Amended proposal for a Council Decision concerning the 7th framework programme of the European Atomic Energy Community (Euratom) for nuclear research and training activities (2007-2011) (presented by the Commission pursuant to Article 250 (2) of the EC Treaty)
Date: 2006-06-28
Institutions: European Commission
Subjects: EU programme, EU research policy, nuclear research, research and development, research programme, vocational training

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 28.6.2006 
COM(2006) 364 final 

2005/0043(COD) 
2005/0044(CNS) 

Amended proposal for a 

DECISION 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) 

Amended proposal for a  

COUNCIL DECISION 

concerning the 7th framework programme of the European Atomic Energy Community 
(Euratom) for nuclear research and training activities (2007-2011) 

(presented by the Commission pursuant to Article 250 (2) of the EC Treaty) 

EN 

   EN 

 
 
 
  
EXPLANATORY MEMORANDUM 

The Commission adopted, on 6 April 2005, its proposals for Decisions concerning the seventh 
framework programme of the European Community for research, technological development 
and  demonstration  activities  (2007  to  2013)  and  concerning  the  seventh  framework 
programme of the European Atomic Energy Community (Euratom) for nuclear research and 
training  activities  (2007  to  2011)1.  The  Commission  subsequently  adapted  the  budgetary 
aspects  of  these  proposals  following  the  agreement  of  17  May  2006  on  the  Financial 
Framework 2007-2013. 

The proposals have been examined by the Council and the European Parliament, as well as by 
the Economic and Social Committee and the Committee of the Regions.  

The Parliament adopted, with a very broad majority, its opinion on both proposals on 15 June 
2006, proposing a considerable number of amendments.  

The Economic and Social Committee unanimously adopted an opinion on 14 December 2005 
and the Committee of the Regions adopted its opinion on 16 November 2005. 

To  expedite  an  agreement  on  the  framework  programmes,  the  Commission  is  now  bringing 
forward  revised  proposals  on  both  framework  programmes,  enriched  with  Parliament’s 
amendments and Council’s views. As the opinion of the Parliament and the approach taken by 
the  Council  reflect  the  key  principles  of  the  original  Commission  proposals,  these  revised 
proposals  take  up  in  spirit  and  content  if  not  necessarily  always  with  the  exact  wording,  a 
large proportion the position taken by the other institutions.  

The  main  issues  raised  concern  the  proposal  for  the  EC  framework  programme.  As  regards 
the Commission’s position, the following items can be highlighted: 

– 

– 

– 

– 

As  for  the  scope  of  the  themes,  and  their  scientific  and  technical  content,  the 
Commission accepts many of the clarifications and additions requested, where these 
reflect  important  needs,  are  consistent  with  maintaining  the  overall  focus  of  each 
priority and their inclusion is not prevented by the reduced budget for the framework 
programme. 

Concerning the Joint Technology Initiatives, the Commission accepts modifications 
on  the  criteria  to  be  used  for  the  identification  of  potential  Joint  Technology 
Initiatives, as well as their nature and implementation. 

Concerning the European Research Council, important clarifications are accepted 
by the Commission, including on the term of office, the renewal and the role of the 
Scientific  Council,  the  management  and  the  staffing  arrangements  of  the  European 
Research  Council,  as  well  as  the  conduct  of  an  independent  review  in  2010  of  the 
European Research Council's structures and mechanisms.  

-  As  regards  People,  a  series  of  changes  include  references  to  the  links  of  this 
programme  with  other  parts  of  the  framework  programme  and  other  community 
programmes, additions that make explicit the international dimension of this part of 

1 

COM(2005)119 

EN 

2 

   EN 

 
                                                 
the  programme,  pointers  to  the  establishment  of  appropriate  working  conditions  of 
researchers and indications on the co-funding mode.  

– 

As  regards  Capacities,  the  aspects  on  the  Coherent  development  of  policies  now 
form a separate part, in line with the importance of this field. Further, the criteria for 
the support to new research infrastructures became more detailed and the importance 
of regional aspects in the construction of new infrastructures was acknowledged. 

In what concerns the budget, the Commission maintains the amounts proposed in its adapted 
proposals of 24 May, 2006. 

EN 

3 

   EN 

 
2005/0043(COD) 

Amended proposal for a 

DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

concerning the seventh framework programme of the European Community for 
research, technological development and demonstration activities (2007 to 2013) 

(Text with EEA relevance) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
166(1) thereof, 

Having regard to the proposal from the Commission2, 

Having regard to the opinion of the European Economic and Social Committee3, 

Having regard to the opinion of the Committee of the Regions4, 

Acting in accordance with the procedure laid down in Article 251 of the Treaty5, 

Whereas: 

(1) 

The  Community  has  set  itself  the  objective  of  creating  the  knowledge  society  by 
developing the know-how and strengthening the scientific and technological bases of 
the  Community  industry,  including  service  industries,  with  a  view  to  assuring  a 
high  level  of  competitiveness.  To  this  end,  the  Community  recognises  the 
responsibility and independence of scientists in the definition of the broad lines of 
research at the frontiers of knowledge and it shall promote all the research activities 
deemed  necessary,  in  particular  by  encouraging  undertakings,  including  small  and 
medium sized enterprises (“SMEs”), research centres and universities in their research 
and technological development activities, giving priority to those areas and projects 
where  European  funding  and  cooperation  is  of  particular  importance  and  gives 
an added value. Through its support for research at the frontiers of knowledge, 
applied  research  and  innovation,  the  Community  seeks  to  promote  synergies  in 
European research and thus provide a more stable foundation for the European 
Research Area. This will make a positive contribution to the social and economic 
progress of all Member States. 

2 
3 
4 
5 

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

EN 

4 

   EN 

 
 
                                                 
(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

The central role of research was recognised by the European Council of Lisbon 
which  highlighted  knowledge  and  innovation  as  the  key,  setting  itself  a  new 
strategic goal for the next decade: to become the most competitive and dynamic 
knowledge-based  economy  in  the  world,  capable  of  sustainable  economic 
development  and  aiming  at  full  employment  with  more  and  better  jobs  and 
greater social cohesion. 

The seventh Framework Programme is central to achieving the Lisbon strategic 
goal  of  Europe  becoming  the  most  competitive  and  dynamic  knowledge-based 
economy  in  the  world.  The  triangle  of  knowledge  -  education,  research  and 
innovation - is a principal tool for achieving this goal. 

The  central  role  of  knowledge  and  intangible  goods  in  the  production  of 
economic,  social  and  cultural  wealth  was  recognised  by  the  Lisbon  European 
Council. In the knowledge-based  society,  innovation  and  knowledge  production, 
far  from  flowing  top-down,  are  widely  distributed  throughout  society  and  are 
increasingly achieved by bottom-up processes. It is an aim of the Community to 
mobilize and strengthen all these research and innovation capacities. 

In line with the Lisbon strategy, the European Council of Barcelona set the target of 
raising European research efforts to 3% of EU GDP, two thirds of which should come 
from private investment. 

To  that  end,  many  Member  States,  and  European  industry,  must  step  up  their 
research  efforts  in  order  to  help  make  the  promotion  of  research  under  the 
Seventh Framework Programme a success. 

The  overriding  aim  of  the  whole  Seventh  Framework  Programme  must  be  to 
contribute  to  the  European  Union  becoming  the  world’s  leading  research  area. 
This  requires  the  Framework  Programme  to  be  strongly  focused  on  promoting 
and  investing  in  world-class  research.  It  is  therefore  imperative  that  the 
implementation  of  the  specific  programmes  is  primarily  based  upon  the 
principles  of  excellence  in  research.  Only  by  creating  opportunities  for  state-of-
the-art research is it possible for the EU to become the world’s leading research 
area. 

The  European  Parliament  has  repeatedly  stressed  the  importance  of  research, 
technological development and the increased role of knowledge for economic growth 
and social and environmental well-being, most recently in  its guidelines for future 
EU policy to support research of March 20056. 

Taking into account the research needs of all Community policies and building upon 
wide-spread  support  from  European  industry,  the  scientific  community,  universities, 
and  other  interested  circles,  the  Community  should  establish  the  scientific  and 
technological  objectives  to  be  achieved  under  its  seventh  Framework  Programme  in 
the period 2007 to 2013. 

6 

Not yet published in the OJ.  

EN 

5 

   EN 

 
                                                 
(10)  Particularly  relevant  for  industrial  research  are  the  European  Technology 
Platforms (ETPs) and the Joint Technology Initiatives (JTIs). ETPs can evolve to 
represent a general tool for fostering European competitiveness. 

(11)  These  objectives  should  build  upon  the  achievements  of  the  sixth  Framework 
Programme  towards  the  creation  of  the  European  Research  Area  and  carry  them 
further  towards  the  development  of  a  knowledge-based  economy  and  society  in 
Europe. Among these objectives the following are particularly important: 

(12)  Trans-national cooperation at every scale across the EU should be supported.  

(13)  The  dynamism,  creativity  and  excellence  of  European  research  at  the  frontier  of 
knowledge  should  be  enhanced.  In  view  of  this,  financing  more  speculative  basic 
research should be a clear priority of the Framework Programme.  

(14)  The  human  potential  in  research  and  technology  in  Europe  should  be  strengthened 
quantitatively  and  qualitatively;  better  education  and  research  training,  easier 
access  to  research  opportunities  as  well  as  the  recognition  of  the  researcher’s 
“profession”,  are  principal  tools  for  achieving  this  goal,  not  least  through  a 
significant  increase  in  the  presence  of  women  in  research,  encouraging 
researchers’  mobility  and  career  development.  To  that  end,  Member  States 
should  be called upon to implement  the European Charter for  Researchers and 
the Code of Conduct for the Recruitment of Researchers, both instruments being 
necessary  in  order  to  establish  a  genuine  European  labour  market  for 
researchers.  In  addition,  the  excellence  of  European  research  institutions  and 
universities should be developed and enhanced. 

(15)  The dialogue between science and society in Europe should be deepened in order 
to develop a science and research agenda that meets citizens' concerns, including 
by  fostering  critical  reflection,  and  aimed  at  restoring  public  confidence  in 
science. 

(16)  Special attention should be paid to facilitating the scientific career of researchers 
in  the  most  productive  period  of  life.  Early  -stage  and  early-career  researchers 
should become a major driving force of science in Europe. 

(17)  The  research  and  innovation  capacities  throughout  Europe  should  be  enhanced  and 

their optimal use should be ensured. 

(18)  Taking  note  of  the  Protocol  on  the  Protection  and  Welfare  of  Animals  to  the 
Amsterdam Treaty, research for the development of alternative testing strategies 
and in particular non-animal methods in all research areas should be promoted 
and enhanced in order to reduce the use of animals in research and testing, with a 
view to ultimately replacing animal use. 

(19) 

In order to realise these objectives it is necessary to promote 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 
individual researchers (“People”), and support of research capacities (“Capacities”). 

EN 

6 

   EN 

 
(20)  Under  “Cooperation”,  support  should  be  provided  to  trans-national  co-operation  at 
appropriate  scale  across  the  European  Union  and  beyond,  in  a  number  of  thematic 
areas  corresponding  to  major  fields  of  the  progress  of  knowledge  and  technology, 
where  research  should  be  supported  and  strengthened  to  address  European  social, 
economic,  environmental,  public  health  and  industrial  challenges,  serve  the  public 
good  and  support  developing  countries.  Where  possible,  this  programme  will 
allow  flexibility  for  mission  orientated  schemes  which  cut  across  the  thematic 
priorities. The programme should also ensure that the EU is able to maintain its 
leading  position  in  sociology  and  humanities  research  into  the  interaction 
between  people  and  new  technology,  and  into  the  significance  of  technology  for 
the development of society as a whole. 

(21)  Under  “Ideas”,  activities  should  be  implemented  by  a  European  Research  Council 
(“ERC”),  which  should  enjoy  a  high  degree  of  autonomy.  It  is  essential  to  develop 
very  high-level  frontier  research  at  EU  level,  building  on  excellence  in  Europe 
and  raising  its  profile  at  international  level.  The  ERC  should  maintain  regular 
contact with the European Institutions and the scientific community in order to 
ensure that its work is supported and its interests promoted in the public sphere. 

(22)  Under  “People”,  individuals  should  be  stimulated  to  enter  into  the  researcher’s 
profession, European researchers should be encouraged to stay in Europe, researchers 
from the entire world should be attracted to Europe and Europe should be made more 
attractive  to  the  best  researchers.  Building  on  the  positive  experiences  with  the 
“Marie  Curie  Actions”  under  previous  Framework  Programmes,  the  “People” 
programme  should  encourage  more  gifted  individuals  to  enter  the  profession  of 
researcher;  structure  the  research  training  offer  and  options  ,  extending  also  to 
the skills requirements; encourage that European researchers stay in or return to 
Europe;  encourage  intersectoral  mobility;  and  attract researchers  from  all  over 
the world to Europe. To that end, efforts should be made to improve the mutual 
recognition of diplomas and professional qualifications acquired on the territory 
of the Community and in third countries. The mobility of researchers is not only 
key  to  the  career  development  of  researchers  but  also  to  share  and  transfer 
knowledge  between  countries  and  sectors  and to  ensure that  innovative frontier 
research 
in  various  disciplines  benefits  from  dedicated  and  competent 
researchers, as well as increased financial resources. 

(23)  Under  “Capacities”,  the  use  and  development  of  research  infrastructures  should  be 
optimised;  innovative  capacities  of  SMEs  and  their  ability  to  benefit  from  research 
should  be  strengthened;  the  development  of  regional  research-driven  clusters  should 
be  supported;  the  research  potential  in  the  EU’s  convergence  and  outermost  regions 
should  be  unlocked;  science  and  society  should  be  brought  closer  together  for  the 
harmonious integration of science and technology in European society; and horizontal 
actions and measures in support of international co-operation should be undertaken. 

(24)  The  Joint  Research  Centre  has  the  crucial  role  of  providing  customer-driven 
the  conception,  development, 
scientific  and 
support 
implementation  and  monitoring  of  EU  policies.  Continuous  support  should  be 
given  to  the  JRC  to  allow  it  to  function  as  a  reference  centre  of  science  and 
technology for the EU, independent of private and national interests. 

technological 

for 

EN 

7 

   EN 

 
(25)  The Commission has recognised on numerous occasions that the regions have an 

important part to play in implementing the European Research Area7. 

(26)  The  seventh  Framework  Programme  complements  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 
those  on  structural  funds,  agriculture,  education,  training,  competitiveness  and 
innovation, industry, employment and environment. 

(27) 

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

(28)  Participation in the activities of this Framework Programme should be facilitated 
through  the  publication  of  all  relevant  information,  to  be  made  available  in  a 
timely and user-friendly manner to all potential participants. 

(29)  Given the widely supported enlarged scope of the Framework Programme actions, the 
leverage effect of funding in national and private investments, the need to enable the 
Community to meet new science and technology challenges and make full use of its 
researchers'  potential  without  any  form  of  discrimination,  the  vital  role  the 
Community intervention plays in making the European research system more efficient 
and effective, the contribution of a larger seventh Framework Programme to the effort 
of  finding  solutions  to  climate  change  and  sustainability,  the  health  of  Europe's 
population as well as reinvigoration of the Lisbon strategy, there is a pressing need to 
progressively increase double the EU research budget8. 

(30)  Taking into account the mid-term review of the use of new instruments under the sixth 
Framework Programme and the Five Year Assessment of the Framework Programme, 
a  new  approach  has  been  defined  which  should  allow  the  political  objectives  of  EU 
research policy to be reached more easily, more efficiently and in a more flexible way. 
To  this  end,  a  smaller  set  of  simpler  “funding  schemes”  should  be  used,  alone  or  in 
combination, with more flexibility and freedom, to support the different actions, and 
stronger management autonomy should be granted to participants. 

(31)  Since  the  objective  of  the  actions  to  be  taken  in  accordance  with  Article  163  of  the 
Treaty in contributing towards the creation of a knowledge-based society and economy 
in Europe cannot be sufficiently achieved by the Member States and can therefore be 
better  achieved  at  Community  level,  the  Community  may  adopt  measures,  in 
accordance  with the principle of subsidiarity as set out in Article 5 of  the Treaty. In 
accordance with the principle of proportionality, as set out in that Article, this seventh 
Framework  Programme  does  not  go  beyond  what  is  necessary  in  order  to  achieve 
those objectives. 

7 

8 

Commission  communication  entitled  ‘The  Regional  Dimension  of  the  European  Research  Area' 
(COM (2001)0549) 
As already presented in the Commission Communications COM(2004) 101, 26.0.2004 and COM(2004) 
487, 14.7.2004 on the Financial Perspectives 2007-2013. 

EN 

8 

   EN 

 
                                                 
(32) 

Implementation of the seventh 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.  

(33)  The  Community  has  concluded  a  number  of  international  agreements  in  the  field  in 
research  and  efforts  should  be  made  to  strengthen  international  research  cooperation 
with  a  view  to  reaping  the  full  benefits  of  internationalisation  of  R&D,  to 
contributing to the production of global public goods and to further integrating the 
Community into the world-wide research community. 

(34)  There is already a significant body of scientific knowledge capable of drastically 
improving the lives of those who live in developing countries; where possible, the 
Framework Programme will contribute to meeting the Millennium Development 
Goals by 2010. 

(35)  The  seventh  Framework  Programme  should  contribute  towards  promoting  growth, 

sustainable development and environmental protection. 

(36)  Research  activities  supported  by  this  Framework  Programme  should  respect 
fundamental ethical principles, including those reflected in the Charter of Fundamental 
Rights  of  the  European  Union.  The  opinions  of  the  European  Group  on  Ethics  in 
Science and New Technologies are and will be taken into account. Research activities 
aimed  at  human  cloning,  heritable  modifications  of  the  human  genome9,  or 
production  of  human  embryos  solely  for  stem  cell  procurement  should  not  be 
supported under this programme. Research on human stem cells may be financed 
under  this  framework  programme,  depending  both  on  the  contents  of  the 
scientific proposal and the legal framework of the Member state(s) involved. 

(37)  Under  the  seventh  Framework  Programme  due  regard  will  be  paid  to  the  role  of 
women in science and research will be actively promoted by appropriate measures 
with  a  view  to  encouraging  greater  numbers  to  become  involved  in  this  domain 
and further enhancing their active role in research. 

(38)  This  act  establishes  a  financial  framework  for  the  entire  duration  of  the  programme 
which is to be the principal point of reference for the budgetary authority, within the 
meaning  of  point  37  of  the  Interinstitutional  Agreement  of  17/5/2006  between  the 
European  Parliament,  the  Council  and  the  Commission  on  budgetary  discipline  and 
improvement of the budgetary procedure. 

(39)  Appropriate  measures  -  proportionate  to  the  European  Communities’  financial 
interests - 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  2988/95  of  18  December 
1995  on  the  protection  of  the  European  Communities  financial  interests10,  (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 

9 
10 

Research relating to cancer treatment of the gonads can be financed. 
OJ L 312, 23.12.1995, p. 1. 

EN 

9 

   EN 

 
                                                 
irregularities11  and 
Communities’  financial 
Regulation  (EC)  No  1073/1999  of  the  European  Parliament  and  of  the  Council 
concerning investigations conducted by the European Anti-Fraud Office (OLAF)12. 

interests  against  fraud  and  other 

(40) 

It  is  important  to  ensure  sound  financial  management  of  the  seventh  framework 
programme  and  its  implementation  in  the  most  effective  and  user-friendly  manner 
possible, while ensuring legal certainty and the accessibility of the programme for 
all  participants.  It  is  necessary  to  ensure  compliance  with  Council  Regulation  (EC, 
EURATOM) No 1605/2002 of 25 June 2002 on the Financial Regulation applicable to 
the  general  budget  of  the  European  Communities;  and  with  the  requirements  of 
simplification  and  better  regulation.  The  simplification  of  procedures  used  to 
execute  the  Seventh  Framework  Programme  will  help  to  ensure  that  flexible 
implementing measures are included in the rules of participation. 

HAVE DECIDED AS FOLLOWS: 

Article 1 

Adoption Establishment of the Framework Programme 

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

Article 2 

Objectives and activities 

(1) 

(2) 

The seventh Framework Programme shall support the activities set out in paragraphs 2 
to 5. The objectives and the broad lines of those activities are set out in Annex I. 

Cooperation:  supporting  the  whole  range  of  research  actions  carried  out  in  trans-
national cooperation in the following thematic areas: 

(a) 

Health; 

(b) 

Food, Agriculture and Biotechnology; 

(c) 

Information and Communication Technologies; 

(d) 

Nanosciences, Nanotechnologies, Materials and new Production Technologies; 

(e) 

Energy; 

(f) 

Environment (including Climate Change); 

11 
12 

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

EN 

10 

   EN 

 
                                                 
(g) 

Transport (including Aeronautics); 

(h) 

Socio-economic Sciences and Humanities; 

(i) 

Security and Space. 

(3) 

(4) 

(5) 

Ideas:  supporting  “investigator-driven”  research  carried  out  across  all  fields  by 
individual national or transnational teams in competition at the European level. 

People: strengthening, quantitatively and qualitatively, the human potential in research 
and technology in Europe, as well as encouraging mobility. 

Capacities:  supporting  key  aspects  of  European  research  and  innovation  capacities 
such as research infrastructures; regional research driven clusters; the development of 
a  full  research  potential  in  the  Community’s  convergence  and  outermost  regions; 
research  for  the  benefit  of  small  and  medium  sized  enterprises  (SMEs);  “Science  in 
Society”  issues;  support  to  the  coherent  development  of  policies;  horizontal 
activities of international cooperation. 

(6) 

The seventh Framework Programme shall also support the non-nuclear direct scientific 
and  technical  actions  carried  out  by  the  Joint  Research  Centre  (JRC)  as  defined  in 
Annex I.  

