priority  areas.  These  will  be  operated  by 
steering groups composed by a limited number of representatives from each region, open to 
all  partners  in  the  regions  concerned,  taking  into  account  their  interests  and  research 
capacities.  These  partnerships  will  promote  joint  research  activities  and  permanent  policy 
dialogue  on  the  efficiency  and  effectiveness  of  the  cooperation  implemented  as  well  as  on 
identification of future needs. 

•  Supporting  coordination  of  national  policies  and  activities  on  international  S&T 

cooperation 

In  order  to  promote/encourage  an  effective  and  efficient  international  scientific  EU 
cooperation strategy at EU level, a continuous coordination of national policies is essential to 
realise commitments undertaken through the S&T bi-regional and bilateral dialogues. 

This  coordination  will  reinforce  the  efficiency  and  impact  of  the  ongoing  bilateral  S&T 
cooperation  initiatives  between  Member  States  and  International  Cooperation  Partner 
Countries  and  enhance  the  positive  synergies  between  them.  It  will  also  enhance 
complementarities between Community and Member States S&T cooperation activities. 

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39 

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Furthermore it will support the implementation of a “shared vision” by facilitating innovative 
programmatic  approaches  and  working  more  closely  among  and  with  Member  States  in 
developing and implementing a coherent cooperation in EU science and technology. 

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40 

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ANNEX II 

INDICATIVE BREAKDOWN OF THE AMOUNT 

The indicative breakdown among programmes is as follows (in EUR million): 

Capacities 

Research Infrastructures* 

Research for the benefit of SMEs** 

Regions of Knowledge 

Research Potential 

Science in Society*** 

Activities of International Cooperation 

TOTAL 

3 961

1 901

158

554

554

358

7 486

* 
Interest income on this contribution shall be added to the grant to the European Investment Bank. 

Including  a  contribution  to  the  grant  to  the  European  Investment  Bank,  as  referred  to  in  Annex  III. 

** 

Including an amount for Article 169 initiative in the field of Research Performing SMEs. 

*** 

Including an amount for Support to coherent development of policies. 

EN 

41 

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ANNEX III 

Risk-Sharing Finance Facility 

In accordance with Annex II, the Community will provide a grant (Coordination and support 
action)  to  the  European  Investment  Bank  (EIB).  This  grant  will  contribute  to  the 
Community’s  objective  to  foster  private  sector  investment  in  research  by  increasing  the 
capacity of the Bank to manage risk, thus allowing for (i) a larger volume of EIB lending for a 
certain  level  of  risk,  and  (ii)  the  financing  of  riskier  European  RTD  actions  than  would  be 
possible without such Community support.  

The  EIB  will  lend  funds  raised  from  international  financial  markets  in  accordance  with  its 
standard  rules,  regulations  and  procedures.  It  will  then  use  this  grant,  together  with  its  own 
funds, as provisions and capital allocation within the bank to cover part of the risks associated 
with these loans to eligible large European RTD actions. 

Based on its financial evaluation, the EIB will assess the level of financial risks and decide the 
value of the provision or capital allocation. The risk assessment and grading, and the resulting 
decisions  on  provisioning  and  capital  allocation,  are  standard  procedures  of  the  Bank, 
approved  and  monitored  by  its  shareholders,  and  will  not  be  altered  as  a  result  of  the 
Community contribution. There will be no contingent liability for the Community. 

This grant will be disbursed on a yearly basis. The annual amount will be established in the 
work programmes, taking into consideration the activity report and forecasts that the EIB will 
present to the Community. 

The grant agreement to be concluded with the EIB will establish terms and conditions under 
which the Community funds can be used as provisions and capital allocations. It will include, 
inter alia, the following terms and conditions: 

•  The  eligible  themes  and  activities.  In  order  to  maintain  the  balance  between  the 
contributing  specific  programmes  and  their  themes  and  activities,  the  Community  may 
contractually  adapt  the  eligibility  conditions  related  to  any  theme  or  activity,  without 
prejudice for possible modification in accordance with Article 7(2). 