Article 3 

The  seventh  Framework  Programme  shall  be  implemented  through  specific  programmes. 
for 
These  programmes  shall  establish  precise  objectives  and 
implementation. 

the  detailed 

rules 

Article 4  

Maximum overall amount and shares assigned to each programme 

1. 

The maximum overall amount for Community financial participation in this seventh 
Framework  Programme  shall  be  EUR  50  52172726  million.  That  amount  shall  be 
distributed among the activities and actions referred to in paragraphs 2 to 6 of Article 
2 as follows (in EUR million): 

Cooperation 

Ideas 

People 

Capacities 

32 29244432 

7 46011862 

4 7277129 

4 2917486 

Non-nuclear 
Research Centre 

actions  of 

the 

Joint 

1 7511817 

2. 

The  indicative  breakdown  among  the  thematic  areas  of  each  activity  referred  to  in 
paragraph 1 is set out in Annex II. 

EN 

11 

   EN 

 
3. 

The  detailed  rules  for  Community  financial  participation  in  this  Framework 
Programme are set out in Annex III. The above amounts may be amended when 
the financial perspective covering the period of this Framework Programme is 
revised. 

Article 5 

Protection of the Communities’ financial interests 

For  the  Community  actions  financed  under  this  Decision,  Regulation  (EC,  Euratom)  No 
2988/95  and  Regulation  (EC,  Euratom)  No  2185/96  shall  apply  to  any  infringement  of  a 
provision  of  Community  law,  including  infringements  of  a  contractual  obligation  stipulated 
on the basis of the  programme,  resulting from  an act or omission by an economic operator, 
which  has,  or  would  have,  the  effect  of  prejudicing  the  general  budget  of  the  European 
Communities or budgets managed by them, by an unjustified item of expenditure.  

Article 6 

(1) 

(2) 

(3) 

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

The  following  fields  of  research  shall  not  be  financed  under  this  Framework 
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 heritable,13 

–  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. 

Research  on  human  stem  cells,  both  adult  and  embryonic,  may  be  financed, 
depending both on the contents of the scientific proposal and the legal framework 
of the Member state(s) involved. 
Any  application  for  financing  research  on  human  embryonic  stem  cells  must 
include,  as  appropriate,  details  of  licensing  and  control  measures  that  will  be 
taken by the competent authorities of the Member States as well as details of the 
ethical approval(s) that will be provided.   
As  regards  the  derivation  of  human  embryonic  stem  cells,  Institutions, 
organisations  and  researchers  must  be  subject  to  strict  licensing  and  control  in 
accordance with the legal framework of the Member State(s) involved. 

(4) 

A revision of the fields of research set out in paragraph 2 of this Article must take 
place for the second phase of this programme (2010-2013) in the light of scientific 
advances. 

13 

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

EN 

12 

   EN 

 
 
                                                 
(1) 

(2) 

Article 7 

Monitoring, assessment and review 

The Commission shall continually and systematically monitor the implementation 
of the Framework Programme and its Specific Programmes and regularly report 
and disseminate the results of this monitoring.  

Not  later  than  2010,  the  Commission  shall  carry  out,  with  the  assistance  of  external 
experts, an evidence-based interim evaluation of this Framework Programme and its 
specific programmes building upon the ex-post evaluation of the Sixth Framework 
Programme. This evaluation shall cover the quality of the research activities under 
way,  as  well  as  the  quality  of  implementation  and  management,  and  progress 
towards 
set. 
The Commission shall communicate the conclusions thereof, accompanied by its 
observations  and,  where  appropriate,  proposals  for  the  adaptation  of  this 
Framework Programme, to the European Parliament, the Council, the European 
the  Regions. 
Economic  and  Social  Committee  and 

the  Committee  of 

objectives 

the 

The interim evaluation will be preceded by a progress report as soon as enough 
data  becomes  available,  giving  initial  findings  on  the  effectiveness  of  the  new 
actions  initiated  under  the  Seventh  Framework  Programme  and  of  the  efforts 
made on simplification. 

(3) 

Two years following the completion of this Framework Programme, the Commission 
shall  carry  out  an  external  evaluation  by  independent  experts  of  its  rationale, 
implementation and achievements. 

The Commission shall communicate the conclusions thereof, accompanied by its 
observations, to the European Parliament, the Council, the European Economic 
and Social Committee and the Committee of the Regions. 

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 
[…] 

EN 

13 

   EN 

 
 
 
 
 
ANNEX I 

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

The seventh Framework Programme will be carried out to pursue the general objectives 
described  in  Article  16314  of  the  Treaty  to  strengthen  industrial  competitiveness  and 
meet  the  research  needs  of  other  Community  policies  and  thereby  in  contributing 
towards  the  creation  of  a  knowledge-based  society,  building  on  a  European  Research 
Area  and  complementing  activities  at  a  national  and  regional  level.  It  shall  strengthen 
promote  excellence  in  scientific  and  technological  research,  technological  development 
and demonstration through the  following four programmes: cooperation, ideas, people 
and capacities. 

I 

COOPERATION  

In this part of the 7th Framework Programme, support will be provided to trans-national co-
operation  in  different  forms  at  every  scale  across  the  European  Union  and  beyond,  in  a 
number  of  thematic  areas  corresponding  to  major  fields  of  the  progress  of  knowledge  and 
technology,  where  the  highest  quality  research  must  be  supported  and  strengthened  to 
address European social, economic, environmental and industrial challenges. The bulk of this 
effort  will  be  directed  towards  improving  industrial  competitiveness,  with  a  research 
agenda that reflects the needs of users throughout Europe. 

The overarching aim is to contribute to sustainable development.  

The nine themes determined for EU action are the following: 

(1) 

Health; 

(2) 

Food, Agriculture and Biotechnology; 

(3) 

Information and Communication Technologies; 

(4) 

Nanosciences, Nanotechnologies, Materials and new Production 
Technologies; 

(5) 

Energy; 

(6) 

Environment (including Climate Change); 

(7) 

Transport (including Aeronautics); 

(8) 

Socio-economic Sciences and the Humanities; 

(9) 

Security and Space.   

14 

The Community shall have the objective of strengthening the scientific and technological bases of 
Community industry and encouraging it to become more competitive at international level, while 
promoting all the research activities deemed necessary by virtue of other chapters of this Treaty. 

EN 

14 

   EN 

 
                                                 
These themes are broadly defined at relatively high level, such that they can adapt to evolving 
needs and opportunities that may arise during the lifetime of the 7th Framework Programme. 
For  each  of  them,  a  series  of  activities  have  been  identified  which  indicate  the  broad  lines 
envisaged  for  Community  support.  These  have  been  identified  on  the  basis  of  their 
contribution  to  EUCommunity  objectives,  including  the  transition  to  a  knowledge  society, 
the  relevant  European  research  potential  and  the  added  value  of  EUCommunity  level 
intervention for these subjects.  

Special  attention  will  be  paid  to  ensuring  there  is  effective  coordination  between  the 
thematic  areas  and  to  priority  scientific  areas  which  cut  across  themes,  such  as  marine 
sciences and technologies. 

PluridisciplinarityInterdisciplinarity  and  multidisciplinarity  will  be  encouraged  by  joint 
cross-thematic  approaches  to  research  and  technology  subjects  relevant  to  more  than  one 
theme, with joint calls being an important inter-thematic form of cooperation. 

In  the  case  of  subjects  of  industrial  relevance  in  particular,  the  topics  have  been  identified 
relying, among other sources, on the work of different “European Technology Platforms” set 
up  in  fields  where  Europe’s  competitiveness,  economic  growth  and  welfare  depend  on 
important  research  and  technological  progress  in  the  medium  to  long  term.  European 
Technology Platforms bring together stakeholders, under industrial leadership, to define and 
implement a Strategic Research Agenda.  This Framework Programme  will contribute to the 
realisation  of  these  Strategic  Research  Agendas  where  these  present  true  European  added 
value. European Technology Platforms may play a role to facilitate the participation of 
industry in research projects relating to their specific field. 

The  nine  themes  also  include  research  needed  to  underpin  the  formulation,  implementation 
and assessment of EUCommunity policies, such as in the areas of health, safety, consumer 
protection, energy, the environment, development aid, fisheries, maritime affairs, agriculture, 
animal  welfare,  transport,  education  and  training,  employment,  social  affairs,  cohesion,  and 
the  creation  of  an  Area  of  Freedom,  Security  and  Justicejustice  and  home  affairs,  along 
with pre-normative and co-normative research relevant to improving interoperability and the 
quality of standards and their implementation. 

Under each theme, beside these activities, the possibility will be ensured to address two types 
of opportunities will be addressed and needs in an open and flexible way: 

•  Emerging  needsFuture  and  Emerging  Technologies:  to  support  research 
aiming  at  identifying  or  further  exploring  new  scientific  and  technological 
opportunities in a given field and/or in their combination with other relevant 
areas  and  disciplines  through  specific  support  for  spontaneous  research 
proposals,  including  by  joint  calls;  to  nurture  novel  ideas  and  radically  new 
uses and to explore new options in research roadmaps aiming at identifying or 
further exploring, in a given field and/or at the intersection of several disciplines, 
new scientific and technological opportunities, in particular linked with a potential 
for significant breakthroughs; adequate coordination with the activities carried 
out under the Ideas programme will be guaranteed in order to avoid overlap 
and ensure an optimum use of funding 

EN 

15 

   EN 

 
•  Unforeseen policy needs: to respond in a flexible way to new policy needs that 
arise  during  the  course  of  the  Framework  Programme,  such  as  unforeseen 
developments  or  events  requiring  a  quick  reaction  like,  the  new  epidemics, 
emerging concerns in food safety or natural disaster response. 

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. Dissemination will be considered an integral task under In order to 
strengthen the diffusion and use of the output of EU research, the dissemination of knowledge 
and transfer of results, including to policy makers, will be supported in all thematic areas with 
appropriate restrictions for the security theme due to the confidentiality aspects of the 
activities,  including  through  the  funding  of  networking  initiatives,  seminars  and  events, 
assistance by external experts and information and electronic services in particular CORDIS.  

Complementarity  and  synergy  between  this  programme  and  other  Community 
programmes  will  be  ensured.  Actions  to  support  innovation  will  be  taken  under  the 
Competitiveness and Innovation Programme.  

Particular  attention  should  be  paid  to  assure  an  adequate  participation  of  SMEs15,  in 
particular  knowledge-intensive  SME  in  transnational  cooperation.  Concrete  measures, 
including support actions to facilitate SME participation, will be taken throughout the 
“Cooperation”  part  of  the  programme  in  the  framework  of  each  theme,  which  will  be 
accompanied by quantitative and qualitative monitoring. Support will also be provided to 
initiatives aiming at engaging the dialogue on scientific issues and research results with a the 
broadest  possible  public  beyond  the  research  community,  and  in  the  field  of  scientific 
communication  and  education,  including  the  involvement,  where  appropriate,  of  civil 
society  organisations  or  networks  of  such  organisations.  Ethical  principles  and  gender 
aspects  will  be  taken  into  account.  The  integration  of  the  gender  dimension  and  gender 
equality will be addressed in all areas of research. 

Raising  competitiveness  of  European  research  requires  that  the  potential  lying  within 
the  whole  European  Research  Area  is  fully  unlocked.  Therefore,  projects  will  aim  at 
providing  scientific  excellence.  They  will  also  foster  a  true  European  Research  Area 
through  the  formation  of  broad-based  consortia,  and  by  exploring  possibilities  for 
optimal use of human and financial resources. 

Across all these themes, support to trans-national cooperation will be implemented through: 

•  Collaborative research; 

•  Joint Technology Initiatives; 

•  Co-ordination of research programmes; 

•  International Co-operation.  

15 

Throughout  the  Seventh  Framework  Programme,  "SMEs"  are  understood  to 
microenterprises. 

include 

EN 

16 

   EN 

 
                                                 
Collaborative research 

Collaborative  research  will  constitute  the  bulk  and  the  core  of  EU  Community  research 
funding.  The  objective  is  to  establish,  in  the  major  fields  of  advancement  of  knowledge, 
excellent  research  projects  and  networks  able  to  attract  researchers  and  investments  from 
Europe and the entire world.  

This  will  be  achieved  by  supporting  collaborative  research  through  a  range  of  funding 
schemes: Collaborative projects, Networks of Excellence, Co-ordination/support actions (see 
Annex III). 

Joint Technology Initiatives  

In a very limited number of cases, the scope of a RTD objective and the scale of the resources 
involved  could  justify  setting  up  long  term  public  private  partnerships  in  the  form  of  Joint 
Technology  Initiatives.  This  new  approach,  based  mainly  on  the  activities  developed  by 
These initiatives, mainly resulting from the work of European Technology Platforms andwill 
covering  one  or  a  small  number  of  selected aspects of research in their field. Implemented 
will combine private sector investment and national and European public funding, including 
grant funding from the Research Framework Programme and loan finance from the European 
Investment Bank. Joint Technology Initiatives may be decided on the basis of Article 171 of 
the Treaty, and decided individually, such Joint Undertakings must combine public and 
private  funds,  which  can  include  loan  financing  from  the  EIB,  inter  alia  financed 
through  the  Risk  Sharing  Finance  Facility,  where  appropriate.  (this  may  include  the 
creation  of  a  joint  undertaking)  or  on  the  basis  of  the  Specific  Programme  Decisions  in 
accordance with Article 166 of the Treaty. 

Potential Joint Technology Initiatives will be identified in an open and transparent way on 
the basis of an evaluation using a series of criteria including:  

– 

– 

– 

– 

– 

– 

– 

– 

– 

Added value of European-level intervention measured in terms of excellence. 

The existence of a genuine societal need and benefit. 

Inability of existing instruments to achieve the objective.  

Scale of the impact on industrial competitiveness and growth.  

The  degree  and  clarity  of  definition  of  the  objective  and  deliverables  to  be 
pursued.  

Strength of the financial and resource commitment from industry.  

Scale of the impact on industrial competitiveness and growth.  

Importance of the contribution to broader policy objectives.  

Capacity  to  attract  additional  national  support  and  leverage  current  andor 
future industry funding. 

– 

Inability of existing instruments to achieve the objective.  

EN 

17 

   EN 

 
The nature of the Joint Technology Initiatives must be clearly defined, in particular with 
regard to matters concerning: 

– 

– 

– 

– 

Financial commitments; 

Duration of the commitment of the participants; 

Regulations for entering and exiting the contract; 

Intellectual property rights. 

Considering  the  wide  scope  and  particular  complexity  of  the  Joint  Technology 
Initiatives, significant efforts will be made to ensure their transparent operation in line 
with  the  principle  of  excellence.  Any  allocation  of  Community  funding  by  the  Joint 
Technology  Initiatives  will  take  place  on  the  basis  of  the  Framework  Programme 
principles  of  excellence  and  transparency.  Particular  attention  will  be  paid  to  the  overall 
coherence  and  coordination  between  Joint  Technology  Initiatives  and  national  programmes 
and projects in the same fields, while respecting their existing implementation procedures. 
In  their  implementation,  account  should  be  taken  of  SMEs  and  of  technology  transfer 
opportunities as well as of the need to anticipate education and training needs to fulfil 
their objectives, and to ensuring that the participation in their projects is open to a wide 
range  of  participants  throughout  Europe,  and  in  particular  SMEs.  In  addition,  the 
experience gained by EUREKA clusters could be relevant to Joint Technology Initiatives 
in related areas.  

Co-ordination of non-Community research programmes  

The action undertaken in this field will make use of two main tools: the ERA-NET scheme 
and the participation of the Community in jointly implemented national research programmes 
(Treaty Article 169). The action may cover subjects not directly linked to the nine themes in 
as  far  as  they  have  a  sufficient  EUEuropean  added  value.  The  action  will  also  be  used  to 
enhance  the  complementaryity  and  synergy  between  the  Framework  Programme  and 
activities carried out in the framework of intergovernmental structures such as EUREKA and 
COST16. 

The ERA-NET scheme will develop and strengthen the coordination of national and regional 
research activities by:  

– 

Providing a framework for actors implementing public research programmes to 
step  up  the  coordination  of  their  activities.  This  will  include  support  for  new 
ERA-NETs  as  well  as  for  the  broadening  and  deepening  of  the  scope  of 
existing  ERA-NETs,  e.g.  by  extending  their  partnership,  as  well  as  mutually 
opening  mutually  their  programmes.  Where  appropriate,  ERA-NETs  could 
be  applied  for  programme  coordination  between  European  regions  and 
small  or  medium-sized  Member  States  to  enable  their  cooperation  with 
large scale initiatives;  

– 

In  a  limited  number  of  cases,  pProviding  additional  EU  Community 
financial  support  to  those  participants  that  pool  resources  create  a  common 

16 

This will include financial support for the administration and coordination activities of COST. 

EN 

18 

   EN 

 
                                                 
fund  for  the  purpose  of  joint  calls  for  proposals  between  their  respective 
national and regional programmes (“ERA-NET PLUS”). 

The participation of the Community in national research programmes jointly implemented on 
the  basis  of  Article  169  is  especially  relevant  to  European  co-operation  on  a  large  scale  in 
“variable geometry” between Member States sharing common needs and/or interests. In well 
identified  cases,  sSuch  Article  169  initiatives  will  be  launched  in  areas  to  be  identified  in 
close  association  with  the  Member  States,  including  the  possible  cooperation  with 
intergovernmental programmes, on the basis of a series of criteria: 

– 

– 

– 

– 

– 

– 

Relevance to EUCommunity objectives.  

The  clear  definition  of  the  objective  to  be  pursued  and  its  relevance  to  the 
objectives of this Framework Programme. 

Presence  of  a  pre-existing  basis  (national  research  programmes  existing  or 
envisaged).  

European added value. 

Critical mass, with regard to the size and the number of programmes involved, 
the similarity of activities they cover. 

Efficiency  of  Article  169  as  the  most  appropriate  means  for  achieving  the 
objectives. 

International co-operation 

International cooperation actions must show a clearly defined European added value and 
under this part of the Framework Programme will be: 

•  The  opening  of  all  activities  carried  out  in  the  thematic  areas  to  researchers  and 
research  institutions  from  all  third  countries,  with  restrictions  for  the  Security 
theme if and where appropriate, with a strong effort to encourage them to seize 
this opportunity.  

•  Specific co-operation actions in each thematic area dedicated to third countries in 
the case of mutual interest in co-operating on particular topics to be selected on 
the  basis  of  their  scientific  and  technological  level  and  needs.  Closely 
associated  with  the  bilateral  co-operation  agreements  or  multilateral  dialogues 
between  the  EU  and  these  countries  or  groups  of  countries,  these  actions  will 
serve as privileged tools for implementing the co-operation between the EU and 
these countries. Such actions are, in particularAs well as serving fields of mutual 
interest,  such  actions  also  include:  actions  aiming  at  reinforcing  the  research 
capacities  of  candidate  countries  as  well  as  neighbourhood  countries;  and 
cooperative activities targeted at developing and emerging countries, focusing on 
their  particular  needs  in  fields  such  as  health,  agriculture,  fisheries  and 
environment, and implemented in financial conditions adapted to their capacities. 

This part of the Framework Programme covers the international co-operation actions in each 
thematic area and across themes. They will be implemented in coordination with those under 
the “People” and the “Capacities” part of the Framework Programme. 

EN 

19 

   EN 

 
THEMES 

1. 

Health 

Objective  

Improving  the  health  of  European  citizens  and,  increasing  the  competitiveness  and 
boosting  the  innovative  capacity  of  European  health-related  industries  and  businesses, 
while  addressing  global  health  issues  including  emerging  epidemics.  Emphasis  will  be 
put  on  translational  research  (translation  of  basic  discoveries  in  clinical  applications 
including  scientific  validation  of  experimental  results),  the  development  and  validation 
of new therapies, methods for health promotion and prevention including promotion of 
healthy  ageing,  diagnostic  tools  and  medical  technologies,  as  well  as  sustainable  and 
efficient healthcare systems.  

Rationale  

The  sequencing  of  the  human  genome  and  the  recent  advances  in  post-genomics  have 
revolutionised research into human health and diseases. Integrating the vast amounts of data 
and  understanding  underlying  biological  processes  and  developing  key  technologies  for 
health related bio-industries requires bringing together critical masses of various expertises 
and resources that are not available at a national level, with a view to developing knowledge 
and capacity for intervention.  

Significant  advances  in  translational  health  research,  which  is  essential  to  ensure  that 
biomedical  research  provides  practical  benefits  and  improves  life  quality,  also  requires 
multidisciplinary  and  pan-European  approaches  involving  different  stakeholders.  Such 
approaches  allow  Europe  to  contribute  more  effectively  to  international  efforts  to  combat 
diseases of global importance. 

Clinical  research  on  many  diseases  (e.g.  cancer,  cardiovascular  diseases  and  infectious 
diseases,  mental  and  neurological  diseases,  in  particular  those  linked  with  ageing,  such  as 
Alzheimer  and  Parkinson  diseases)  relies  on  international  multi-centre  trials  to  achieve  the 
required number of patients in a short time-frame. Epidemiological research requires a large 
diversity  of  populations  and  international  networks  to  achieve  significant  conclusions. 
Developing  new  diagnostics  and  treatments  for  rare  disorders  as  well  as  performing 
epidemiological  research  on  those  disorders  also  require  multi-country  approaches  to 
increase the number of patients for each study. And performing health policy-driven research 
at the European level enables comparisons of the models, systems, data, and patient material 
held in national databases and biobanks. 

A  strong  EU-based  biomedical  research  will  help  strengthen  the  competitiveness  of  the 
European  healthcare  biotechnology,  medical  technology  and  pharmaceutical  industries.  EU 
collaboration  with  developing  countries  will  allow  those  countries  to  develop  research 
capacities. The  EU  also  has  to  play  an  active  role  in  creating  an  environment  conducive  to 
innovation in the public and pharmaceutical sectors which address public health needs, in 
particular  to  maximise  the  success  of  clinical  research.  Research-based  SMEs  are  the  main 
economic  drivers  of  the  healthcare  biotechnology  and  medical  technology  industries. 
Although Europe now has more Biotechnology companies than US, most of them are small 
and  less  mature  than  their  competitors.  Public-private  research  efforts  at  the  EU  level  will 
facilitate  their  development.  EU  research  will  also  contribute  to  the  development  of  new 

EN 

20 

   EN 

 
norms  and  standards  to  set  up  an  appropriate  legislative  framework  for  new  medical 
technologies (e.g. regenerative medicine). European research and innovation in the field of 
alternative  testing  strategies,  in  particular  non-animal  methods,  will  ensure  global 
leadership  in  addressing  public  and  stakeholder  concerns  about  the  continuing  use  of 
animals  in  biomedical  research  and  could,  in  addition,  provide  a  market  for  certain 
sectors of industry.  

The activities that will be addressed, which include research essential to policy requirements, 
are set out below. Twohe strategic issues, child health, and the health of the ageing population 
will receive specific attention be addressed across activities. Long-term rResearch agendas 
such as those established by European Technology Platforms, such as the one on innovative 
medicines, will be supported where relevant. To complement these and respond to new policy 
needs,  additional  actions  may  be  supported  for  example  in  the  areas  of  health  policy  issues 
and occupational health and safety. 

Ethical,  legal  and  socio-economic  issues  will  be  taken  into  account  within  each  of  the 
following activities. 

Activities  

•  Biotechnology, generic tools and medical technologies for human health.  

–  High-throughput  research.  To  catalyse  experimental  progress  in  genome,  post-genome 
and  biomedical  research  by  enhancing  data  generation,  standardisation,  acquisition  and 
analysis. 

–  Detection,  diagnosis  and  monitoring.  With  emphasis  on  non-invasive  or  minimally 

invasive approaches. 

–  Predicting suitability, safety and efficacy of therapies. To develop and validate biological 
including  simulation, 

markers, 
pharmacogenomics, targeting and delivery approaches and alternatives to animal testing.  

in  vitro  methods  and  models, 

in  vivo  and 

–  Innovative therapeutic approaches and intervention. To research, consolidate and ensure 
further developments in advanced therapies and technologies with potential application in 
many diseases and disorders such as new therapeutic tools for regenerative medicine. 

•  Translating research for human health 

–  Integrating  biological  data  and  processes:  large-scale  data  gathering,  systems  biology 
(including modelling of complex systems). To  generate and analyse  the  vast  amount of 
data  needed  to  understand  better  the  complex  regulatory  networks  of  thousands  of  genes 
and  gene-products  controlling  important  biological  processes  in  all  relevant  organisms 
and at all levels of organisation. 

–  Research  on  the  brain  and  related  diseases,  human  development  and  ageing.  To  explore 
the  process  of  healthy  ageing  and  the  way  genes  and  environment  interact  with  brain 
activity,  under  normal  conditions  as  well  as  in  brain  diseases  including  relevant  age 
related illness (e.g. dementia). 

EN 

21 

   EN 

 
–  Translational  research  in  infectious  diseases.  To  address  anti-microbial  drug  resistance, 
the  global  threats  of  HIV/AIDS,  including  co-infection  with  hepatitis  C,  malaria  and 
tuberculosis as well as potentially new and re-emerging epidemics (e.g. SARS and highly 
pathogenic influenza). 

–  Translational research in major diseases: cancer, cardiovascular disease, diabetes/obesity; 
rare  diseases;  and  other  chronic  diseases 
including  rheumatoid  diseases(e.g. 
osteoarthritis).  To  develop  patient-oriented  strategies  from  prevention  to  diagnosis  with 
particular emphasis in and treatment including clinical research. 

•  Optimising the delivery of health care to European citizens 

–  Translating  clinical  research  outcome  into  clinical  practice.  To  understandcreate  the 
knowledge  base  for  clinical  decision-making  and  how  to  translate  outcomes  of  clinical 
research into clinical practice and especially addressing patient safety and the better use 
of  medicines  (including  some  aspects  of  pharmacovigilence  and  scientifically  tested 
complementary  and  alternative  medicines)  as  well  as  the  specificities  of  children, 
women and elderly population. 

–  Quality, efficiency and solidarity of health care systems including transitional health care 
systems. To translate effective interventions into management decisions, to assess the cost, 
efficiency and benefits of different interventions including as regards patient safety, to 
define  the  needs  and  conditions  for  ensure  an  adequate  supply  of  human  resources,  to 
analyse  factors  influencing  equity  of  access  to  high  quality  health  care  (also  by 
disadvantaged groups), including analyses of changes in population (e.g. ageing, mobility 
and migration, and the changing workplace). 

–  Enhanced  disease  prevention  and  better  use  of  medicines.  To  develop  efficient  public 
health interventions addressing wider determinants of health (such as stress, diet, lifestyle 
or environmental factors and their interaction with medication). To identify successful 
interventions in different health care settings for improving the prescription of medicines 
and 
their  use  by  patients  (including  pharmacovigilence  aspects  and 
interactions of medicines). 

improving 

–  Appropriate  use  of  new  health  therapies  and  technologies.  Long  term  safety  and 
effectiveness  assessmentaspects  and  monitoring  of  large  scale  use  of  new  medical 
technologies (including devices) and advanced therapies ensuring a high level of protection 
and benefit for public health.  

2. 

Food, Agriculture and Biotechnology 

Objective  

Building  a  European  Knowledge  Based  Bio-Economy17  by  bringing  together  science, 
industry  and  other  stakeholders,  to  exploit  new  and  emerging  research  opportunities 
that  address  social,  environmental  and  economic  challenges:  the  growing  demand  for 
safer,  healthier  and  higher  quality  food  and  for  sustainable  use  and  production  of 

17 

The  term  “bio-economy”  includes  all  industries  and  economic  sectors  that  produce,  manage  and 
otherwise  exploit  biological  resources  and  related  services,  supply  or  consumer  industries,  such  as 
agriculture, food, fisheries, forestry, etc. 

EN 

22 

   EN 

 
                                                 
renewable bio-resources; the increasing risk of epizootic and zoonotic diseases and food 
related disorders; threats to the sustainability and security of agricultural, aquaculture 
and fisheries production including those resulting in particular from climate change; and 
the  increasing  demand  for  high  quality  food,  taking  into  account  animal  welfare  and 
rural and coastal contexts and the ways of meeting specific consumer needs.  

Rationale  

Innovations  and  advancement  of  knowledge  in  the  sustainable  management,  production  and 
use of biological resources (micro-organism, plants, animals), will provide the basis for new, 
sustainable, safer, eco-efficient and competitive products for agriculture, fisheries, feed, food, 
health, forest based and related industries. In line with the European strategy on life sciences 
and biotechnology18, this will help increase the competitiveness of European agriculture and 
biotechnology,  seed  and  food  companies,  in  particular  high  tech  SMEs,  while  improving 
social welfare and well-being. Research into the safety of food and feed chains, diet related 
diseases, food choices and the impact of food and nutrition on health will help to fight food 
related  disorders  (e.g.  obesity,  allergies)  and  infectious  diseases  (e.g.  transmissible 
spongiform  encephalopathies,  avian-flu),  while  making  important  contributions  to  the 
implementation of existing and the formulation of future policies and regulations in the area 
of public, animal and plant health and consumer protection.  

The  diversity  and  mainly  small  size  of  the  European  industries  in  these  areas,  while  being 
one of its strengths and an opportunity, leads to fragmented approaches to similar problems. 
These are better addressed by increased collaboration and sharing of expertise, for example on 
new  methodologies,  technologies,  processes  and  standards  that  result  from  changing 
EUCommunity legislation.  

Several European Technology Platforms contribute in setting common research priorities, in 
fields such as plant genomics and biotechnology, forestry and forest based industries, global 
animal  health,  farm  animal  breeding,  food  and  industrial  biotechnology.  The  research  will 
also  provide  the  knowledge  base  needed  to  support19:  the  Common  Agricultural  Policy  ; 
agriculture and trade issues; food safety regulations; European Forest Strategy; Community 
animal  health,  disease  control  and  welfare  standards;  and  the  Common  Fisheries  Policy 
reform aiming to provide sustainable development of fishing and aquaculture and the safety 
of seafood products. A flexible response to new policy needs is also foreseen, in particular 
with respect to new social or economic trends.  

Activities  

•  Sustainable  production  and  management  of  biological  resources  from  land,  forest, 
and  aquatic  environments:  Enabling  research,  including  'omics'  technologies,  such  as 
genomics,  proteomics,  metabolomics,  systems  biology,  bioinformatics  and  converging 
technologies  for  micro-organisms,  plants  and  animals,  including  exploitation  and 
sustainable use of their biodiversity. For land based biological resources, research will 
focus  on:  soil  fertility;  improved  crops  and  production  systems  in  all  their  diversity, 
including organic farming, quality production schemes and monitoring and assessment of 

18 
19 

“Life Sciences and biotechnology – A strategy for Europe” - COM(2002) 27. 
Complementary research relating to the sustainable management and conservation of natural resources 
is addressed under the “Environment (including Climate Change)” theme. 

EN 

23 

   EN 

 
                                                 
GMO impacts on environment and humans; plant health; sustainable, competitive and 
multifunctional agriculture, and forestry; integrated rural development;. A animal20 health 
and welfare, breeding and production, including research into vaccines and diagnostics; 
plant health;  sustainable and competitive fisheries  and aquaculture;  infectious diseases in 
animals, including epidemiological studies, zoonoses and their pathogenic mechanisms, 
and  diseases  linked  to  animal  feedstuffs;  other  threats  to  the  sustainability  and 
security of food production, including  climate change; safe  disposal of animal  waste;. 
For  biological  resources  from  aquatic  environments,  research  will  support 
sustainability  and  competitiveness  of  fisheries,  provide  the  scientific  and  technical 
basis  of  fisheries  management  and  support  the  sustainable  development  of 
aquaculture, 
including  breeding  and  welfare.  conservation,  management  and 
exploitation  of  living  aquatic  resources,  dDevelopingment  theof  tools  needed  by  policy 
makers and other actors in areas such as agriculture, fisheries and aquaculture and rural 
development  (landscape,  land  management  practices  etc.);  socio-economic  and  ethical 
contexts of production. 

•  “Fork  to  farm”:  Food,  health  and  well  being:  Consumer,  societal,  cultural,  industrial 
and  health  aspects  of  food  and  feed,  including  behavioural  and  cognitive  sciences; 
nutrition,  diet  related  diseases  and  disorders,  including  obesity  and  allergies;  health 
benefits  of  certain  food  and  diets;  innovative  food  and  feed  processing  technologies 
(including packaging); improved quality and safety, both chemical and microbiological, of 
food, beverage and feed; integrity (and control) of the food chain; environmental impacts 
on and of food/feed chains; impact on and resistance of food chain to global changes; 
total food chain concept (including seafood); traceability. 

•  Life  sciences  and  biotechnology  for  sustainable  non-food  products  and  processes: 
Improved  crops  and  forest  resources,  feed-stocks,  marine  products  and  biomass 
(including marine resources) for energy, environment, and high added value products such 
as  materials  and  chemicals,  including  novel  farming  systems,  bio-processes  and  bio-
refinery  concepts;  bio-catalysis,  new  and  improved  micro-organisms  and  enzymes; 
forestry  and  forest  based  products  and  processes;  environmental  bio-remediation  and 
cleaner bio-processing, the utilisation of agro industrial wastes and by-products. 

3. 

Information and Communication Technologies 

Objective 

Improve the competitiveness of European industry andTo enable Europe to master and 
shape the future developments of Information and Communication Technologies (ICT) 
so  that  the  demands  of  its  society  and  economy  are  met.  Activities  will  strengthen 
Europe’s  scientific  and  technology  base  and  ensure  its  global  leadership  in  ICT,  help 
drive and stimulate product, service and process innovation and creativity through ICT 
use  and  ensure  that  ICT  progress  is  rapidly  transformed  into  benefits  for  Europe’s 
citizens, businesses, industry and governments. 

20 

Animals include livestock, fish, etc. 

EN 

24 

   EN 

 
                                                 
Rationale 

Information and Communication Technologies are critical to Europe’s future and underpin the 
realisation  of  the  Lisbon  agenda.  They  have  a  catalytic  impact  in  three  key  areas: 
productivity and innovation, modernisation of public services; and advances in science 
and technology. Half of the productivity gains in our economies are explained by the impact 
of  ICT  on  products,  services  and  business  processes.  ICT  is  the  leading  factor  in  boosting 
innovation and creativity and in mastering change in value chains across industry and service 
sectors. ICT is essential to meet the rise in demand for health and social care, in particular 
for people with special needs including the ageing population, and to modernise services 
in domains of public interest such as education, cultural heritage, learning, social inclusion, 
cohesion, security, energy, transport and the environment, and to promote accessibility and 
transparency  of  governance  and  policy  development  processes..  And  ICT  plays  an 
important role in RTD management and communication and is catalytic in the advance of 
other  fields  of  science  and  technology  as  it  transforms  the  way  researchers  conduct  their 
research, co-operate and innovate. 

The escalating economic and societal demands, together with the continued mainstreaming of 
ICT and the need to push further the technology limits as well as to develop innovative high-
value  ICT-based  products  and  services  set  a  growing  agenda  for  research.  To  bring 
technology  closer  to  people  and  organisational  needs  means:  hiding  technology  complexity 
and  revealing  functionality  on  demand;  making  technology  functional,  very  simple  to  use, 
available  and  affordable;  providing  new  ICT-based  applications,  solutions  and  services  that 
are  trusted,  reliable,  and  adaptable  to  the  users’  context  and  preferences.  Driven  by  the 
demand  of  more-for-less,  ICT  researchers  are  currently  involved  in  a  global  race  focusing 
onto  achieve  further  miniaturisation, 
the  convergence  of  computing, 
communications  and  media  technologies,  including  further  interoperability  between 
systems, and the convergence with other relevant sciences and disciplines, and to on building 
systems  that  are  able  to  learn  and  evolve.  From  these  diverse  efforts  a  new  wave  of 
technologies  is  emerging.  ICT  research  activities  will  also  draw  on  and  contribute  to  a 
broader range of scientific and technological disciplines including biology, chemistry and life 
sciences, psychology, pedagogy, cognitive and social sciences and the humanities. 

to  mastering 

ICT  is  one  the  most  research  intensive  sectors.  The  ICT  research  effort,  public  and  private, 
represents a third of the total research effort in all major economies. Although Europe already 
enjoys  industrial  and  technological  leadership  in  key  ICT  fields  it  lags  in  investing  in  ICT 
research behind its major competitors. Only through a renewed and more intensive pooling of 
the  effort  at  European  level  will  we  be  able  to  make  the  most  of  the  opportunities  that 
progress in ICT can offer.  

The ICT research activities will be closely articulated with policy actions for ICT deployment 
and  with  regulatory  measures  within  a  comprehensive  and  holistic  strategy.  Priorities  have 
been  set  following  extensive  consultations  including  input  from  a  series  of  European 
Technology Platforms and industrial initiatives in areas such as nano-electronics, embedded 
systems,  mobile  and  wireless  communications,  electronic  media,  photonics,  robotics  and 
software, services and Grids.  

Activities 

The  role  of  research  into  Future  and  Emerging  Technologies  is  particularly  relevant 
under this theme to support research at the frontier of knowledge in core ICTs and in 

EN 

25 

   EN 

 
their  combination  with  other  relevant  areas  and  disciplines;  to  nurture  ideas  and 
radically new uses and to explore new options in ICT research roadmaps, including the 
exploitation of quantum effects, system integration and smart systems. 

•  ICT Technology Pillars: 

–  Nano-electronics,  photonics  and  integrated  micro/nano-systems.  pushing  the  limits  of 
miniaturisation,  integration,  variety,  storage  and  density;  increasing  performance  and 
manufacturability at lower cost; facilitating incorporation of ICT in range of applications; 
interfaces; upstream research requiring exploration of new concepts. 

–  Ubiquitous  and  unlimited  capacity  communication  networks:  ubiquitous  access  over 
heterogeneous  networks  -  fixed,  mobile,  wireless  and  broadcasting  networks  spanning 
from the personal area to the regional and global area - allowing the seamless delivery of 
ever higher volumes of data and services anywhere, anytime. 

–  Embedded systems, computing and control: powerful, secure and distributed, reliable and 
efficient  computing,  storage  and  communication  systems  and  products  that  are 
embedded in objects and physical infrastructures and that can sense, control and adapt to 
their environment; interoperability of discrete and continuous systems. 

–  Software,  Grids,  security  and  dependability:  dynamic,  adaptive,  dependable  and  trusted 
software  and  services,  platforms  for  software  and  services,  complex  systems  and  new 
processing architectures, including their provision as a utility.  

–  Knowledge,  cognitive  and  learning  systems:  semantic  systems;  capturing  and  exploiting 
knowledge  embedded  in  web  and  multimedia  content;  bio-inspired  artificial  systems  that 
perceive,  understand,  learn  and  evolve,  and  act  autonomously;  learning  by  convivial 
machines and humans based on a better understanding of human cognition. 

–  Simulation, visualisation, interaction and mixed realities: tools for innovative design and 
creativity  in  products,  services  and  digital  media,  and  for  natural,  language-enabled  and 
context-rich interaction and communication. 

New  perspectives  in  ICT  drawing  on  other  science  and  technology  disciplines,  including 
insights  from  physics,  biotechnologies,  materials-  and  life-sciences,  mathematics,  for 
miniaturisation of  ICT devices  to  sizes compatible and interacting with living organisms, to 
increase  performance  and  user-friendliness  of  systems  engineering  and  information 
processing, and for modelling and simulation of the living world. 

•  Integration of Technologies:  

–  Personal  environments:  personal  communication  and  computing  devices,  accessories, 

wearables, implants; their interfaces and interconnections to services and resources.  

–  Home  environments:  communication,  monitoring,  control,  assistance; 
interoperability and use of all devices; interactive digital content and services.  

seamless 

–  Robotic  systems:  advanced  autonomous  systems;  cognition,  control,  action  skills,  natural 

interaction and cooperation; miniaturisation, humanoid technologies.  

EN 

26 

   EN 

 
–  Intelligent  infrastructures:  tools  making  infrastructures  that  are  critical  to  everyday  life 
more efficient and user-friendly, easier to adapt and maintain, more robust to usage and 
resistant to failures. 

•  Applications Research: 

–  ICT  meeting  societal  challenges:  New  systems,  novel  materials,  structures  and 
technologies and services in areas of public interest improving quality, efficiency, access 
and  inclusiveness;  user  friendly  applications,  integration  of  new  technologies  and 
initiatives such as ambient assisted living. 

– 

– 

– 

– 

– 

for  health,  improving  disease  prevention  and  health  care  provisions, 
early  diagnosis,  treatment  and  personalisation;  autonomy,  safety, 
monitoring  and  mobility  of  patients;  health  information  space  for 
knowledge discovery. 

to improve inclusion and equal participation and prevent digital divides; 
assistive technology for elderly and for disabled people; design-for-all.  

for  mobility;  intelligent  ICT-based  transportation  systems  and  vehicles 
and intelligent service solutions for tourism enabling people and goods 
to move safely, ecologically, comfortably and efficiently. 

in  support  of  the  environment,  risk  management  and  sustainable 
development,  to  prevent  or  reduce  vulnerability  and  to  mitigate  the 
consequences  of  natural  disasters  and  industrial  accidents  and  human 
activities related to economic development.  

for  governments;  efficiency,  openness  and  accountability,  for  a  world-
class  public  administration  and  links  to  citizens  and  businesses, 
supporting democracy, allowing access to information to all. 

–  ICT for content, creativity and personal development:  

– 

– 

– 

including 
new  media  paradigms  and  new 
entertainment;  creation  of  interactive  digital  content;  enriched  user 
experiences; 
rights 
content 
cost-effective 
management; hybrid media.  

forms  of  content, 

delivery; 

digital 

technology-enhanced  learning;  adaptive  and  contextualised  learning 
solutions; active learning.  

ICT-based  systems  to  support  accessibility  and  use  over  time  of  digital 
cultural  and  scientific  resources  and  assets,  in  a  multilingual  and 
multicultural environment 

–  ICT supporting businesses and industry: 

– 

new forms of dynamic networked co-operative business processes, digital 
eco-systems in particular for small- and medium-sized organisations; 
optimised,  distributed  work  organisation  and  collaborative  work 

EN 

27 

   EN 

 
environments such as knowledge sharing and interactive services (e.g. 
for tourism). 

–  Manufacturing  including  traditional  industries:  rapid  and  adaptive 
design, production and delivery of highly customised goods; digital and 
virtual production; modelling, simulation, optimisation and presentation 
tools; miniature and integrated ICT products; 

–  ICT  for  trust  and  confidence:  identity  management;  authentication  and  authorization; 
privacy  enhancing  technologies;  rights  and  asset  management;  protection  against  cyber 
threats. 

•  Future  and  Emerging  Technologies:  to  support  research  at  the  frontier  of  knowledge  in 
core  ICTs  and  in  their  combination  with  other  relevant  areas  and  disciplines;  to  nurture 
novel ideas and radically new uses and to explore new options in ICT research roadmaps. 

4. 

Nanosciences, Nanotechnologies, Materials and new Production Technologies  

Objective  

Improve the competitiveness of European industry and generate knowledge to ensure its 
transformation  from  a  resource-intensive  to  a  knowledge-intensive  industry,  by 
generating breakthroughstep changes in knowledge and implementing decisive knowledge 
for  new  applications  at  the  crossroads  between  different  technologies  and  disciplines. 
This  will  benefit  both  new,  high-tech  industries  and  higher-value,  knowledge-based 
traditional  industries,  with  a  special  focus  to  the  appropriate  dissemination  of  RTD 
results  to  SMEs.  These  activities  are  primarily  concerned  with  enabling  technologies 
which  impact  all  industrial  sectors  and  many  other  Themes  under  this  Framework 
Programme. 