•  The  eligibility  of  large  European  RTD  actions.  By  default,  the  development  of  research 
infrastructures  funded  by  the  Community  under  this  Specific  Programme  shall  be 
automatically  eligible.  Other  research  infrastructures  could  also  be  considered.  In 
accordance  with  the  regulation  adopted  pursuant  to  Article  167  of  the  Treaty,  the  grant 
agreement will also establish procedural modalities and will guarantee to the Community 
the possibility to veto under certain circumstances the use of the grant for provisioning a 
loan proposed by the EIB. 

•  The rules for defining the share of the financial risk that will be covered by the Community 

grant and the risk threshold beyond which the EIB can use the Community grant.  

•  The  arrangements  by  which  the  Community  will  monitor  the  EIB  lending  operations 

related to the grant.  

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ANNEX IV 

Co-ordination of non-Community research programmes 

One  initiative  for  the  joint  implementation  of  national  research  programmes  is  identified 
below  and  will  be  the  subject  of  a  separate  decision  on  the  basis  of  Article  169  of  the 
Treaty. Further initiatives may be identified and proposed during the implementation of the 
7th Framework Programme. 

In  the  case  of  this  decision,  a  dedicated  implementation  structure  will  be  set  up,  together 
with  the  organisational  structure  and  appropriate  governance  bodies  necessary  for  the 
implementation  of  the  action.  In  accordance  with  annexII,  the  Community  will  provide 
financial support to the initiative up to the amount set out in Annex II and will participate 
actively in the implementation by the means which are most appropriate for the action. 

•  Article 169 initiative in the field of Research Performing SMEs 

The  aim  will  be  to  launch  and  implement  a  joint  R&D  programme  for  the  benefit  of 
research  performing  SMEs  with  the  objective  to  boost  their  research  and  innovation 
capability. Building on EUREKA, it will stimulate and support transnational R&D projects 
led by such SMEs.  This  initiative  complements other SME-targeted actions carried  out in 
the context of the 7th Framework Programme. 

The  Community  will  provide  financial  support  to  the  initiative  and  will  participate  in  the 
implementation by the means which are most appropriate for the action. 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Proposal  for  a  COUNCIL  DECISION  adopting  a  specific  programme  for  research, 
technological development and demonstration activities: “Capacities” (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: 

02 02 06 Pilot project: regions of knowledge; 02 02 02 01 Research and innovation; 08 08 
01  02  Horizontal  research  activities  involving  SMEs;  08  08  01  03  Specific  measures  in 
support  of  international  cooperation;  08  10  01  01  Research  and  innovation;  08  10  01  03 
Research  infrastructures;  08  10  01  04  Science  and  society;  09  04  03  Research 
infrastructures 

(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: 

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  

Diff31/ 

Non-
diff32 

Non-
diff 

YES 

YES 

YES 

No [1a] 

YES 

NO 

NO 

No [ 1a…] 

YES 

YES 

YES 

No [ 1a…] 

31 
32 

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

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44 

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4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

Summary of commitment appropriations (CA) and payment appropriations (PA)33  

EUR million (to 3 decimal places)  

2007 

2008 

2009 

2010 

2011 

2012 

2013 

Total 

Secti
on 
no. 

Expenditure type 

Operational expenditure34 

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
235 

67.472,416 

Administrative expenditure within reference amount36 

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
237 

72.725,834 

72.725,834 

Administrative expenditure not included in reference amount38 

Human resources and 
associated 
expenditure (NDA) 

8.2.
5 d 

Administrative  costs, 
than  human 
other 
resources 
and 
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 

33 

34 
35 
36 
37 
38 

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 

45 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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 

⌧  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) 
Agreement39 (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. 

39 

See points 19 and 24 of the Interinstitutional agreement. 

EN 

46 

   EN 

 
       
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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. 

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

. 