Rationale  

The increasing difficulties affecting many decline in industrial activities appears no longer 
to be limited to traditional sectors with a high labour intensity, but is beginning to be observed 
in intermediate sectors – which constitute the established strengths of European industry – and 
even  in  some  high-technology  sectors.  A  strong  industrial  base  must  be  maintained  by 
strengthening  the  knowledge  content  in  existing  industry  as  well  as  This  trend  can  and 
must  be  reversed  by  building,  in  Europe,  a  strong  knowledge-based,  knowledge  intensive 
industry, stressing the exploitation of basic research for industrial applications. This will 
include  the  modernisation  of  the  existing  SME  base  and  the  creation  of  new  knowledge-
driven  SMEs,  from  the  dissemination  of  knowledge  and  expertise  through  collaborative 
programmes. 

the 

industry  of 

The  competitiveness  of 
largely  depend  on 
nanotechnologies  and  their  applications.  RTD  in  nanosciences  and  nanotechnologies 
taken  up  by  several  areas  can  accelerate  European  industry’s  transformation.  The  EU 
has recognised leadership in fields such as in nanosciences, nanotechnologies, materials and 
production technologies which must be strengthened in order to secure and increase the EU 
position in a highly competitive global context.  

future  will 

the 

EN 

28 

   EN 

 
Industry  relevant  priorities  and  their  integration  for  sectoral  applications  can  be 
established  through  activities  like  the  European  Technology  Platforms  in  fields  such  as 
nanoelectronics,  manufacturing,  steel,  chemistry,  the  transport  industry,  construction, 
industrial  safety,  textiles,  pulp  and  paper  forest-based  industry  and  nano-medicine.  This 
will help establish common research priorities and targets. In addition by responding flexibly 
to new  policy needs  that arise during the lifetime of the 7th Framework Programme to 
industry relevant priorities and their integration for sectoral applications, the relevant policy, 
regulatory and standardisation, and impact issues will be addressed, including by responding 
flexibly to new policy needs that arise. 

Activities  

•  Nanosciences, Nanotechnologies 

–  Generating new knowledge on interface and size dependent phenomena; nano-scale control 
of material  properties  for  new  applications; integration of technologies at the nano-scale; 
self-assembling  properties;  nano-motors;  nano-machines  and  nano-systems;  methods  and 
tools  for  characterisation  and  manipulation  at  nano  dimensions;  nano  and  high-precision 
technologies  in  chemistry  for  the  manufacture  of  basic  materials  and  components; 
impact on human safety, health and the environment; metrology, monitoring and sensing, 
nomenclature  and  standards;  exploration  of  new  concepts  and  approaches  for  sectoral 
applications,  including  the  integration  and  convergence  of  emerging  technologies. 
Activities  will  also  investigate  the  impact  of  nanotechnology  on  society  and  the 
relevance of nanoscience and technology for the solution of societal problems. 

•  Materials  

–  Generating new knowledge on high-performance surfaces and materials for new products 
and  processes;  knowledge-based  materials  with  tailored  properties  and  predictable 
performance;  more  reliable  design  and  simulation;  computational  modelling;  higher 
complexity;  environmental  compatibility;  integration  of  nano-molecularmicro-macro 
functionalitylevels  in  the  chemical  technology  and  materials  processing  industries;  new 
nano-materials  including  nano-composites,  bio-materials,  artificial  materials  with 
electromagnetic properties not found in nature, and hybrid materials, including design 
and  control  of  their  processing,  properties  and  performance.  Materials  with  new 
properties are key to the future competitiveness of European industry and the basis 
for  technical  progress 
in  many  areas  such  as  health,  electronics,  energy, 
transportation and security. 

•  New Production  

–  Creating conditions and assets for sustainable knowledge-intensive production, including 
construction,  development  and  validation  of  new  paradigms  responding  to  emerging 
industrial  needs  and  fostering  the  modernisation  of  the  European  industry  base; 
development  of  generic  production  assets  for  adaptive,  networked  and  knowledge-based 
production;  development  of  new  engineering  concepts  exploiting  the  convergence  of 
technologies (eg, nano, bio, info, cognitive and their engineering requirements) for the next 
generation  of  high  value-added  products  and  services,  and  adaptation  to  the  changing 
needs; engage high-throughput production technologies. 

EN 

29 

   EN 

 
•  Integration of technologies for industrial applications 

–  Integrating  new  knowledge,  nano-  and  micro  and  technologies  on  nano,  materials  and 
production in sectoral and cross sectoral applications to address in particular the needs 
identified  by  relevant  European  Technology  Platforms.  such  as:  health,  construction, 
transport,  energy,  chemistry,  environment,  textiles  and  clothing,  pulp  and  paper, 
mechanical engineering. 

5. 

Energy 

Objective 

AdaptingTransforming  the  current  fossil-fuel  based  energy  system  into  a  more 
sustainable  one,  less  dependent  of  imported  fuels,  based  on  a  diverse  mix  portfolio  of 
energy sources and carriers, with particular attention being paid to lower and non-CO2 
emitting  energy  technologies,  combined  with  enhanced  energy  efficiency  and 
conservation,  to  address  the  pressing  challenges  of  security  of  supply  and  climate 
change, whilst increasing the competitiveness of Europe’s energy industries. 

Rationale 

Energy systems are confronted with major challenges. The urgency to identify and develop 
adequate and timely solutions is justified by the alarming trends in global energy demand, the 
finite nature of conventional oil and natural gas reserves and (predicted to rise by 60% in 
the  next  30  years),  the  need  to  curb  dramatically  emissions  of  greenhouse  gases  to  mitigate 
the  devastating  consequences  of  climate  change,  the  damaging  volatility  of  oil  prices  (in 
particular for the transport sector which is heavily oil dependent) and geopolitical instability 
in  supplier  regions.  Energy  research  contributes  towards  ensuring  affordable  energy 
costs for our citizens and industries. Research and demonstration are needed to provide the 
most environmentally and cost-effective technologies and measures enabling the EU to meet 
its  targets  under  the  Kyoto  Protocol  and  beyond  and  to  implement  its  energy  policy 
commitments, as described in the 2000  Green Paper on the security of energy supply21, the 
2005  Green  Paper  on  energy  efficiency  and  the  2006  Green  Paper  on  a  European 
strategy for sustainable, competitive and secure energy.  

Europe  has  developed  world  leadership  in  a  number  of  energy  generation  and  energy 
efficiency  technologies.  It  is  the  pioneer  in  modern  renewable  energy  technologies,  such  as 
solar  energy,  bio-energy  and  wind  energy.  The  EU  is  also  a  global  competitor  in  power 
generation  and  distribution  technologies  and  has  a  strong  research  capability  in  the  area  of 
carbon  capture  and  sequestration.  These  positions,  however,  are  now  facing  under  severe 
threat  from  competition  (in  particular  from  the  US  and  Japan).  Therefore,  Europe  must 
maintain and develop its leading position which requires large efforts and international 
collaboration. 

Radically  transforming  the  energy  system  into  a  less-  or  non-CO2  emitting,  reliable, 
competitive and sustainable energy system requires new technologies with risks that are too 
high  and  the  profitsbenefits  too  uncertain  for  private  firms  to  provide  all  the  investment 
needed  for  research,  development,  demonstration  and  deployment.  Public  support  should 

21 

COM(2000) 769. 

EN 

30 

   EN 

 
                                                 
therefore play a key role in mobilising private investment and European efforts and resources 
should be combined in a coherent and more effective manner, to compete with economies that 
are investing heavily and consistently in similar technologies. European technology platforms 
play an importanta vital role in this regard, by mobilising the necessary research effort in a 
coordinated manner. The activities to meet the objective are set out below. A specific activity 
on knowledge for energy policy making is included which may also provide support to new 
policy  needs  that  emerge,  for  example  relating  to  the  role  of  European  energy  policy  in  the 
developments  of  international  climate  change  actions,  and  instabilities  or  disruptions  in 
energy supply and price. 

Activities 

•  Hydrogen and fuel cells 

Integrated  action  to  provide  a  strong  technological  foundation  for  competitive  EU  fuel  cell 
and  hydrogen  industries,  for  stationary,  portable  and  transport  applications.  The  Hydrogen 
and Fuel Cells European Technology Platform helps this activity by proposing an integrated 
research and deployment strategy. 

•  Renewable electricity generation 

Technologies  to  increase  overall  conversion  efficiency,  cost  efficiency  and  reliability, 
driving  down  the  cost  of  electricity  production  from  indigenous  renewable  energy  sources, 
including biodegradable waste, and the development and the demonstration of technologies 
suited to different regional conditions.  

•  Renewable fuel production 

Integrated conversion technologies and fuel production systems: to develop and drive down 
the unit cost of solid, liquid and gaseous (including hydrogen) fuels produced from renewable 
energy  sources,  including  biomass  and  biodegradable  waste,  aiming  at  the  cost-effective 
production, storage, distribution and use of carbon-neutral fuels, in particular liquid biofuels 
for transport. 

•  Renewables for heating and cooling 

Research,  development  and  demonstration  of  tTechnologies  and  devices  including 
storage technologies to increase efficiencies and drive down the costs of active and passive 
heating  and  cooling  from  renewable  energy  sources,  ensuring  their  use  in  different  regional 
conditions.  

•  CO2 capture and storage technologies for zero emission power generation 

Research,  development  and  demonstration  of  technologies  tTo  drastically  reduce  the 
adverse environmental impact of fossil fuel use aiming at highly efficient and cost effective 
power and/ or steam generation plants with near zero emissions, based on CO2 capture and 
storage technologies, in particular underground storage.  

•  Clean coal technologies 

EN 

31 

   EN 

 
To substantially improve plant efficiency, reliability and cost through research, development 
and demonstration of clean coal and other solid fuel conversion technologies producing also 
secondary energy carriers (including hydrogen) and liquid or gaseous fuels.  

•  Smart energy networks 

Research, develop and demonstrate how tTo increase the efficiency, safety and, reliability 
and  quality  of  the  European  electricity  and  gas  systems  and  networks  notably  within  the 
context  of  a  more  integrated  European  energy  market  e.g.  by  transforming  the  current 
electricity grids into an interactive (customers/operators) service network, developing energy 
storage  options  and  removing  and  to  remove  obstacles  to  the  large-scale  deployment  and 
effective integration of distributed and renewable energy sources. 

•  Energy efficiency and savings  

Research,  development  and  demonstration  of  nNew  concepts,  optimisation  of  proved 
concepts  and  technologies  to  improve  energy  efficiency  and  to  reduce  further  final  and 
primary  energy  consumptionsavings  for  buildings,  taking  the  life  cycle  into  account, 
transport, services and industry. This includes the integration of strategies and technologies 
for  energy  efficiency  (including  co-  and  polygeneration),  the  use  of  new  and  renewable 
energy  technologies  and  energy  demand  management  measures  and  devices,  and  the 
demonstration of minimum climate impact buildings.  

•  Knowledge for energy policy making  

Development  of  tools,  methods  and  models  to  assess  the  main  economic  and  social  issues 
related to energy technologies and to provide quantifiable targets and  scenarios for  medium 
and long term horizons (including providing scientific support for policy development). 

6. 

Environment (including Climate Change) 

Objective 

Sustainable  management  of  the  environment  and  its  resources  through  advancing  our 
knowledge  on  the  interactions  between  the  climate,  biosphere,  ecosystems  and  human 
activities, and developing new technologies, tools and services, in order to address in an 
integrated  way  global  environmental  issues  .  Emphasis  will  be  put  on  prediction  of 
climate,  ecological,  earth  and  ocean  systems  changes;  on  tools  and  technologies  for 
monitoring, prevention, and mitigation  and adaptation of environmental pressures and 
risks including on health, as well as for the conservation and recovery of the natural and 
man-made environment. 

Rationale 

Environmental problems go beyond national frontiers and require a coordinated approach at a 
pan-European  and  often  global  level.  Earth’s  natural  resources  and  the  man-made 
environment  are  under  intense  pressures  from  growing  population,  urbanisation,  continuous 
expansion  of  the  agriculture,  aquaculture,  fisheries,  transport,  construction  and  energy 
sectors, as well as climate variability and warming at local, regional and global scales. Europe 
needs  to  engage  in  a  new  sustainable  relationship  with  the  environment  while  improving 
environmentally  friendly  competitiveness  and  strengthening  European  industry.  EU-wide 

EN 

32 

   EN 

 
cooperation  is  needed  to  attain  critical  mass  given  the  scale,  scope  and  high  level  of 
complexity  of  environmental  research.  It  facilitates  common  planning,  the  use  of  connected 
and inter-operable databases, and the development of coherent and large scale observation and 
forecasting  systems.  Research  should  address  the  need  for  data  management  and 
information services and problems about data transfer, integration and mapping. 

Research is needed at EU level for the implementation of international commitments such as 
UN Framework Convention on Climate Change (UNFCCC)  and  its  the Kyoto protocol, 
the UN Convention on Biological Diversity, the UN Convention to Combat Desertification, 
the  Stockholm  Convention  on  Persistent  Organic  Pollutants  the  objectives  of  the  World 
Summit  on  Sustainable  Development  2002,  including  the  EU  Water  Initiative,  and 
contributions  to  the  Intergovernmental  Panel  on  Climate  Change  and  the  Earth  Observation 
initiative. In addition there are significant research needs arising from existing and emerging 
EU  level  policies,  the  implementation  of  the  6th  Environmental  Action  Plan  and  associated 
thematic  strategies  (e.g.  the  EU  marine  strategy),  the  action  plans,  programmes  and 
directives on Environmental Technologies and Environment and Health, and Directives such 
as the Water Framework and NATURA 2000.  

The  EU  needs  to  strengthen  its  position  in  world  markets  for  environmental  technologies. 
Such technologies contribute to sustainable consumption and production, helping deliver 
sustainable  growth  providing  eco-efficient  solutions  to  environmental  problems  at  different 
scales and protecting our cultural and natural heritage. Environmental requirements act as a 
stimulus for innovation and can provide business opportunities and higher competitiveness 
while at the same time ensuring a more sustainable future for next generations. European 
Technology  Platforms  on  water  supply  and  sanitation  and  on  sustainable  chemistry  confirm 
the  need  for  EU  level  action  and  their  research  agendas  are  taken  into  consideration  in  the 
activities  below.  Other  Platforms  (e.g.  on  Construction  and  on  Forestry)  partially  deal  with 
environmental  technology  issues  and  are  taken  into  consideration  as  well.  Socio-economic 
aspects  particularly  strongly 
introduction  of 
environmental  technologies  to  the  market  and  their  subsequent  application  as  for 
example  in  water  resources  management.  Activities  shall  consider  the  socio-economic 
aspects of policies and technological developments, whenever relevant to the topic. 

the  development  and 

influence 

A series of activities are listed below22 many of which are directly relevant to policy needs. 
However, additional support may be provided to new policy needs that emerge, for example 
relating to sustainability impact assessments of EU policies; the follow up of the post-Kyoto 
action  on  Climate  Change;  and  new  environmental  policies  such  as  in  the  European  Soil 
Strategy and in maritime policy, standards and regulations. 

Activities 

•  Climate change, pollution and risks 

–  Pressures  on  environment  and  climate:  Functioning  of  climate  and  the  earth  system, 
including the polar regions; adaptation and mitigation measures; pollution in air, soil and 
water;  changes  in  atmospheric  composition  and  water  cycle;  global  and  regional 
interactions  between  climate  and  atmosphere,  land  surface,  ice  and  the  ocean;  and 

22 

Complementary research relating to the production and use of biological resources is addressed under 
the “Food, Agriculture and Biotechnology” theme. 

EN 

33 

   EN 

 
                                                 
impacts  on  biodiversity  and  ecosystems,  including  the  effects  of  the  sea  level  rise  on 
coastal zones and impacts on particularly sensitive areas such as mountain regions.. 

–  Environment  and  health:  Interaction  of  environmental  stressors  with  human  health 
including  identification  of  sources,  biomonitoring  research  for  environment  related 
health,  indoor  air  quality  and  links  to  indoor  environment,  urban  environment,  car 
emissions  and  impact  and  emerging  risk  factors;  integrated  risk  assessment  methods  for 
toxichazardous  substances  including  alternatives  to  animal  testing;  quantification  and 
cost-benefit analysis of environmental health risks and indicators for prevention strategies. 

–  Natural  hazards:  Improve  predictionforecasting  and  integrated  hazards-  vulnerability  - 
and  risks  assessments  for  disasters  related  to  geological  hazards  (such  as  earthquakes, 
volcanoes,  tsunamis)  and  climate  (such  as  storms,  drought,  and  floods,  forest  fires, 
landslides,  avalanches  and  other  related  extreme  events)  and  their  impacts;  develop 
early  warning  systems  and  improve  prevention,  and  mitigation  and  management 
strategies, also within a multirisk approach. 

•  Sustainable Management of Resources 

–  Conservation  and  sustainable  management  of  natural  and  man-made  resources  and 
biodiversity:  ecosystems;  water  resources  management;  waste  management  and 
prevention;  protection  and  management  of  biodiversity,  including  control  of  invasive 
alien  species,  soil  protection,  seabed,  lagoons  and  coastal  areas  protection,  approaches 
against desertification and land degradation, preservation of landscape; sustainable use 
and management of forestsforest management; sustainable management and planning of 
including  post-industrialised  zones;  data  management  and 
urban  environment, 
information services; assessment and foresight relating to natural processes. 

–  EvolutionManagement  of  marine  environments:  Impacts  of  human  activities  on  the 
marine  environment  and  its  resources;  pollution  and  eutrophication  in  regional  seas  and 
coastal areas; deep sea ecosystems; assessment of marine biodiversity trends, of ecosystem 
processes and of ocean circulation; seabed geology. Development of strategies, concepts 
and tools for a sustainable use of the ocean and its resources. 

•  Environmental Technologies 

–  Environmental 

technologies 

for  observation,  simulation,  prevention,  mitigation, 
adaptation, remediation and restoration of the natural and man-made environment: related 
to  water,  climate,  air,  marine,  urban  and  rural  environment,  soil,  waste  treatment, 
recycling,  clean  production  processes  and  sustainable  products,  chemicals  safety, 
protection of cultural heritage and of and the built environment. 

–  Protection,  conservation  and  enhancement  of  cultural  heritage  including  human 

habitat, fostering integration of cultural heritage in the urban setting. 

–  Technology assessment, verification and testing: Methods and tools for environmental risk 
and  lifecycle  assessment  of  processes,  technologies  and  products,  including  alternative 
testing  strategies  and  in  particular  non-animal  methods  for  industrial  chemicals; 
support  for  sustainable  chemistry,  forest-based  sector  technology,  water  supply  and 

EN 

34 

   EN 

 
sanitation  Platforms23;  scientific  and  technological  aspects  of  a  future  European 
environmental  technologies  verification  and  testing  programme,  complementing  third 
party assessment instruments. 

•  Earth observation and assessment tools 

–  Earth  and  ocean  observation  systems  and  monitoring  methods  for  the  environment 
and  sustainable  development:  Contribute  to  the  development  and  integration  of 
observation  systems  for  environmental  and  sustainability  issues  in  the  framework  of 
GEOSS  (to  which  GMES  is  complementary);  interoperability  between  systems  and 
optimisation  of  information  for  understanding,  modelling  and  predicating  environmental 
phenomena, for assessing, exploring for and managing natural resources. 

differing 

–  Forecasting  methods  and  assessment  tools  for  sustainable  development  taking  into 
account 
between 
economy/environment/society including market based instruments, externalities, thresholds 
and  developing  the  knowledge  base  and  methodologies  for  sustainability  impact 
assessment on key issues such as land use and marine issues; urban development, social 
and economic tensions related to climate change.  

observation:  modelling 

scales 

links 

of 

7. 

Transport (including Aeronautics) 

Objective 

Based on technological and operational advances and on the European transport policy, 
develop integrated, safer, “greener” and “smarter” pan-European transport systems for 
the  benefit  of  theall  citizens  and  society,  respecting  the  environment  and  natural 
resources; and securing and further developing the competitiveness leading role attained 
by the European industries in the global market.  

Rationale 

Transport is one of Europe’s strengths - the air transport sector contributes to 2.6% of the EU 
GDP  (with  3.1  million  jobs)  and  the  surface  transport  field  generates  11%  of  the  EU  GDP 
(employing  some  16  million  persons).  However,  transport  is  responsible  for  25%  of  all  the 
EU emissions of CO2, hence the absolute need for a “greening” of the system to ensure more 
sustainable transport patterns and compatibility with growth rates, as developed in the White 
Paper on “European Transport Policy for 2010: time to decide”.24  

The  enlargement  (increasing  land  surface  by  25%  and  population  by  20%)  and  economic 
development of the EU present new challenges for transporting people and goods efficiently, 
cost-effectively  and  in  a  sustainable  manner.  Transport  also  has  direct  relevance  on  other 
major  policies  such  as  trade,  competition,  environment,  employment,  cohesion,  energy, 
security  and  the  internal  market.  Investment  in  RTD  in  EU  transport  industries  is  a 

23 

24 

The  research  agendas  of  theserelevant  European  Technology  Platforms  will  be  taken  into  account  in 
the different activities. 
COM(2001) 370. 

EN 

35 

   EN 

 
                                                 
prerequisite  to  ensure  technological competitive  advantage  in  global  markets.25  Activities  at 
European level will also stimulate the restructuring of the industry, including the integration 
of the supply chain and in particular SMEs. 

The  research  agendas  developed  by  European  Technology  platforms26  support  the  need  to 
take  a  new  “transport  systems”  perspective  that  considers  the  interactions  of  vehicles  or 
vessels,  transport  networks  or  infrastructures  and  the  use  of  transport  services,  which  can 
only be developed at European level. RTD costs in all these fields are rising substantially, and 
collaborative  activity  at  EU-level  is  essential  to  enable  a  “critical  mass”  of  diverse  RTD 
providers  to  address  the  scale  and  multi-disciplinary  challenges  in  a  cost-effective  way,  as 
well as meeting the political, technological and socio-economic challenges on issues such as 
the  “clean  and  safe  vehicle”  of  the  future,  interoperability  and  intermodality  with  particular 
reference  to  waterborne  and  rail  transport,  affordability,  safety,  capacity,  security  and 
environmental impacts in an enlarged Union. Also, developing technologies in support of the 
Galileo system and its applications will be essential in implementing European policies. 

As well as the strong industry relevance of the themes and activities set out below, the needs 
of  policy  makers  will  be  addressed  in  an  integrated  way  covering  economic,  social  and 
environmental aspects of transport policy. In addition, support will be provided to respond to 
existing as well as new policy needs, for example relating to developments in maritime policy 
or implementation of the European Single Sky.  

Activities 

•  Aeronautics and air transport 

–  The  greening  of  air  transport: reduction  of  emissions,  including  green  house  gases  and 
noise disturbance, incorporating work on engines and alternative fuels, structures and new 
aircraft designs, airport operations and traffic management. 

–  Increasing time efficiency: improvement of the efficiency of operating schedules focusing 
on innovative air traffic management systems in line with the effective implementation of 
Single Sky policy which integrate air, ground and space components, including traffic flow 
and more aircraft autonomy. 

–  Ensuring customer satisfaction and safety: improvement of passenger comfort, innovative 
in-flight services and more efficient passenger handling; improvement of all safety aspects 
of air transport; wider choice of aircraft ranging from wide body to smaller size vehicles 
suitable for different applications.  

–  Improving  cost  efficiency:  reduction  of  costs  associated  with  product  development, 
manufacturing and operating costs focusing on innovative and zero maintenance, repair 
and overhaul, aircraft, increased use of automation and simulation. 

25 

26 

The European aeronautics industry invests 14% of its turnover in research, the European car industry 
almost 5% of its turnover; and the EU shipbuilding industry competitive advantage relies exclusively on 
RTD. 
ACARE:  Advisory  Council  for  Aeronautics  Research  in  Europe.  Launched  in  2001,  it  is  the  first 
operational  example  of  a  Technology  Platform;  ERRAC:  European  Rail  Research  Advisory  Council; 
ERTRAC:  European  Road  Transport  Research  Advisory  Council;  WATERBORNE  Technology 
Platform. 

EN 

36 

   EN 

 
                                                 
–  Protection  of  aircraft  and  passengers:  enhancement  of  protection  measures  for  the 
traveller,  crew, aircraft and air transport system such  as improved data and identification 
methods, protecting the aircraft against attack, auto recovery and improved security design 
of aircraft. 

–  Pioneering  the  air  transport  of  the  future:  addressing  the  longer  term  challenges  of 
aviation  with  more  radical,  environmentally  efficient,  accessible  and 
innovative 
combinations  of  technologies  which  would  lead  to  significant  steps  forward  in  air 
transport. 

•  Sustainable surface transport (rail, road and waterborne) 

–  The  greening  of  surface  transport:  reduction  of  environmental  and  noise  pollution, 
including  green  house  gases  through  technological  and  socio-economic  means; 
development  of  clean  and  efficient  engines  and  power-trains,  including  hybrid 
technology  and  the  use  of  alternative  fuels  for  transport  applications  in  particular 
hydrogen  and  fuel  cells,  taking  account  cost-efficiency  and  energy-efficiency 
considerations; end of life strategies for vehicles and vessels. 

–  Encouraging  and 

increasing  modal  shift  and  decongesting 

transport  corridors: 
development  of  sustainable,  innovative,  intermodal  and  interoperable  regional  and 
national  transport  and  logistics  networks,  infrastructures  and  systems  in  Europe;  cost 
internalisation;  information  exchange  between  vehicle/vessel  and  transport  infrastructure; 
optimisation  of  infrastructure  capacity;  modal  shift  strategies  to  encourage  energy 
efficient means of transport. 

–  Ensuring  sustainable  and  accessible  urban  mobility  for  all  citizens  including  the 
disadvantaged:  innovative  organisation  schemes,  including  clean  and  safe  vehicles  and 
non-polluting means of transport with lower levels of pollution, new high quality public 
transportation modes and rationalisation of private transport, communication infrastructure, 
integrated  town  planning  and  transport  including  their  relationship  with  growth  and 
employment. 

–  Improving safety and security: as inherent to the transport system, in transport operations 
for  drivers,  passengers,  crew,  cyclists  and  pedestrians  and  goods,  in  the  design  and 
operation of vehicles, vessels, infrastructures and within the total transport system. 

–  Strengthening  competitiveness:  improvement  of  design  processes;  development  of 
advanced  power-train  and  vehicle  and  vessel  technologies;  innovative  and  cost-effective 
production systems and infrastructure construction; integrative architectures. 

•  Support  to  the  European  global  satellite  navigation  system  (Galileo)  and  EGNOS: 
precise navigation and timing services for use in a range of sectors; efficient use of satellite 
navigation  and  support  to  the  definition  of  second  generation  technologies  and 
applications. 

8. 

Socio-Economic Sciences and the Humanities 

Objective  

EN 

37 

   EN 

 
Generating  an  in-depth,  shared  understanding  of  complex  and  interrelated  socio-
economic  challenges  Europe  is  confronted  with,  such  as  growth,  employment  and 
competitiveness,  social  cohesion,  intercultural  understanding,  social,  cultural  and 
educational challenges in an enlarged EU, and sustainability, quality of life, demographic 
change,  migration  and  integration,  and  global  interdependence,  in  particular  with  the 
view of providing an improved knowledge base for policies in the fields concerned and 
the specific objective of developing the prerequisite for a modern sustainable society.  

Rationale 

Europe  has  a  strong  and  high  quality  research  base  in  socio-economic  and  socio-cultural 
sciences  and  the  humanities  fields.  The  diversity  of  approaches  within  the  EU  in  the 
economic, social, political and cultural domains provides a highly fertile ground for research 
in  these  fields  at  EU-level.  There  is  a  high  European  added  value  in  collaborative  research 
addressing  European  socio-economic  issues  in  the  areas  mentioned.  First,  the  issues  and 
challenges  concerned  are  of  high  priority  at  the  EUEuropean  level  and  are  addressed  by 
EUCommunity  policies.  Second,  comparative  research  across  several  or  all  EU  or  other 
countries offers a particularly effective tool as well as important learning opportunities across 
countries and regions.  

Third, EU-level research has particular advantages in being able to develop Europe-wide data 
collection  and  to  employ  the  multiple  perspectives  needed  to  understand  complex  issues. 
Finally, the development of a genuinely European socio-economic knowledge base on these 
key  challenges  will  make  an  essential  contribution  to  promoting  their  shared  understanding 
across the European Union and, most significantly, on the part of the European citizens. 

The activities to be supported are listed below and are expected to contribute significantly to 
improve  the  formulation,  implementation,  impacts  and  assessments  of  policy  and  the 
definition  of  regulatory  measures  in  a  wide  range  of  areas  such  as  economic,  social, 
education  and  training, cultural,  gender  equality,  enterprise,  international  trade,  consumer, 
external relations, justice and home affairs, scientific and technological and official statistics 
policies,  and  the  creation  of  the  area  of  freedom,  security  and  justice.  In  addition, 
opportunities  will  be provided  to address emerging socio-economic challenges as well as to 
undertake  research  on  new  or  unforeseen  policy  needs.  Use  may  also  be  made  of  social 
platforms to discuss future research agendas. 

Activities  

•  Growth,  employment  and  competitiveness  in  a  knowledge  society:  developing  and 
integrating research on the issues affecting growth, socio-economic stability, employment 
and  competitiveness,  covering  topics  such  as  ranging  from  innovation,  education 
including life-long learning and the role of scientific and other knowledge and intangible 
goods on a global scale, youth and youth policy, adaptation of labour market policies, 
and, to national institutional contexts.  

•  Combining economic, social and environmental objectives in a European perspective: 
by  addressing  the  two  key  and  highly  interrelated  issues  of  continuing  evolution  of 
European  socio-economic models and economic, and  social and regional cohesion in an 
enlarged  EU,  taking  into  account  sustainability  and  the  protection  of  the  environment, 
sustainable urban planning, energy issues, the role of cities and metropolitan regions, 
and the socio-economic impact of European policy and legislation.  

EN 

38 

   EN 

 
•  Major trends in society and their implications: such as demographic change including 
ageing and its effects on pension systems, and migration and integration, analysing the 
implications of demographic change for urban development; lifestyles, work, families, 
reconciling  professional  and  family  life,  gender  equality  issues,  disabilities  issues, 
health  and  quality  of  life;  economic  and  other  consumer  protection;  inequalities; 
criminality;  the  role  of  business  in  society  and  population  diversity,  ethnicity,  religious 
pluralism,  cultural  interactions,  multicultural  issues  and  issues  related  to  protection  of 
fundamental  rights  and  the  fight  against  racism  and  intolerance  and  all  forms  of 
discrimination.  

•  Europe  in  the  world:  understanding  changing  interactions  and  interdependencies, 
including inter-cultural relations, between world regions, including developing regions, 
and  their  implications  for  the  regions  concerned,  especially  Europe;  and  addressing 
emerging  threats  and  risks  without  undermining  human  rights,  freedom  and  well-being, 
and fostering peace.  

•  The  citizen  in  the  European  Union:  in  the  context  of  the  future  development  of  the 
enlarged  EU,  addressing  the  issues  of  achieving  a  sense  of  democratic  “ownership”  and 
active  and  equal  participation  by  the  peoples  of  Europe;  effective  and  democratic 
governance  at  all  levels  including  economic  governance  including  the  role  of  civil 
society;  andresearch  for  building  a  shared  understanding  and  respect  for  Europe’s 
diversities and commonalities in terms of culture, religions, cultural heritage, institutions 
including legal systems, history, languages and values as building elements of European 
multi-cultural identity and heritage.  

•  Socio-economic and scientific indicators: their use in policy and its implementation and 
monitoring, the improvement of existing indicators, techniques to analyse them, and the 
development of new ones for this purpose and for the evaluation of research programmes, 
including indicators based on official statistics. 

•  Foresight activities on major science, technology and related socio-economic issues such 
as the future demographic trends and the globalisation of knowledge, the dissemination of 
knowledge,  and  evolution  of  research  systems,  as  well  as  of  the  future  developments  in 
and across major research domains and scientific disciplines. 

9. 

Security and Space  

Objective 

To  develop  the  technologies  and  knowledge  for  building  capabilities  needed  to  ensure 
the  security  of  citizens  from  threats  such  as  terrorism,  natural  disasters,  and  crime, 
while  respecting  fundamental  human  rights  and  privacy;  to  ensure  optimal  and 
concerted use of available technologies to the benefit of civil European security, and to 
stimulate the co-operation of providers and users for civil security solutions, improving 
the competitiveness of the European security industry and delivering mission-orientated 
transparency  and 
to  reduce  security  gaps,  whilst  ensuring 
research  results 
accountability. 

Supporting a European Space Programme focusing on applications such as GMES with 
benefits  for  citizens  and  for  the  competitiveness  of  the  European  space  industry.  This 

EN 

39 

   EN 

 
will  contribute  to  the  development  of  a  European  Space  Policy,  complementing  efforts 
by Member States and by other key players, including the European Space Agency.  

9.1 

Security 

Rationale 

Security in Europe is a precondition of prosperity and freedom. The EU Security Strategy: ‘A 
Secure Europe in better World’, adopted by the European Council, addresses the need for a 
comprehensive  security  strategy  encompassing  both  civil  and  defence-related  security 
measures.  

Security  related  research  is  an  important  building  block  in  supporting  the  Common  Foreign 
and  Security  Policy  as  well  as  for  realising  a  high  level  of  security  within  an  EU-wide  the 
area of justice, freedom and security27 as underpinned by the Hague programme. It will also 
contribute  to  developing  technologies  and  capabilities  in  support  of  other  EUCommunity 
policies  in  areas  such  as  transport,  civil  protection,  energy  and  environment  and  health. 
Security  research  needs  specific  implementation  rules  to  take  into  account  its  special 
nature. 

Existing security related research activities in Europe suffer from the fragmentation of efforts, 
the lack of critical mass of scale and scope and the lack of connections and interoperability. 
Europe  needs  to  improve  the  coherence  of  its  efforts  by  developing  efficient  institutional 
arrangements and by instigating the various national and international actors to co-operate and 
co-ordinate in order to avoid duplication and to explore synergies wherever possible. Security 
research  at  Community  level  will  maintain  an  exclusively  civil  orientation  and  focus  on 
activities of clear added value to the national level. As a consequence, civil security research 
at  Community  level  will  reinforce  the  competitiveness  of  the  European  security  industry. 
Recognising  that  there  are  areas  of  ‘dual  use’  technology,  close  coordination  with  the 
activities  of  the  European  Defence  Agency  (EDA)  will  be  needed  in  order  to  ensure 
complementarity. 

Security  research  should  emphasise  the  Union’s  capabilities  regarding  surveillance, 
distribution of information and knowledge of threats and incidents as well as systems for 
better assessments and situation control through better use of common ICT-systems in 
the fields of different operations. The research should be organised in such a way that it 
contributes to a common defence market in Europe. 

When drawing up the rules of participation the recommendation of the high-level group 
in  the  field  of  security  research  from  March  2004  and  the  findings  of  the  European 
Security  Research  Advisory  Board  are  to  be  taken  into  account.  The  special 
requirements  concerning  secrecy  are  to  be  enforced  but  the  transparency  of  research 
findings is not to be unnecessarily restricted. In addition, areas are to be identified that 
permit the present transparency of research findings. 

The non-defence activities set out below will complement and integrate the technology- and 
systems-oriented research relevant to civil security which is carried out in other themes. They 
will  be  mission-oriented,  developing  the  technologies  and  capabilities  as  required  by  the 

27 

Prevention, Preparedness, and response to terrorist attacks - COM(2004) 698, 700, 701, 702; Solidarity/ 
CBRN programme. 

EN 

40 

   EN 

 
                                                 
specific security missions. They are by design flexible so as to accommodate as yet unknown 
future security threats and related policy needs that may arise, stimulating cross-fertilisation 
and  the  take-up  of  existing  technologies  for  the  civil  security  sector,  European  security 
research  will  also  encourage  the  development  of  multi-purpose  technologies  in  order  to 
maximise the scope for their application.  

Activities 

•  Protection  against  terrorism  and  crime:  delivering  technology  solutions  for  civil 
protection,  including  biosecurity  and  threat  (e.g.  CBRN)  awareness,  detection, 
prevention, identification, protection, neutralisation and containment of effects of against 
risks arising from crime and terrorist attacks and crime.  

•  Security  of  infrastructures  and  utilities:  analysing  and  securing  existing  and  future 
public and private critical/networked infrastructure (e.g. in transport, energy, ICT), systems 
and services (including financial and administrative services). 

•  Intelligence  surveillance  and  Bborder  security:  focusing  on 

technologies  and 
capabilities to enhance the effectiveness and efficiency of all systems, equipment, tools and 
processes  and  methods  for  rapid  identification  required  for  improving  the  security  of 
Europe’s land and coastal borders, including border control and surveillance issues. 

•  Restoring  security  and  safety  in  case  of  crisis:  focusing  on  technologies  providing  an 
overview  of,  and  in  support  forof  diverse  emergency  management  operations  (such  as 
civil protection,  humanitarian aid,  natural disasters and rescue tasks, support to CFSP), 
and  on  issues  such  as  inter-organisational  co-ordination  and  communication,  distributed 
architectures and human factors. 

The  above  four  areas  will  be  supported  by  the  following  themes  of  a  more  cross-cutting 
nature: 

•  Security  Systems  Integration  interconnectivity  and  interoperability:  Intelligence, 
information  gathering  and  civil  security,  focusing  on  technologies  to  enhance  the 
interoperability of systems, equipment, services and processes, including law enforcement, 
fire-fighting,  civil  defence  and  medical  information  infrastructures,  as  well  as  on  the 
reliability, organisational aspects, protection of confidentiality and integrity of information 
and 
integration  and 
interoperability is a priority in order for the Union to make full use of achievements 
in all areas mentioned above. 

transactions  and  processing.  Increased 

traceability  of  all 

•  Security  and  society:  mission  orientated  research  which  will  focus  on  socio-economic 
analyses of the cultural, social, political and economic dimensions and consequences of 
terrorism  and  crime,  the  role  of  human  values,  policy  making,  scenario  building  and 
activities  related  to:  crime,  psychology  of  terrorism  and  its  social  environment,  the 
citizen’s  perception  of  security,  ethics,  protection  of  privacy  and  societal  foresight  and 
systematic  risk  analysis.  Research  will  also  address  technologies  that  better  safeguard 
privacy  and  liberties,  and  will  address  vulnerabilities  and  new  threats,  as  well  as  the 
management and impact assessment of possible consequences.  

•  Security  Research  Co-ordination  and  structuring:  co-ordination  of  European  and 
international security research efforts and development of synergies between civil, security 

EN 

41 

   EN 

 
and defence research, improvement of legal conditions, and encouragement to the optimal 
use of existing infrastructures. 

9.2 

Space 

Rationale 

The EUCommunity can contribute in this field to the better definition of common objectives 
based  on  user  requirements  and  policy  objectives; to  the  coordination  of  activities,  to  avoid 
duplications  and  maximise  interoperability;  to  improving  cost-effectiveness  and  to  the 
definition  of  standards.  Public  authorities  and  decision-makers  represent  important  potential 
users and the European industry will also benefit from a well defined European Space policy 
implemented  through  a  European  Space  Programme,  supported  in  part  by  the  proposed 
research  and  technological  development  actions.  European  level  actions  are  also  needed  to 
support EUCommunity policy objectives, for example in the fields of agriculture, forestry, 
fisheries,  environment,  health,  telecommunications,  security,  transport  as  well  as  ensuring 
that Europe is a respected partner in regional and international cooperation.  

In  the  last  40  years,  Europe,  nationally  and  through  the  ESA,  has  built  up  excellent 
technological  competence.  Sustaining  a  competitive  industry  (including  manufacturers, 
service providers and operators)  requires  new research and  technologies. Space applications 
bring important benefits to the citizens by virtue of technological spin-off  effects  and are 
indispensable in a high-tech society. 

The activities set out below aim at: the efficient exploitation of space assets (in coordination 
with  in-situ  assets,  including  airborne  assets)  for  the  implementation  of  applications, 
namely  GMES  (Global  Monitoring  for  Environment  and  Security)  and  their  contribution  to 
law  enforcement  in  EUCommunity  policies;  as  well  as  space  exploration,  allowing 
international  cooperation  opportunities  and  dramatic  technological  breakthroughs  as  well  as 
cost-effective  missions;  exploitation  and  exploration  of  space  supported  through  enabling 
activities  guaranteeing  the  strategic  role  of  the  European  Union.  These  activities  will  be 
complemented  by  other  actions  included  in the  Competitiveness  and  Innovation  Framework 
Programme and in the Education and Training Programme. The public policy benefits of the 
below activities will also be maximised, included additional support for new policy needs that 
may arise, for example: space based solutions in support of developing countries; and use of 
space-observation tools and methods to support developments in Community policies. 

Activities 

•  Space-based applications at the service of the European Society 

–  GMES:  development  of  satellite-based  and  in-situ  monitoring  and  early-warning 
systems, including for the safety of citizens, and techniques relating to the management 
of  the  environment  and  security  (including  the  management  of  natural  disasters)  and 
their  integration  with  ground-based,  ship-borne  and  airborne  components;  support  to  the 
integration,  harmonisation,  use  and  delivery  of  GMES  data  (both  satellite-based  and 
in-situ, including ground-based, shipborne and airborne) and services.  

–  Innovative satellite communication services, seamlessly integrated in the global electronic 
communication networks, for citizens and enterprises in application sectors encompassing 
civil protection, e-government, telemedicine, tele-education, search and rescue, tourism 

EN 

42 

   EN 

 
and  leisure  time,  personal  navigation,  fleet  management,  agriculture  and  forestry, 
meterology and generic users. 

–  Development  of  monitoring  technologies  and  systems  for  reducing  the  vulnerability  of 

space-based services and for contributing to the surveillance of space. 

–  Development of space-based systems for risk prevention and risk management and all 

kinds of emergencies, enhancing convergence with non-space systems. 

•  Exploration of space 

–  Contribution to international Maximisation of scientific added value through synergies 
with  the  European  Space  Agency  and  Member  States;  space  agencies’  initiatives  in 
the field of space exploration; facilitation of access to scientific data. initiatives. 

–  Coordination of efforts  for  the  development of space-borne telescopes and detectors 

as well as for data analysis in space sciences. 

•  RTD for strengthening space foundations 

–  Space research and development for long-term needs including sSpace transportation; 
technology:  research  activities  to  increase  the  competitiveness  and  cost-effectiveness  of 
the European space technologytransportation sector. 

–  Space sciences including bio-medicine and life and physical sciences in space. 

II 

IDEAS 

Objective 

This  programme  will  enhance  the  dynamism,  creativity  and  excellence  of  European 
research  at  the  frontier  of  knowledge.  This  will  be  done  by  supporting  “investigator-
driven” research projects carried out across all fields by individual teams in competition 
at  the  European  level.  Projects  will  be  funded  on  the  basis  of  proposals  presented  by 
researchers  both  from  the  private  and  public  sectors  on  subjects  of  their  choice  and 
evaluated on the sole criterion of excellence as judged by peer review. Research results 
will be communicated and disseminated in accordance with the Rules for Participation 
and Dissemination. 

Rationale  

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

Despite  many  achievements  and  a  high  level  of  performance  in  a  large  number  of  fields, 
Europe is  not making the  most of its research potential and resources, and urgently needs a 
greater  capacity  to  generate  knowledge  and  translate  such  knowledge  into  economic  and 
social value and growth. 