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 

 ∆ 

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 resources40 

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 enhance the excellence of research 
and  innovation  capacities  throughout  Europe.  These  needs  will  be  met  by 
supporting  modern  and  effective  research  infrastructure,  strengthening  the 
innovation  capacity  of  SMEs,  strengthening  the  research  potential  of  European 
regions, realisation of the full research potential of the enlarge Union, building an 
effective and democratic European knowledge society and to play a leading role at 
world level.  

40 

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 

47 

   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  maximise  the  leverage  and  impact  of 
European  level  research  spending  within  the  available  budget  with  a  strong 
element  of  continuity  and  with  major  new  approaches  creating  capacity  for 
tomorrow’s 
and 
complementarity will be sought with other community policies and programmes.  

excellence.  Whenever 

appropriate 

synergies 

research 

5.3. 

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

This  specific  programme  will  enhance  research  and  innovation  capacities  throughout 
Europe and ensure their optimal use. The objectives will be achieved through initiatives in 
six areas listed below and for which objectives are further detailed in annex I.  

–  Optimising the use and development of research infrastructures; 

–  Strengthening  innovative  capacities  of  SMEs  and  their  ability  to  benefit  from 

research; 

–  Supporting the development of regional research-driven clusters; 

–  Unlocking  the  research  potential  in  the  EU´s  convergence  and  outermost 

regions; 

–  Bringing  science and  society  closer  together  for the  harmonious  integration of 

science and technology in European society; and 

–  Horizontal actions and measures in support of international co-operation. 

This specific programme will also support the coherent development of research policies. 

Performance  indicators  will  be  developed  at  three  levels.  Quantitative  and  qualitative 
indicators  to  show  the  path  or  direction  of  scientific  and  technical  progress,  such  as  new 
standards and tools, scientific techniques, patent applications and licence agreements, new 
products, processes and services. 

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.  These  could  include  assessment  at  the  aggregate  Framework  Programme 
level  (e.g.  impact  on  the  achievement  of  the  Lisbon,  Gothenburg,  Barcelona  and  other 
objectives)  and  assessment  at  the  SP  level  (e.g.  contribution  made  to  the  EU  S&T  and 
economic performance). 

5.4.  Method of Implementation (indicative) 

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

EN 

48 

   EN 

 
⌧ 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 

–  ⌧ 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) 

Relevant comments: 

The  Commission  proposes  a  centralised  management  of  this  programme,  both 
directly by the Commission and indirectly by delegation to an Executive Agency 
or to structures created through Article 169 or 171 of the Treaty. 

For  actions  deriving  from  Article 169  or  Article 171  of  the  Treaty  –  notably 
concerning multi-financed large-scale initiatives and including the development of 
new  infrastructures  of  European  interest  -  the  management  structures  will  be 
decided  on  a  case-by-case  basis  according  to  the  specific  characteristics  of  the 
action concerned, will be created by the decisions establishing the actions and will 
involve management outside the Commission services. 

The  SME  specific  schemes  (Research  for  SMEs  and  Research  for  SME 
associations) are characterised by activities which generate a large number of small 
operations but where the link between the detailed follow-up of the actual projects 
funded  and  the  development  of  S&T  policy  is  not  direct  or  does  not  exist. 
Management  of  these  activities  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. The Commission will handle the policy oversight and preparation of 
procedures and work programmes. The feedback into the work programme, future 
programmes  and  other  policy  initiatives  will  be  ensured  by  the  Commission 
through monitoring and review at the project portfolio or sub-programme level. 

For other parts of the programme, where the link between the detailed follow-up of 
the  actual  projects  funded  and  the  development  of  S&T  policy  is  clear,  an 
executive agency will be entrusted with the administration of calls and evaluations 

EN 

49 

   EN 

 
and  will  perform  such  tasks  as  the  reception  and  administrative  management  of 
proposals  submitted,  inviting  and  paying  expert  evaluators  (chosen  by  the 
Commission),  providing  logistical  support  to  proposal  evaluation  and  possible 
further  tasks,  such  as  financial  viability  checking  and  provision  of  statistics.  The 
continued  possibility  to  sub-contract  specific  tasks  to  private  companies  (e.g.  for 
the  development,  operation  and  support  of  IT  tools)  will  not  be  ruled  out.  The 
evaluation, contracting and project management of the projects will be carried out 
by  the  Commission  services,  in  order  to  maintain  the  close  link  between  such 
activities and policy formulation. 