EN 

43 

   EN 

 
A  Europe-wide  competitive  funding  mechanism  structure  (in  addition  to,  and  not 
replacing, national funding) for frontier research executed by individual teams, which may 
be  of  national  or  transnational  character,  is  a  key  component  of  the  European  Research 
Area, complementing other EU Community and national activities. It will help reinforce the 
dynamism and attractiveness of Europe for the best researchers from both European and third 
countries, and for industrial investment. 

Activities  

This action will respond to the most promising and productive areas of research and the best 
opportunities  for  scientific  and  technological  progress,  within  and  across  disciplines, 
including  engineering  and  social  sciences  and  the  humanities.  It  will  be  implemented 
independently  of  the  thematic  orientations  of  the  other  parts  of  the  Framework  Programme, 
and  will  pay  attention  to  young  new  generation  researchers  and  new  groups  as  well  as 
established teams. 

The  EU  Community  activities  in  frontier  research  will  be  implemented  by  a  European 
Research  Council  (ERC),  consisting  of  an  independent  scientific  council,  supported  by  a 
dedicated  implementation  structure.  The  management  of  the  ERC  will  be  carried  out  by 
staff recruited for that purpose, including officials from EU institutions, and will cover 
only  the  real  administrative  needs  in  order  to  assure  the  stability  and  continuity 
necessary for an effective administration. 

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  other 
interests.  Its  members  will  be  appointed  by  the  Commission  following  an  independent 
procedure for their identification. Members of the scientific council will be appointed for a 
period  of  four  years,  renewable  once  for  a  maximum  of  an  additional  four  years  on  a 
rotating  system  which  will  ensure  the  continuity  of  the  scientific  council’s  work.  The 
scientific  council  will,  inter  alia,  oversee  have  full  authority  over  decisions  on  the  type  of 
research  to  be  funded  and  act  as  guarantor  of  the  quality  of  the  activity  from  the  scientific 
perspective.  Its  tasks  will  cover,  in  particular,  the  development  of  the  annual  work 
programme,  the  establishment  of  the  peer  review  process,  as  well  as  the  monitoring  and 
quality  control  of  the  programme’s  implementation  from  the  scientific  perspective.  It  will 
adopt a code of conduct addressing, inter alia, the avoidance of conflicts of interest. 

The dedicated implementation structure will be responsible for all aspects of implementation 
and  programme  execution,  as  provided  for  in  the  annual  work  programme.  It  will,  in 
particular,  implement  the  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. The administration and staffing costs for the European Research Council 
(scientific council and dedicated implementation structure) will be consistent with lean 
and cost effective management; administrative expenditure will be kept to a minimum, 
consistent with ensuring the resources necessary for high quality implementation. 

The  implementation  and  management  of  the  activity  will  be  reviewed  and  evaluated  at 
appropriate  intervals  on  an  ongoing  basis  to  assess  its  achievements  and  to  adjust  and 
improve procedures on the basis of experience. The scientific council will report annually 
to the European Parliament and the Council. 

The European Commission will act as the guarantor of the ERC’s full autonomy and integrity. 

EN 

44 

   EN 

 
The  European  Commission  shall  ensure  that  the  implementation  of  the  ERC  is  in 
accordance  with  the  principles  of  scientific  excellence,  autonomy,  efficiency  and 
transparency, and that it follows precisely the strategy and implementation methodology 
established by the scientific council. 

In the context of the interim evaluation referred to in Article 7.2, an independent review 
will  be  carried  out,  not  later  than  2010,  of  the  ERC’s  structures  and  mechanisms, 
against  the  criteria  of  scientific  excellence,  autonomy,  efficiency  and  transparency  and 
with the full involvement of the scientific council. The review will look explicitly at the 
advantages  and  disadvantages  of  a  structure  based  on  an  Executive  Agency  and  a 
structure based on Article 171 of the Treaty. On the basis of this review, these structures 
and  mechanisms  should  be  modified  as  appropriate.  The  Commission  will  ensure  that 
all  the  necessary  preparatory  work  is  undertaken  and  presented  with  a  view  to  a 
transition to any modified structure required, as soon as possible. 

The  European  Research  Council  shall  have  the  faculty  to  conduct  its  own  strategic 
studies  for  preparing  and  supporting  its  operational  activities.  In  particular,  it  may 
consult with European, intergovernmental and national  initiatives  so  as to programme 
its activities in the light of other research at European and national level. 

III 

PEOPLE 

Objective 

Strengthening,  quantitatively  and  qualitatively,  the  human  potential  in  research  and 
technology  in  Europe,  by  stimulating  people  to  enter  into  the  researcher’s  profession, 
encouraging  European  researchers  to  stay  in  Europe,  and  attracting  to  Europe 
researchers  from  the  entire  world,  making  Europe  more  attractive  to  the  best 
researchers. Building on the experiences with the “Marie Curie” actions under previous 
Framework  Programmes,  tThis  will  be  done  by  putting  into  place  a  coherent  set  of 
“Marie  Curie”  actions,  particularly  taking  into  account  the  European  added  value  in 
terms of their structuring effect on the European Research Area. These actions address 
addressing  researchers  at  all  stages  of  their  careers,  in  the  public  and  private  sectors, 
from  initial  research  training,  specifically  intended  for  young  people,  to  life  long 
learning and career development. Efforts will also be made to increase participation by 
women  researchers,  by  encouraging  equal  opportunities  in  all  “Marie  Curie  Actions”, 
by designing the actions to ensure that researchers can achieve an appropriate work/life 
balance and by facilitating resuming a research career after a break. 

Rationale  

Abundant  and  highly  trained  qualified  researchers  are  a  necessary  condition  to  advance 
science  and  to  underpin  innovation,  but  also  an  important  factor  to  attract  and  sustain 
investments  in  research  by  public  and  private  entities.  Against  the  background  of  growing 
competition  at  world  level,  the  development  of  an  open  European  labour  market  for 
researchers free from all forms of discrimination, and the diversification of skills and career 
paths  of  researchers  are  crucial  to  support  a  beneficial  circulation  of  researchers  and  their 
knowledge,  both  within  Europe  and  in  a  global  setting.  Special  measures  to  encourage 
young  researchers  and  support  early  stages  of  scientific  career,  as  well  as  measures  to 
reduce the “brain drain”, such as reintegration grants, will be introduced. 

EN 

45 

   EN 

 
Mobility,  both  trans-national  and  intersectoral,  including  stimulating  industrial  participation 
and  the  opening  of  research  careers  and  academic  positions  at  European  scale,  is  a  key 
component of the European Research Area and indispensable to increase European capacities 
and performances in research. International cooperation between researchers will remain 
central  in  order  to  ensure  the  highest  quality  of  research  under  this  activity.  Another 
key component is the establishment of appropriate employment conditions, whether in 
terms  of  ensuring  independence  of  research,  bringing  salaries  in  line  with  the  best 
international standards, or taking greater care to ensure research workers are covered 
by  social  security  and  insurance  schemes.  Increasing  the  mobility  of  researchers  and 
strengthening  the  resources  of  those  institutions  which  attract  researchers  from  other 
Member States will encourage centres of excellence around the European Union. 

The  “People”  programme  will  be  coordinated  with  other  parts  of  the  Framework 
Programme. In order to further exploit Europe’s potential for becoming more attractive 
to researchers, the “Marie Curie” actions will also create concrete synergies with other 
Community  policies,  e.g.  on  education,  cohesion  and  employment.  Actions  on  linking 
science education to careers, and research and coordination actions on new methods in 
science  education  are  foreseen  under  the  Science  in  Society  part  of  the  Capacities 
Specific Programme. 

Activities  

•  Initial  training  of  researchers  to  improve  their  career  perspectives,  in  both  public  and 
private  sectors,  including  through  the  broadening  of  their  scientific  and  generic  skills, 
including  those  related  to  technology  transfer  and  entrepreneurship,  and  attracting 
more young researcherspeople to scientific careers 

This  will  be  implemented  through  Marie  Curie  Networks  with  the  main  objective  to 
overcome  fragmentation  of  and  to  strengthen  at  European  level  the  initial  training  and 
career  development  of  researchers.  Support  is  foreseen  for  the  best  early-stage 
researchers  to  join  established  research  teams,  for  which  the  mutual  recognition  of 
the quality of the training will be required, while encouraging mutual recognition of 
diplomas and other certificates issued in connection with the programme in question. 
Members  of  the  trans-national  networks  shall  exploit  their  complementary  competencies 
through integrated training programmes. Support will comprise recruitment of early stage 
researchers,  organisation  of  training  events  also  open  to  researchers  outside  the  network 
and senior chairs and/or industry positions for knowledge transfer and supervision.  

for 

foreseen 

researchers  with  particular  needs 

•  Life-long  training  and  career  development  to  support  the  career  development  of 
experienced  researchers.  With  a  view  to  complementing  or  acquiring  new  skills  and 
competencies or to enhance inter/multidisciplinarity and/or inter-sectoral mobility, support 
for  additional/complementary 
is 
competences  and  skills,  for  researchers  to  resume  a  research  career  after  a  break  and  for 
(re)integrating researchers into a longer term research position in Europe, including in their 
country of origin, after a trans-national/international mobility experience. This action line 
will be implemented through both individual fellowships awarded directly at Community 
level  and  through  the  co-financing  of  regional,  national  or  international  programmes, 
where this fulfils the criteria of Community added value, transparency and openness. 
Initially the co-financing mode will be implemented on a controlled scale allowing the 
necessary experience to be gained. 

EN 

46 

   EN 

 
 
 
•  Industry-academia  pathways  and  partnerships:  Support  to  longer  term  co-operation 
programmes  between  organisations  from  academia  and  industry,  in  particular  SMEs  and 
including  traditional  manufacturing  industries,  aims  at  stimulating  intersectoral 
mobility  and  at  increasing  knowledge  sharing  through  joint  research  partnerships, 
supported  by  the  recruitment  of  experienced  researchers  to  the  partnership,  by  staff 
secondments between both sectors, and by the organisation of events.  

•  The  international  dimension,  to  increase  the  quality  of  European  research  by  attracting 
talent  from  outside  Europe  and  fostering  mutually  beneficial  research 
research 
collaboration  with  researchers  from  outside  Europe.  This  will  be  addressed  through 
international outgoing fellowships (with an in-built mandatory return phase); international 
incoming  fellowships;  partnerships  to  support  the  exchange  of  researchers.  Common 
initiatives between European organisations and organisations from countries neighbouring 
the  EU  and  countries  with  which  the  EU  has  a  Science  and  Technology  agreement  will 
also be supported. The activity will include measures to counter the risk of “brain drain” 
from  developing  countries  and  emerging  economies  and  measures  to  create  networks  of 
European researchers working abroad. These actions will be implemented in line with the 
international activities under the “Co-operation” and “Capacities” Programmes. 

•  Specific  actions  to  support  the  creation  of  a  genuine  European  labour  market  for 
researchers,  by  removing  obstacles  to  mobility  and  enhancing  the  career  perspectives  of 
researchers  in  Europe.  Incentive  measures  for  public  institutions  that  promote 
mobility, quality and quantity of researchers, where these measures clearly fulfil the 
criteria  of  distinct  European  added  value,  openness  and  transparency.  Furthermore, 
awards to improve the public awareness of Marie Curie actions and their objectives will be 
provided. 

IV 

CAPACITIES 

This  part  of  the  Framework  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. 

–  Support to the coherent development of research policies. 

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

The  activities  undertaken  in  this  part  of  the  Framework  Programme  will  also  support  the 
coherent  development  of  policies,  complementing  the  coordination  activities  under  the 
Cooperation programme, and contributing to Community policies and initiatives  that  aim to 
improve the coherence and impact of Member States policies. This will include: 

EN 

47 

   EN 

 
–  Strengthening and improving the European science system, such as questions of scientific 

advice and expertise and contributing to “better regulation”. 

–  Monitoring and analysis of research related public policies and industrial strategies 

–  Coordination  of  research  policies, 

including 

trans-national  cooperation 

initiatives 

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

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 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.  

Rationale  

Research  infrastructures  play  an  increasing  role  in  the  advancement  of  knowledge  and 
technology  and  their  its  exploitation.  The  importance  of  such  infrastructures  is  already 
well established in areas such as energy, space and particle physics and is increasing in 
other areas. For example, radiation sources, data banks in genomics and data banks in social 
science,  observatories  for  environmental  and  space  sciences,  systems  of  imaging  or  clean 
rooms for the study and development of new materials or nano-electronics, are at the core of 
research. They are expensive, need a broad range of expertise to be developed, and should be 
used and exploited by a large community of scientist and customer industries on a European 
scale. 

The  development  of  a  European  approach  with  regard  to  research  infrastructures,  including 
computing  and  communication  based  e-infrastructures  and  virtual  infrastructures,  and  the 
carrying  out  of  activities  in  this  area  at  Union  level,  can  make  a  significant  contribution  to 
boosting  European  research  potential  and  its  exploitation  and  contributing  to  the 
development of the European Research Area..  

While  Member  States’  role  will  remain  central  in  the  development  and  financing  of 
infrastructures, tThe Community EU can and should play a catalysing and leveraging role 
by  helping  to  ensure  wider  and  more  efficient  access  to,  and  use  of,  the  infrastructures 
existing  in  the  different  Member  States,  by  stimulating  the  development  of  these 
infrastructures, and their networking, in a coordinated way and by fostering the emergence 
of new research infrastructures of pan-European interest in the medium to long term. In this 
respect, the European Strategy Forum on Research Infrastructures (ESFRI) plays a key 
role in identifying needs and a roadmap for European research infrastructures. 

Activities 

Activities  carried  out  in  this  field  will  be  executed  in  the  whole  field  of  science  and 
technology. 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 
Community  framework  respond  to  the  needs  for  research  infrastructures  in  their  respective 
area including international cooperation.  

EN 

48 

   EN 

 
The activities will be the following:  

•  Support to existing research infrastructures 

–  trans-national  access  to  ensure  that  European  researchers  may  have  access  to  the  best 
research  infrastructures  to  conduct  their  research,  irrespective  of  the  location  of  the 
infrastructure 

–  integrating  activities  to  structure  better,  on  a  European  scale,  the  way  research 
infrastructures operate in a given field and promote their coherent use and development  

–  integrating  activities  to  structure  better,  on  a  European  scale,  the  way  research 
infrastructures  operate  in  a  given  field  and  promote  their  coherent  use  and 
development,  in  particular  through  trans-national  access,  to  ensure  that  European 
researchers, including researchers from industry and SMEs, may have access  to  the 
high performing best research infrastructures to conduct their research, irrespective 
of the location of the infrastructure 

–  research  e-infrastructure  by  fostering  the  further  development  and  evolution  and  global 
connectivity  of  high-capacity  and  high-performance  communication  and  grid 
infrastructures  and  reinforcing  European  high-end  computing  capabilities,  as  well  as 
fostering encouraging the adoption  by  user communities where appropriate, enhancing 
their  global  relevance  and  increasing  the  level  of  trust  and  confidence,  building  on  the 
achievements  of  GEANT  and  Grid  infrastructures  and  based  on  open  standards  for 
interoperability. 

•  Support to new research infrastructures 

–  construction  of  new  infrastructures  and  major  updatesgrades  of  existing  ones  focusing 
mainly  on  preparatory  phases  to  promote  the  creation  emergence  of  new  research 
infrastructuresfacilities  in  accordance  with  the  principle  of  "variable  geometry", 
basedbuilding primarily on the work conducted by ESFRI28 notably, and which may be 
decided  on  the  basis  of  Article  171  of  the  Treaty  or  on  the  basis  of  Specific  Programme 
Decisions in accordance with Article 166 of the Treaty. 

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

Infrastructures projects proposed for funding in this respect will be identified on the basis of a 
series of criteria including in particular:  

–  Added value of Community EU financial support 

–  Inability of existing mechanisms to achieve the objective 

28 

The European Strategy Forum on Research Infrastructures (ESFRI) was launched in April 2002. ESFRI 
brings  together  representatives  of  the  25  EU  Member  States,  appointed  by  Ministers  in  charge  of 
Research,  and  a  representative  of  the  European  Commission.  The  countries  associated  with  the 
Framework Programme for Research were invited to join in 2004. 

EN 

49 

   EN 

 
                                                 
–  Scientific excellence, notably, cCapacity to offer a world level service in response to the 
needs  of  to  users  from  the  scientific  (academic  and  industrial)  community  at  European 
level throughout Europe 

–  Relevance at international level 

–  Contribution to technological development capacity 

–  Contribution to developing European Research Area 

–  Contribution to developing ‘research-based clusters of excellence’ 

–  Technological and organisational feasibility  

–  Possibilities  for  European  partnership  and  strong  financial  and  other  commitment  of 
Member States and major stakeholders, considering the possible use of EIB loans and 
Structural Funds 

–  Construction and operating costs evaluated. 

As  far  as  the  construction  of  new  infrastructures  is  concerned,  the  potential  for  scientific 
excellence of the convergence regions as well as the outermost regions should be taken 
into account, whenever appropriate. Aan efficient coordination of the Community financial 
instruments,  Framework  Programme  and  Structural  Funds  in  particular,  will  be  ensured. 
Local and regional authorities should be closely involved in discussions concerning the 
construction of these infrastructures. 

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,  bridging  the  gap  between  research  and 
innovation. 

Rationale 

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,  enhance 
the  exploitation  of  research,  expand  their  business  activities  on  larger  markets  and 
internationalize their knowledge networks. Most Member states actions relevant to SMEs 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.  In  addition  to  the  actions  listed  below,  the 
participation of SMEs will be encouraged and facilitated, and their needs taken into account, 
across the Framework Programme. 

Activities 

EN 

50 

   EN 

 
Specific actions in support to SMEs are conceived to support SMEs or SME associations in 
need of outsourcing research to universities and research centres: mainly low to medium tech 
SMEs  with  little  or  no  research  capability.  Research  intensive  SMEs  may  participate  as 
providers  of  research  services  or  to  outsource  research  to  complement  their  core 
research  capability.  Research  intensive  SMEs  who  need  to  outsource  research  to 
complement their core research capability may also participate. Actions will be carried out in 
the entire field of science and technology with a bottom-up approach. Actions will include 
support  of  demonstration  and  other  activities  to  facilitate  the  exploitation  of  results 
ensuring  complementarity  with  the  instruments  to  promote  innovation  in  SMEs  under 
the  Competitiveness  and  Innovation  Programme.  Financial  means  will  be  allocated 
through two schemes:  

–  Research  for  SMEs:  To  support  small  groups  of  innovative  SMEs  to  solve  common  or 

complementary technological problems 

–  Research  for  SME  associations:  To  support  SME  associations  and  SME  groupings  to 
develop  technical  solutions  to  problems  common  to  large  numbers  of  SMEs  in  specific 
industrial sectors or segments of the value chain. 

These  two  schemes  will  replace  the  ‘Cooperative’  and  ‘Collective’  research  activities, 
implemented for SMEs in the 6th Framework Programme.  

The  Competitiveness  and  Innovation  Programme  will  provide  support  to  networks  of 
intermediaries and national schemes for actions to encourage and facilitate the participation of 
SMEs in the Framework Programme through its horizontal services in support of business 
and innovation. Complementarity and synergy with other Community programmes will 
be ensured. 

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 universities, research centres, enterprises and regional authorities.  

Rationale  

Regions  are  increasingly  recognised  as  important  players  in  the  EU’s  research  and 
development landscape. Research policy and activities at regional, interregional and cross-
border level often rely on the development of “clusters” associating public and private actors. 
The Pilot Action on “Regions of Knowledge” demonstrated the dynamic of this evolution and 
the necessity to support and encourage the development of such structures. 

The actions undertaken in this area will enable European regions to strengthen their capacity 
for investing in RDT and carry out research activities, while maximising their potential for a 
successful involvement of their operators in European research projects and facilitating the 
emergence of clusters, thereby promoting regional development in Europe. Actions will 
facilitate  the  creation  of  regional  clusters  which  contribute  to  the  development  of  the 
European Research Area.  

EN 

51 

   EN 

 
Attention  must  be  paid  to  the  specific  case  of  co-operation  between  adjacent  border 
regions, as it was under the Interreg III programmes, and as laid down under the rules 
governing  the  territorial  objective.  The  Regions  of  Knowledge  activity  will  encourage 
cross-border  regional  co-operation  in  research  irrespective  of  whether  the  regions 
concerned fall under either the convergence or the regional competitiveness objective 

Activities  

The  new  Regions  of  Knowledge  initiative  will  involve  and  bring  together  regional  actors 
involved  in  research:  such  as  universities,  research  centres,  industry,  public  authorities 
(regional  councils  or  regional  development  agencies).  Projects  will  cover  joint  analysis  of 
research agendas of regional or cross border clusters (in coordination with other activities on 
the broader issue of regional innovation clusters) and the elaboration of a set of instruments to 
address them in specific research activities, including through “mentoring” of regions with a 
less developed research profiles by highly developed ones and direct support to emerging 
Regions  of  Knowledge.  This  will  comprise  measures  aiming  at  improving  research 
networking and access to sources of research funding as well as better integration and linking 
of research actors and institutions in regional economies. These activities will be implemented 
in  close  relationship  with  EU  Community  regional  policy  (structural  funds)  and  the 
Competitiveness and Innovation Programme and the Education and Training Programmes.  

In  the  context  of  the  specific  activity  of  “Regions  of  Knowledge”  synergies  will  be  sought 
with  the  EU’s  Community  regional  policy  and  with  major  national  and  regional 
programmes, in particular with regard to convergence and outermost regions.  

RESEARCH POTENTIAL  

Objective 

Stimulating  the  realisation  of  the  full  research  potential  of  the  enlarged  Union  by 
unlocking  and  developing  the  research  potential  existing  or  emerging  excellence  in  the 
EU’s  convergence  regions  and  outermost  regions29,  and  helping  to  strengthen  the 
capacities  of  their  researchers  to  successfully  participate  in  research  activities  at  EU 
Community level. 

Rationale  

Europe  does  not  fully  exploit  its  research  potential,  in  particular  in  less  advanced  regions 
remote  from  the  European  core  of  research  and  industrial  development.  In  order  to  help 
researchers  and  institutions,  whether  in  the  public  or  private  sector,  of  these  regions  to 
contribute to the overall European research effort, while taking advantage of the knowledge 
and  experience  existing  in  other  regions  of  Europe,  this  action  aims  at  establishing  the 
conditions  that  will  allow  them  to  exploit  their  potential  and  will  help  to  fully  realise  the 
European Research Area in the enlarged Union. The actions will build on past and existing 
measures  such  as  the  European  Centres  of  Excellence  in  the  then  Acceding  and 

29 

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. 

EN 

52 

   EN 

 
                                                 
Candidate  Countries  in  the  Fifth  Framework  Programme  and  Marie  Curie  Host 
fellowships for the Transfer of Knowledge. 

Activities  

The action in this domain will comprise support to:  

•  Trans-national  two-way  secondments  of  research  staff  between  selected  organisations  in 
the  convergence  regions,  and  one  or  more  partner  organisations;  support  to  selected 
centres  of  existing  or  emerging  excellence  for  the  recruitment  by  selected  centres  of 
incoming experienced researchers from other EU countries;  

•  The acquisition and development of research equipment and the development of a material 
environment enabling a full exploitation of the intellectual potential present in the selected 
centres of existing or emerging excellence in the convergence regions;  

•  The organisation of workshops and conferences to facilitate knowledge transfer; promotion 
activities as well as initiatives aiming at disseminating and transferring research results in 
other countries and on international markets. 

•  “Evaluation facilities” through which any research centre in the convergence regions can 
obtain an international independent expert evaluation of the level of their overall research 
quality and infrastructures. 

Strong  synergies  will  be  sought  with  the  EU’s  Community  regional  policy.  Actions 
supported under this heading will identify needs and opportunities for reinforcing the research 
capacities of emerging and existing centres of excellence in convergence regions which may 
be met by Structural and Cohesion funds.  

Synergies  will  also  be  sought  with  the  Competitiveness  and  Innovation  programme  in 
order to promote the regional commercialisation of R&D in collaboration with industry. 

SCIENCE IN SOCIETY  

Objective 

With a view to building an open 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, by encouraging 
at  European  scale  reflection  and  debate  on  science  and  technology,  and  their  relation 
with society and culture.  

Rationale 

The  influence  of  science  and  technology  on  our  daily  lives  becomes  increasingly  profound. 
Products  of  the  social  activity  and  shaped  by  social  and  cultural  factors,  science  and 
technology nevertheless remain a remote domain far from the daily concerns of a large part of 
the  public  and  of  policy  decision  makers,  and  continues 
the  subject  of 
misunderstandings  and  unfounded  hopes  and  fears.  Contentious  issues  relating  to  emerging 
technologies should be addressed by society on the basis of well informed debate leading to 
sound choices and decisions.  

to  be 

EN 

53 

   EN 

 
Activities  

The substantial and integrated initiative undertaken in this field will comprise support to:  

•  Strengthening  and 

improvementing  of 

the  European  science  system,  and  will 
addressincluding the following: issuesquestions: improving the use and monitoring the 
impact  of  scientific  advice  and  expertise  for  policy-making  (including  risk 
management);  the  future  of  scientific  publications;  measures  to  make  scientific 
publications  more  accessible  to  members  of  the  public  wishing  to  consult  them; 
safeguards for scientific domains open to misuse; and frauds, trust and “self regulation”.  

•  Broader  engagement  of  researchers  and  the  public  at  large,  including  organised  civil 
society, on science-related questions, to anticipate and clarify political and societal issues, 
including ethical issues. 

•  Reflection  and  debate  on  science  and  technology  and  their  place  in  society,  drawing  on 

disciplines such as history, sociology and philosophy of science and technology. 

•  Gender research, including the integration of the gender dimension in all areas of research 
and the role promotion of women in research and in scientific decision-making bodies. 

•  Creation of an open environment which triggers curiosity for science in young people, by 
reinforcing science education at all levels including schools and promoting interest and full 
participation in science among young people from all backgrounds. 

•  Development of a policy on Strengthening the role of research based in universities and 
other  higher  education  institutes  and  the  their  engagement  of  universities  in  the 
necessary reforms to face the challenges of globalisation. 

•  Improved  intercommunication  and  mutual  understanding  between  the  scientific  world 
and  the  wider  audience  of  policy-makers,  the  media  and  the  general  public,  by  helping 
scientists  better  communicate  and  present  their  work  and  by  supporting  scientific 
information, publications and media. 

These activities will take the form of, in particular, research projects, studies, networking and 
exchanges,  public  events  and  initiatives,  prizes,  surveys  and  data  collection.  In  many  cases 
they will imply international partnerships with organisations from third countries. 

SUPPORT TO THE COHERENT DEVELOPMENT OF RESEARCH POLICIES 

Objectives 

Enhancing the effectiveness and coherence of national and Community research policies 
and their articulation with other policies, improving the impact of public research and 
its  links  with  industry,  and  strengthening  public  support  and  its  leverage  effect  on 
investment by private actors. 

Rationale 

Increasing  investment  in  research  and  development  up  to  the  3%  objective  and 
improving  its  effectiveness  is  a  top  priority  of  the  Lisbon  strategy  for  growth  and 
employment. Thus, developing effective policies to leverage public and private research 

EN 

54 

   EN 

 
investments  constitute  a  major  concern  of  public  authorities  with  a  view  to  accelerate 
the  transition  towards  a  competitive  knowledge  based  economy.  This  calls  for 
adaptability  of  research  policies,  the  mobilisation  of  a  broader  range  of  instruments, 
coordination of efforts across national boundaries and the mobilisation of other policies 
to create better framework conditions for research. 

Activities 

The activities undertaken under this heading will complement the coordination activities 
under the Cooperation programme and will aim at improving the coherence and impact 
of regional, national and Community policies and initiatives (e.g. funding programmes, 
legislation, recommendations and guidelines). The activities will be the following: 

– 

– 

Monitoring and analysis of research related public policies and industrial strategies, 
including  their  impacts  and  development  of  indicators  to  provide  information  and 
evidence  in  support  of  the  design,  implementation,  evaluation  and  trans-national 
coordination of policies. 

Strengthen, on a voluntary basis, the coordination of research policies via actions to 
support the implementation of the open method of co-ordination (OMC) and bottom-
up  trans-national  cooperation  initiatives  undertaken  at  national  or  regional  level  on 
issues of common interest. 

ACTIVITIES OF INTERNATIONAL CO-OPERATION 

To  become  competitive  and  play  a  leading  role  at  world  level,  the  European  Community 
needs a strong and coherent international  science  and  technology policy. The international 
actions carried out under the different programmes within the Framework Programme 
will be implemented in the context of an overall international cooperation strategy. 

This international policy has two three 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 contribute to the production of knowledge in Europe by enabling 
universities,  research  institutions  and  European  firms  to  establish 
contact  with  their  partners  in  third  countries,  thereby  making  it 
easier for them to access research carried out elsewhere in the world. 

To  address  specific  problems  that  third  countries  face  or  that  have  a 
global character, on the basis of mutual interest and mutual benefit. 

Cooperation with third countries in the Framework Programme will be targeted in particular 
at the following groups of countries30: 

–  Candidate countries; 

30 

At present 10 Mediterranean Partner Countries and 6 countries of Eastern European and Central Asia 
are part of the European Neighbourhood Policy 

EN 

55 

   EN 

 
                                                 
–  Countries  neighbouring  the  EU,  Mediterranean  partner  countries,  Western  Balkans 
countries (WBC)31, and Eastern European and Central Asian countries (EECA)32the 
Newly Independent States; 

–  Developing countries, focusing on their particular needs of each country or region 

concerned;33 

–  Emerging economies. 

The theme-oriented international cooperation actions are carried out under the “Cooperation” 
programme.  The  international  actions  in  the  area  of  human  potential  are  carried  under  the 
“People” programme. 

Under  the  “Capacities”  programme,  horizontal  support  actions  and  measures  with  a  focus 
other  than  a  specific  thematic  or  interdisciplinary  area  will  be  implemented.  Efforts  will  be 
undertaken  to  improve  the  coherence  of  national  activities  by  The  focus  will  be  on  bi-
regional S&T Cooperation including priority setting and definition of S&T Cooperation 
policies34; bilateral S&T coordination platforms for the enhancement and development 
of  S&T  Cooperation  Partnerships  and  supporting  the  co-ordination  of  national  policies 
and  activities  programmes  on  international  scientific  S&T  co-operation.  Taking  into 
account the experience gained through INTAS in the framework of cooperation with the 
Eastern  European  and  Central  Asian  countries,  activities  providing  continuity  will  be 
undertaken  through  this  programme  and  the  specific  programmes  Cooperation  and 
People. The overall coordination of the international cooperation actions under the different 
programmes of the Framework Programme, as well as with other Community instruments, 
will be ensured. 

NON NUCLEAR ACTIONS OF THE JOINT RESEARCH CENTRE 

Objective 

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

Rationale 

The JRC’s independence of special interests, whether private or national, combined with its 
technical  expertise  enable  it  to  facilitate  communication  and  consensus  building  between 
stakeholders (industry associations, environmental action groups, Member States’ competent 
authorities, other research centres etc.) and policy makers, especially at the EU Community 
level.  Through  scientific  and  technological  support  the  JRC  helps  to  make  the  Community 
EU policy process more effective, transparent and based on sound science. Where and when 

31 
32 

33 
34 

Other than Associated Candidate countries 
Formerly  called  the  New  Independent  States:  Armenia,  Azerbaijan,  Belarus,  Georgia,  Kazakhstan, 
Kyrgyz  Republic,  Moldova,  Russia,  Tajikistan,  Turkmenistan,  Ukraine  and  Uzbekistan.  Activities 
regarding  EECA  countries  currently  undertaken  by  INTAS  will  be  subsumed  in  the  relevant 
cooperation activities under this heading. 
Noting that Latin America includes both developing countries and emerging economies. 
With targeted third countries (International Cooperation Partner Countries as defined in the Rules for 
participation and dissemination) 

EN 

56 

   EN 

 
                                                 
appropriate,  research  conducted  by  the  JRC  should  be  coordinated  with  the  research 
undertaken under the Themes of the Cooperation Specific Programme, in order to avoid 
overlap and duplication. 

The  usefulness  and  credibility  of  the  JRC’s  support  to  EU  Community  policies  is  closely 
linked to the quality of its scientific expertise and its integration in the international scientific 
community. The JRC will therefore continue investing in research and networking with other 
centres of excellence in relevant fields. It will participate in indirect actions in all its aspects 
with  emphasis  on  common  scientific  reference  systems,  networking,  training  and  mobility, 
research  infrastructure  and  participation  in  Technology  Platforms  and  co-ordination 
instruments where it has the relevant expertise to produce added value.  

The JRC will actively pursue promoting the integration of New Member States and Candidate 
Countries  in  its  activities  to  the  level  currently  enjoyed  by  the  EU15.  The  JRC  will 
strengthen  its  unique  position  in  the  European  Research  Area  in  the  heart  of  the 
European Scientific Culture. In facilitating access to its facilities by European and non-
European researchers, in particular young scientists, it will increase its cooperation with 
other  public  and  private  research  organisations,  consistently  improve  the  scientific 
quality  of  its  own  activities  and  contribute  to  scientific  education  and  training,  which 
shall all remain a high priority for the JRC. 

Activities 

The  JRC’s  priorities  will  be  in  fields  which  are  strategically  important  for  the  Union  and 
where  its  input  provides  high  added  value.  Scientific  and  technical  support  to  EU 
Community  policies  will  continue  to  be  delivered  in  core  areas  such  as  sustainable 
development,  climate  change,  food,  energy,  transport,  chemicals,  alternative  methods  to 
animal  testing,  research  policy,  information  technologies,  reference  methods  and  materials, 
biotechnology,  risks,  hazards  and  socio-economic  impacts.  Growth  will  be  in  areas  of  key 
concern for the Union Community: 

•  Prosperity in a knowledge-intensive society 

–  To carry out and develop advanced econometric modelling and analysis techniques in the 
context of policy definition and monitoring such as the follow-up of the Lisbon agenda, the 
Internal Market and the Research and Education Policies.  

–  To  develop  models  to  support  a  new  balance  between  sustainability  objectives  and 

competitiveness in a responsible way.  

–  To provide its scientific/technical support to the development of risk assessment and 

management procedures as a tool for the European decision making process. 

•  Solidarity and responsible management of resources 

–  To become a recognised S&T reference centre on sustainable agriculture focusing on food 
quality,  traceability  and  safety  (including  GM  food  and  feed),  spatial  management  and 
cross-compliance and to support the implementation of the CAP.  

–  To provide S&T support to the Common Fisheries Policy.  

EN 

57 

   EN 

 
–  To  enhance  the  provision  of  harmonised  European  geo-referenced  data  and  spatial 
information systems (support to INSPIRE) and to continue developing new approaches to 
global environmental and resources monitoring (support to GMES). 

–  To provide expertise and play a central role in the GMES research activities and in 

the development of new applications in this field. 

–  To  support  the  implementation  of  the  EU  Action  Plan  on  Environment  and  Health 
including  providing  support  to  on-going  activities  to  establish  a  community  integrated 
Environment and Health information system. 

–  To  promote  and  enhance  the  development  and  validation  of  alternative  strategies, 
and  in  particular  non-animal  methods,  in  all  relevant  areas  of  research  (safety 
assessment, vaccine testing, health and biomedical research etc.). 

•  Security and freedomFreedom, security and justice 

–  To develop activities contributing to the establishment of the area of freedom, justice and 
security  especially  in  areas  related  to  fightingprotection  against  terrorism,  organised 
crime  and  fraud,  border  security  and  prevention  of  major  risks,  in  relation  with  law 
enforcement agencies and relevant EU servicescooperation with relevant bodies.  

–  To support the Community response to natural and technological disasters.  

•  Europe as world partner 

–  To  strengthen  support  to  EU  Community  external  policies  in  specific  areas  such  as 

external aspects of internal security, development cooperation and humanitarian aid. 

EN 

58 

   EN 

 
ANNEX II: INDICATIVE BREAKDOWN AMONG PROGRAMMES 

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

Cooperation *,35 

Health 

Food, Agriculture and Biotechnology 

Information and Communication Technologies 

Nanosciences, Nanotechnologies, Materials and new Production Technologies  

Energy  

Environment (including Climate Change)  

Transport (including Aeronautics)  

 Socio-economic Sciences and the Humanities  

 Security and Space  

Ideas 

People 

Capacities 

Research Infrastructures * 

Research for the benefit of SMEs 

32 292

5 984

1 935

9 110

3 467

2 265

1 886

4 180

607

2 858

7 460

4 727

4 291

2 008

1 266

35 

* 

Including  Joint  Technology  Initiatives  (including  financial  plan,  etc)  and  the  part  of  the  coordination 
and international cooperation activities to be funded within the themes. 
Including a contribution of an amount of up to 1 billion euro to the European Investment Bank for the 
constitution  of  the  “Risk-Sharing  Finance  Facility”  referred  to  in  Annex  III.  This  amount  is  to  be 
matched by an equivalent amount from the EIB and will be made available progressively to the 
EIB  taking  account  of  the  level  of  demand.  It  will  come  from  the  specific  programmes 
"Cooperation"  (up  to  800  millions  euro  by  proportional  contribution  of  all  themes,  except  the 
Socio-Economic  Sciences  and  the  Humanities  theme)  and  "Capacities"  (up  to  200  million  euro 
from  the  research  infrastructure  part).The  Council  decisions  adopting  the  contributing  specific 
programmes shall establish (a) their contribution, and (b) the modalities under which the Commission 
shall decide on the reallocation of incomes generated by the Community contribution and of any of its 
leftovers during the lifetime of the seventh framework programme.  

EN 

59 

   EN 

 
  
 
 
                                                 
Regions of Knowledge 

Research Potential 

Science in Society 

Activities of International Co-operation 

Non-nuclear actions of the Joint Research Centre 

TOTAL 

126

350

359

182

1 751

50 521

EN 

60 

   EN 

 
 
 
 
ANNEX III 

FUNDING SCHEMES 

Indirect Actions 

The activities supported by the 7th Framework Programme will be funded through a range of 
“Funding  schemes”.  These  schemes  will  be  used,  either  alone  or  in  combination,  to  fund 
different categories of actions implemented throughout the Framework Programme.  

The  decisions  for  specific  programmes,  work  programmes  and  calls  for  proposals  will 
mention specify, as and when appropriate:  

•  The type(s) of scheme(s) used to fund different categories of actions; 

•  The  categories  of  participants  (such  as  research  organisations,  universities,  industry, 

SMEs, public authorities) which can benefit from it; 

•  The types of activities (such as research, and technological development, demonstration, 
management, training, dissemination, transfer of knowledge and other related activities) 
which can be funded through each of them. 

Where different funding schemes can be used, the work programmes may specify the funding 
scheme to be used for the topic on which proposals are invited. 

The funding schemes are the following: 

a) 

To  support  actions  which  are  primarily  implemented  on  the  basis  of  calls  for 
proposals: 

1. Collaborative projects 

Support to research projects carried out by consortia with participants from different 
countries,  aiming  at  developing  new  knowledge,  new  technology,  products, 
demonstration  activities  or  common  resources  for  research.  The  size,  scope  and 
internal organisation of projects can vary from field to field and from topic to topic. 
Projects  can  range  from  small  or  medium-scale  focused  research  actions  to  large-
scale  integrating  projects  which  mobilise  a  significant  volume  of  resources  for 
achieving  a  defined  objective.  Projects  may  also  be  targeted  to  special  groups 
such as SMEs. 

2. Networks of Excellence 

to  a  Joint  Programme  of  Activities 

Support 
joint  research  programmes 
implemented  by  a  number  of  research  organisations  integrating  their  activities  in  a 
given  field,  carried  out  by  research  teams  in  the  framework  of  longer  term  co-
operation.  The  implementation  of  this  Joint  Programme  of  Activities  these  joint 
programmes  will  require  a  formal  commitment  from  the  organisations  integrating 
part of their resources and their activities.  

EN 

61 

   EN 

 
3. Coordination and support actions 

Support  to  activities  aimed  at  coordinating  or  supporting  research  activities  and 
policies  (networking,  exchanges,  trans-national  access  to  research  infrastructures, 
studies,  conferences,  etc).  These  actions  may  also  be  implemented  by  means  other 
than calls for proposals. 

4. Individual projects Support for “frontier” research 

Support  to  projects  carried  out  by  individual  national  or  transnational  research 
teams.  This  scheme  will  mainly  be  used  to  support  investigator-driven  “frontier” 
research projects funded in the framework of the European Research Council. 

5. Support for training and career development of researchers  

Support  for  training  and  career  development  of  researchers,  mainly  used  for  the 
implementation of the Marie Curie actions.  

6. Research for the benefit of specific groups (in particular SMEs) 

Support to research and technological development projects where the bulk of the 
research is carried out by universities, research centres or other legal entities, for the 
benefit of specific groups, in particular SMEs or associations of SMEs. Efforts will 
be undertaken to mobilise additional financing from the EIB Group and other 
financial organisations. 

b) 

To support actions implemented on the basis of decisions by the Council and the 
European  Parliament  (or  by  the  Council  in  consultation  with  the  European 
Parliament)36,  based  on  a  proposal  from  the  Commission,  the  Community  will 
provide financial support to multi-financed large-scale initiatives.  

•  A financial contribution from the Community to the joint implementation of well 
identified national research programmes, on the basis of Article 169 of the Treaty. 
This  joint  implementation  will  require  the  establishment  or  existence  of  a 
dedicated  implementation  structure.  Community  financial  support  will  be 
provided  subject  to  the  definition  of  a  financing  plan  based  on  formal 
commitments from competent national authorities. 

•  A  financial  contribution  from  the  Community  to  the  implementation  of  Joint 
Technology  Initiatives  to  realise  objectives  that  cannot  be  achieved  through  the 
funding schemes identified in point 1 part a) above. Joint Technology Initiatives 
will  mobilise  a  combination  of  funding  of  different  nature  and  from  different 
sources,  private  and  public,  European  and  national.  This  funding  can  take 
different forms and can be allocated or mobilised though a range of mechanisms: 
support  from  the  Framework  Programme,  loans  from  the  European  Investment 
Bank,  support  to  risk  capital.  Joint  Technology  Initiatives  may  be  decided  and 
implemented  on  the  basis  of  Article  171  of  the  Treaty  (this  may  include  the 
creation  of  joint  undertakings)  or  through  the  Specific  Programme  Decisions. 
Community  support  will  be  provided  subject  to  the  definition  of  an  overall 

36 

Or by the Council in consultation with the European Parliament  

EN 

62 

   EN 

 
                                                 
blueprint of financial engineering, based on formal commitments from all parties 
concerned.  

•  A  financial  contribution  from  the  Community  to  the  development  of  new 
infrastructures of European interest. This contribution may be decided on the basis 
of  Article  171  of  the  Treaty  or  through  the  Specific  Programme  Decisions.  The 
development  of  new  infrastructures  will  mobilise  a  combination  of  funding  of 
different  nature  and  origin:  national  funding,  Framework  Programme,  Structural 
funds, loans from the European Investment Bank and others. Community support 
will be provided subject to the definition of an overall financial plan based on a 
formal commitment from all parties concerned.  

The  Community  will  implement  the  funding  schemes  identified  in  part  a)  above  in 
compliance with the provisions of the regulation to be adopted pursuant to Article 167 of the 
Treaty, the relevant State Aid instruments, in particular the Community framework for state 
aid to research and development, as well as international rules in this area. In compliance with 
this  international  framework,  it  will  be  necessary  to  be  able  to  adjust  the  scale  and  form  of 
financial  participation  on  a  case-by-case  basis,  in  particular  if  funding  from  other  public 
sector  sources  is  available,  including  other  sources  of  Community  financing  such  as  the 
European Investment Bank (EIB).  