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 final. 

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  Communities41,  Commission  Regulation  (EC, 
Euratom) No 2342/2002 of 23 December 2002 laying down detailed rules for the implementation of 
Council Regulation 1605/200242, Council Regulations (EC, Euratom) No 2988/95 of 18 December 
1995  on  the  protection  of  the  European  Communities  financial  interests43,  (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  irregularities44  and  Regulation  (EC)  No  1073/1999  of  the  European  Parliament  and  of  the 
Council concerning investigations conducted by the European Anti-Fraud Office (OLAF)45. 

41 
42 
43 
44 
45 

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 

50 

   EN 

 
                                                 
8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

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

OPERATIONAL 
OBJECTIVE  No.1 
46 

RESEARCH 
INFRASTRUCTU
RE 

OPERATIONAL 
OBJECTIVE No.2 1 

RESEARCH FOR 
AND BY SMEs 

OPERATIONAL 
OBJECTIVE No.31 

REGIONS OF 
KNOWLEDGE 

OPERATIONAL 
OBJECTIVE No.41 

Commitment appropriations in EUR million (to 3 decimal places)  

Year 2007 

Year 2008 

Year 2009 

Year 2010 

Year 2011 

Year 2012  

Year 2013 

TOTAL 

Total cost 

Total cost 

No. 
out
put
s 

No. 
out
put
s 

Total cost 

N
o. 
ou
tp
uts 

Total cost 

N
o. 
o
ut
p
ut
s 

N
o. 
o
ut
p
ut
s 

Total cost 

Total cost 

No. 
out
put
s 

N
o. 
o
ut
p
ut
s 

Total cost 

No. 
outputs 

Total cost 

302,987 

386,889 

469,886 

560,992 

653,570 

743,812 

842,365 

145,434 

185,707 

225,545 

269,276 

313,714 

357,030 

404,275 

12,119 

15,476 

18,795 

22,440 

26,143 

29,752 

33,690 

42,418 

54,164 

65,784 

78,539 

91,500 

104,134 

117,851 

3.960,500 

1.900,980 

158,415 

554,390 

46 

As described under Section 5.3. 

EN 

51 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
RESEARCH 
POTENTIAL 

OPERATIONAL 
OBJECTIVE No51 

SCIENCE 
SOCIETY 

AND 

OPERATIONAL 
OBJECTIVE No61 

INTERNATIONA
L COOPERATION 

42,418 

54,164 

65,784 

78,539 

91,500 

104,134 

117,851 

27,560 

34,966 

42,410 

50,605 

58,957 

67,089 

76,003 

554,390 

357,590 

TOTAL COST 

572,937 

731,365 

888,205 

1.060,391 

1.235,383 

1.405,950 

1.592,035 

7.486,265 

EN 

52 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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 
staff47 
(XX 01 
01) 

Staff  financed48  by  art. 
XX 01 02 

Other  staff49 
financed  by 
art. XX 01 05 

A*/AD 

B*, 
C*/AST 

TOTAL50 

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 

47 
48 
49 
50 

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 

53 

   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 

54 

   EN 

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

Expenditure on administrative management)51  

Budget line 

(number and heading) 

Year  

2007 

Year 
2008 

Year  

2009 

Year 
2010 

Year 
2011 

Year 
2012  

Year 
2013 

TOTAL 

EUR million (to 3 decimal places)  

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  

51 

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

EN 

55 

   EN 

 
 
        
 
 
 
 
 
 
 
 
 
                                                 
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 

Reference should be made to Point 8.2.1, if applicable 

8.2.6 Other administrative expenditure not included in reference amount52 

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 – Committees53  

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 

52 

53 

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

EN 

56 

   EN 

 
 
 
 
 
           
           
           
           
           
          
                
           
           
           
            
           
          
                
           
           
           
           
           
          
                
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
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 

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 

57 

   EN