In  addition  to  direct  financial  support  to  participants  in  RTD  actions,  the  Community  will 
improve  their  access  to  debt  finance  through  the  “Risk-Sharing  Finance  Facility”  by 
providing a contributiongrant to the EIB. The Community contributiongrant shall be used 
by  the  EIB,  which  will  be  a  risk  sharing  partner,  to  contribute  to  the  provisioning  and 
capital allocation for loan and guarantee financing from its own resources. There will be 
no  further  liability  for  the  Community  budget.  Subject  to  and  in  accordance  with 
modalities to be established by the regulation adopted pursuant Article 167 of the Treaty and 
the Council decisions adopting the specific programmes, this mechanism will enable the EIB 
to  increase  the  amount  of  financing  of  European  RTD  actions  (such  as  joint  technology 
initiatives,  large  projects-including  Eureka  projects,  and  new  research  infrastructures,  and 
projects run by SMEs) to help overcome market deficiencies. 

In the case of participants to an indirect action established in a region lagging in development 
(convergence  regions  and  outermost  regions37),  complementary  funding  from  the  Structural 
Funds  will  be  mobilised  wherever  possible  and  appropriate.  In  the  case  of  participation  of 
entities  from  the  candidate  countries,  an  additional  contribution  from  the  pre-accession 
financial  instruments  could  be  granted  under  similar  conditions.  As  regards  actions  in  the 
“research  infrastructures”  part  of  the  “capacities”  programme  of  the  7th  Framework 
Programme,  the  detailed  funding  arrangements  for  these  will  be  defined  with  a  view  to 
ensuring  that  there  is  effective  complementarity  between  community  research  funding  and 
other EU Community and national instruments, notably the Structural Funds. 

37 

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. 

EN 

63 

   EN 

 
                                                 
Direct actions 

The  Community  will  undertake  activities  implemented  by  the  Joint  Research  Centre,  which 
are referred to as direct actions. 

EN 

64 

   EN 

 
LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL : 

Proposal for a Decision of the European Parliament and of the Council concerning the 7th 
framework  programme  of 
technological 
development  and  demonstration  activities  (2007  to  2013)  –  Building  the  Europe  of 
Knowledge 

the  European  Community  for  research, 

2. 

ABM / ABB FRAMEWORK 

RESEARCH,  ENTREPRISE,  ENERGY  AND  TRANSPORT.  INFORMATION 
SOCIETY. DIRECT RESEARCH and FISHERIES 

3. 

BUDGET LINES 

3.1. 

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

02  04  01  Security  and  Space  Research;  06  06  01  Research  related  to  energy;  06  06  02  Research 
related to transport (including aeronautics); 08 02 01 Cooperation — Health; 08 03 01 Cooperation 
—  Food,  Agriculture  and  Biotechnology;  08  04  01  Cooperation  —  Nanosciences, 
Nanotechnologies, Materials and new Production Technologies; 08 05 01 Cooperation — Energy; 
08  06  01  Cooperation  —  Environment  (including  Climate  Change);  08  07  01  Cooperation  — 
Transport  (including  Aeronautics);  08  08  01  Cooperation  —  Socio-economic  sciences  and  the 
humanities; 08 09 01 Cooperation – RSFF; 08 10 01 Ideas; 08 11 01 People; 08 12 01 Capacities — 
Research  Infrastructures;  08  13  01  Capacities  —  Research  for  the  benefit  of  SMEs;  08  14  01 
Capacities  —  Regions  of  Knowledge;  08  15  01  Capacities  —  Research  Potential;  08  16  01 
Capacities — Science in Society; 08 17 01 Capacities — Activities of International Co-operation; 
08  18  01  Capacities  -  Risk  Sharing  Finance  Facility  (EIB);  09  04  01  Support  to  Research 
Cooperation in the area of Information and Communication Technologies (ICT - Cooperation); 09 
05  01  Capacities  -  Research  Infrastructures;  10  02  01  Non  nuclear  actions  of  the  Joint  Research 
Centre (JRC) 

3.2. 

Duration of the action and of the financial impact: 

2007-2013  

3.3. 

Budgetary characteristics (add rows if necessary): 

Budget line 

Type of 
expenditure 

New 

EFTA 
contribution 

Contributions from 
applicant countries 

02,  06,  08, 
09, and 10 
XX.01 

Non-
comp 

Non-
comp 

Diff38/ 

Non-
diff39 

YES 

YES 

YES 

NO 

YES 

NO 

Heading in 
financial 
perspective 

No [1a] 

No [ 1a…] 

38 
39 

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

EN 

65 

   EN 

 
 
                                                 
XX.01.04 

XX.01.05 

Non-
comp 

Non-
comp 

Non-
diff 

Non-
diff 

YES 

YES 

YES 

YES 

YES 

YES 

No [ 1a…] 

No [ 1a…] 

4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

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

EUR million (to 3 decimal places) CURRENT PRICES 

Section 
no. 

Expenditure type 

Operational expenditure40 

Commitment 
Appropriations (CA) 

8.1 

Payment 
Appropriations (PA) 

a 

b 

2007 

2008 

2009 

2010 

2011 

2012 

2013 

Total 

4.596,105 

5.035,523 

5.558,406 

6.331,855 

7.341,771 

8.262,346 

9.210,139 

46.336,145 

570,307 

3.397,368 

5.112,937 

6.021,808 

6.908,373 

7.329,833 

16.995,519 

46.336,145 

Administrative expenditure within reference amount41 

Technical 
administrative 
assistance (NDA) 

& 

8.2.4 

c 

485,903 

543,551 

560,720 

600,868 

626,378 

663,608 

703,827 

4.184,855 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT  

Commitment 
Appropriations 

Payment 
Appropriations 

a+c 

b+c 

5.082,008 

5.579,074 

6.119,126 

6.932,723 

7.968,149 

8.925,954 

9.913,966 

50.521,000 

1.056,210 

3.940,919 

5.673,657 

6.622,676 

7.534,751 

7.993,441 

17.699,346 

50.521,000 

Administrative expenditure not included in reference amount42 

Human resources and 
associated 
expenditure (NDA) 

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

8.2.5 d 

8.2.6 e 

40 
41 
42 

Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within article xx 01 05 of Title xx. 
Expenditure within chapter xx 01 other than articles xx 01 05. 

EN 

66 

   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 

5.082,008 

5.579,074 

6.119,126 

6.932,723 

7.968,149 

8.925,954 

9.913,966 

50.521,000 

1.056,210 

3.940,919 

5.673,657 

6.622,676 

7.534,751 

7.993,441 

17.699,346 

50.521,000 

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  (Interinstitutional 

agreement on the financial framework 2007-2013). 

(cid:133) 

(cid:133) 

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

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional 
Agreement43  (i.e.  flexibility 
the  financial 
perspectives). 

instrument  or  revision  of 

4.1.3.  Financial impact on Revenue 

(cid:133) 

Proposal has no financial implications on revenue 

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

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

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

43 

See points 19 and 24 of the Interinstitutional agreement. 

EN 

67 

   EN 

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

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 resources 

of 

4.436 

4.629 

4.659 

4.937 

5.039 

5.288 

5.538 

It will be necessary to consider year by year the consequences for human resources of the 
phasing  out  of  the  6th  Framework  Programme  and  the  phasing  in  of  the  7th  Framework 
Programme.  

5. 

CHARACTERISTICS AND OBJECTIVES 

5.1. 

Need to be met in the short or long term 

The 7th Framework Programme will be an integral part of EU efforts towards the European 
knowledge economy and society, together with other measures on  education,  training  and 
innovation.  FP7  will  cover  the  main  components  of  European  research:  cooperative 
research, basic research, human resources and research capacities. In addition, major efforts 
to simplify all Framework Programme procedures are being undertaken to make them more 
user-friendly. 

5.2. 

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

Intervention at EU level is justified in the field of R&D policy. Some research activities are 
of  such  a  scale  that  no  single  Member  State  can  provide  the  necessary  resources  and 
expertise.  EU  projects  allow  research,  technological  development  and  demonstration  to 
achieve  the  required  ‘critical  mass’,  while  lowering  financial  risks  involved  and  levering 
private  investment.  EU-scale  actions  also  play  a  key  role  in  transferring  skills  and 
knowledge  across  frontiers,  helping  to  foster  excellence  in  R&D  through  enhancing 
capability,  quality  and  EU-wide  competition,  and  improving  human  capacity  through 
training,  mobility  and  career  development.  EU  support  can  also  contribute  to  a  better 
integration  of  European  R&D;  encouraging  the  coordination  of  national  policies,  the  EU-
wide dissemination of results, and funding research for pan-European policy challenges.  

An in-depth analysis is provided in the ‘Impact Assessment and Ex Ante Evaluation Report 
for the Commission proposals for the Council and European Parliament decisions on the 7th 
Framework Programme (EC and Euratom)’ - SEC(2005) 430. 

5.3. 

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

‘Reinvigorating’ the Lisbon agenda is a key goal of the EU and the European Commission. 
This implies, as a first priority, the full realisation of the knowledge society. The strategic 
objectives of the College, COM(2005) 12, have highlighted the importance of R&D as one 

EN 

68 

   EN 

 
of  the  key  drivers  of  prosperity  and  growth.  In  particular  this  will  mean  the  Union 
committing to invest 3% of GDP in research, with one third coming from the public sector.  

The  objectives  set  out  in  Annex  I  aim  to  support  the  Lisbon  agenda  through  Community 
funded research activities.  

5.4.  Method of Implementation (indicative) 

Show below the method(s)44 chosen for the implementation of the action. 

⌧  Centralised Management 

⌧  Directly by the Commission 

⌧ 

Indirectly by delegation to: 

⌧  Executive Agencies 

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

Financial Regulation 

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

(in part for some Marie Curie individual fellowships) 

(cid:133) 

Shared or decentralised management 

(cid:133)  With Member states 

(cid:133)  With Third countries 

(cid:133) 

Joint management with international organisations (please specify) 

Relevant comments: 

Externalisation is an important part of the management of this framework programme. It is, 
in  addition,  a  progressive  exercise.  Within  this  context,  the  Ideas  programme  will  be 
delegated  to  a  dedicated  executive  agency  (for  which  this  work  will  be  overseen  by  a 
scientific council). Other parts of the framework programme will progressively be given to 
an existing or new agency. These parts are expected to concern the People programme, as 
well  as  SME  specific  measures,  in  addition  to  the  certain  administrative  parts  of  the  Co-
operation  and  Capacities  programme.  The  scope  of  work  undertaken  by  the  agencies 
involved will be determined on the basis of on-going analyses. The management structure 
for actions deriving from Article 169 or Article 171 of the Treaty will be decided on a case-
by-case basis and will be created by the decisions establishing the actions.  

44 

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

EN 

69 

   EN 

 
                                                 
The detailed implementation of the individual grant schemes resulting from the co-funding 
of national mobility programmes will be passed to the relevant national or regional public-
sector  bodies  or  private  bodies  with  a  public  service  mission  established  in  the  Member 
States. 

6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

Monitoring  of  implementation  management  would  be  ensured  by  operational  senior 
management  within  the  Commission  on  a  continual  basis  with  annual  checks  using  a 
common set of management performance indicators. The annual results of this exercise will 
be used to inform senior management and an input to the multi-annual assessment exercise. 

The  requirements  and  systems  for  data  collection  regarding  proposal  evaluation  and 
contract preparation are currently  under review given  the needs of providing a robust and 
simplified data set while imposing minimum burden on research programme participants.  

6.2. 

Evaluation 

6.2.1.  Ex-ante evaluation 

In  line  with  the  Commission  requirements,  an  ex  ante  evaluation  of  the  FP7  legislative 
proposals  has  been  undertaken.  This  evaluation  is  incorporated  in  the  overall  Impact 
Assessment  report  of  the  European  Commission’s  proposals  for  the  European  Parliament 
and Council decisions on the 7th Framework Programme (EC and Euratom).  

6.2.2.  Measures  taken  following  an  intermediate/ex-post  evaluation  (lessons  learned 

from similar experiences in the past) 

A Five Year Assessment of the implementation and achievements of Community research 
over the five preceding years was carried out between June-December 2004 by a panel of 
independent high level experts.  

The  results  of  the  Five  Year  Assessment  were  made  available  on  10  February  2005  and 
communicated to the European Parliament, the Council, the European Economic and Social 
Committee and the Committee of the Regions. 

A  synthesis  of  the  key  findings  of  the  Five  Year  Assessment  report  and  how  these  have 
been  integrated  into  the  proposal  was  given  in  the  original  legislative  proposal  for  the  7th 
Framework Programme. 

6.2.3.  Terms and frequency of future evaluation 

Not later than 2010 the Commission shall carry out, with the assistance of external experts, 
an  interim  evaluation  of  FP7  and  its  specific  programmes  on  the  quality  of  the  research 
activities underway and progress towards the objectives set. 

Two years following the completion of this framework programme, the Commission shall 
have  carried  out  an  external  evaluation  by  independent  experts  of  its  rationale, 

EN 

70 

   EN 

 
implementation  and  achievements.  This  would  be  supported  by  a  coherent  set  of 
independent studies, the interim evaluation and other evaluation activities carried out over 
the  life-time  of  the  Framework  Programme,  as  listed  above.  The  report  of  this  exercise 
would  be  presented  to  all  interested  stakeholders,  including  the  Parliament  and  Council. 
Furthermore, this  report could  feed  into future ex ante  evaluation  and impact assessments 
by the Commission. 

An independent ex post programme evaluation would be undertaken 2 years after the end of 
FP6. 

7. 

ANTI-FRAUD MEASURES  

Measures  will  be  taken  to  ensure  that  the  same  anti-fraud  measures  taken  in  FP6  will  be 
brought forward and reinforced in FP7. These include measures such as financial collective 
responsibility, sanctions against overcharging, measures to ensure the effective recovery of 
amounts due to the Commission, and administrative and legal measures taken to ensure full 
compliance with the Financial Regulation. 

EN 

71 

   EN 

 
8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

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

OPERATIONAL 
OBJECTIVE No.146 

COOPERATION47 

OPERATIONAL 
OBJECTIVE No.246 

IDEAS 

OPERATIONAL 
OBJECTIVE No.346 

PEOPLE 

OPERATIONAL 
OBJECTIVE No.446 

CAPACITIES48 

OPERATIONAL 
OBJECTIVE No546 

JRC 

TOTAL COST 

Year 2007 

Year 2008 

Year 2009 

Commitment appropriations in EUR million (to 3 decimal places) Current prices45 
Year 2012  

Year 2011 

Year 2013 

TOTAL 

Year 2010 

No. 
outputs 

Total cost 

No. 
outputs 

Total cost 

No. 
outputs 

Total cost 

No. 
outputs 

Total cost 

No. 
outputs 

Total cost 

No. 
outputs 

Total cost 

No. 
outputs 

Total cost 

No. 
outputs 

Total cost 

3.670,645 

   3.761,531 

   3.902,656 

   4.291,435 

   4.836,537 

   5.513,493 

   6.315,703 

   32.292,000 

300,322 

549,876 

810,395 

   1.136,863 

   1.335,048 

   1.623,971 

   1.703,525 

7.460,000 

454,397 

494,449 

526,169 

561,420 

778,211 

933,537 

978,817 

4.727,000 

431,614 

540,312 

638,849 

693,510 

760,126 

587,688 

638,901 

4.291,000 

225,030 

232,906 

241,057 

249,495 

258,227 

267,265 

277,020 

1.751,000 

5.082,008 

   5.579,074 

   6.119,126 

   6.932,723 

   7.968,149 

   8.925,954 

   9.913,966 

   50.521,000 

The amount of up to 1 billion euro for the RSFF is to be matched by an equivalent amount from the EIB. The amount is indicative and 
will be made available progressively to the EIB taking account of the level of demand. 

45 

46 
47 
48 

The following amounts represent (cash prices) the heading 1 a) of the financial framework related to “Establishing a European research area, …” not 
including the part related to Innovation. 
As described under Section 5.3. 
Including 800 Mio € for RSFF (proportional contribution by all thematic priorities except socio-economic research). 
Including 200 Mio € for RSFF from Research infrastructure. 

EN 

72 

 
 
 
 
  
  
  
 
  
  
  
  
  
  
  
 
  
  
  
  
  
  
  
 
  
  
  
  
  
  
  
 
                                                 
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 
staff49 
(XX 01 
01) 

Staff  financed50  by 
art. XX 01 02 

A*/AD 

Other 
staff51 
financed 
by 
art. 
XX 01 05  B*, 

C*/AST 

1.587 

1.614 

1.616 

1.644 

1.654 

1.661 

1.680 

1.420 

1.440 

1.440 

1.459 

1.466 

1.470 

1.484 

External staff 

1.429 

1.575 

1.603 

1.834 

1.919 

2.157 

2.374 

TOTAL 

4.436 

4.629 

4.659 

4.937 

5.039 

5.288 

5.538 

The  total  includes 
following 
the 
posts 
statutory 
allocated 
to 
executive agencies52 

0 

64 

66 

128 

150 

166 

209 

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 

49 
50 
51 
52 

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. 
A  total  number  of  209  statutory  posts  (157  supplementary  and  52  frozen)  over  the  period  2007-2013 
corresponds to staff that will be allocated to executive agencies. The indicative breakdown per specific 
programme,  based  strictly  on  a  pro-rata  budgetary  estimate,  is  as  follows:  Co-operation  (127),  Ideas 
(46), People (19), Capacities (17). 

EN 

73 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
⌧  Posts pre-allocated within the APS/PDB exercise for year 2007 

⌧  Posts to be requested in the next APS/PDB procedure  

⌧  Posts  to  be  redeployed  using  existing  resources  within  the  managing  service 

(internal redeployment) 

(cid:133) 

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

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

on administrative management) 

EUR million (to 3 decimal places) Current Prices 

Budget line 

(number and heading) 

Year 
2007 

Year 
2008 

Year 
2009 

Year 
2010 

Year 
2011 

Year 
2012 

Year 
2013 

TOTAL 

Statutory staff 

xx.01 05 01 

External staff 

xx.01 05 02 

Other administrative 
expenses 

xx.01 05 03 

Total 
administrative assistance 

Technical 

and 

275,677 

317,890 

326,339 

340,499 

351,402 

361,876 

375,498 

2.349,181 

86,037 

85,400 

89,209 

104,255 

111,699 

128,170 

143,774 

748,544 

124,189 

140,261 

145,172 

156,114 

163,277 

173,562 

184,555 

1.087,130 

485,903 

543,551 

560,720 

600,868 

626,378 

663,608 

703,827 

4.184,855 

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

amount 

EUR million (to 3 decimal places) current prices 

Type of human resources 

Year 
2007 

Year 
2008 

Year 
2009 

Year 
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) 

EN 

74 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Calculation – Administrative expenditures 

Have been calculated taking into account the following hypothesis for indirect actions: 

- includes all administrative expenditures (including executive agencies)  

- the following assumptions in 2004 prices (with 2% inflation) : 

. cost of official permanent staff and temporary agent : 108 000 €/year 

. cost of external staff : 48 000 €/year (except for ERC : 57 000 €/year) 

. cost of other administrative expenses : 35 % of staff cost (40 % for ERC) 

-figures for 2007 correspond to PDB 2007 

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 amount 

EUR million (to 3 decimal places) current prices 

Year 
2007 

Year 
2008 

Year 
2009 

Year 
2010 

Year 
2011 

Year 
2012 
and 
2013 

TOTAL 

XX 01 02 11 01 – Missions 

XX 01 02 11 02 – Meetings & Conferences 

XX 01 02 11 03 – Committees  

XX 01 02 11 04 – Studies & consultations 

XX 01 02 11 05 - Information systems 

2 Total Other Management Expenditure 

(XX 01 02 11) 

3 

Other 

expenditure 

administrative 
including reference to budget line) 

nature 

of 

an 
(specify 

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

Calculation - Other administrative expenditure not included in reference amount 

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. 

EN 

75 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
2005/0044(CNS) 

Amended proposal for a 

COUNCIL DECISION 

concerning the seventh framework programme of the European Atomic Energy 
Community (Euratom) for nuclear research and training activities (2007 to 2011) 

(Text with EEA relevance) 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Atomic  Energy  Community,  and  in 
particular Article 7 thereof, 

Having regard to the proposal from the Commission53, 

Having regard to the opinion of the European Parliament54, 

Having regard to the opinion of the European Economic and Social Committee55, 

Whereas: 

(1) 

(2) 

(3) 

(5) 

Joint national and European efforts in the area of research and training are essential to 
promote and ensure economic growth and citizen’s wellbeing in Europe.  

The seventh framework programme complements other EU actions in the area of the 
research  policy  that  are  necessary  for  the  implementation  of  the  Lisbon  strategy, 
alongside  in  particular  those  on  education,  training,  competitiveness  and  innovation, 
industry, employment, and environment. 

This framework programme builds on the achievements of its predecessor towards the 
creation  of  the  European  Research  Area,  and  carries  them  further  towards  the 
development of the knowledge economy and society in Europe. 

The  Commission  Green  Paper  ‘Towards  a  European  strategy  for  energy  supply’ 
highlights  the  contribution  of  nuclear  power  in  reducing  emissions  of  greenhouse 
gases and in reducing Europe’s dependence on imported energy.  

(6)  With reference to the Council Decision of 26 November 2004 amending the directives 
of negotiations on ITER56, the realisation of ITER in Europe, in a broader approach to 

53 
54 
55 
56 

OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
Not published in the OJ. 

EN 

76 

   EN 

 
 
                                                 
(7) 

(8) 

(9) 

fusion energy, will be the central feature of the activities on fusion research carried out 
under the seventh framework programme 

Implementation of the seventh framework programme may give rise to the setting up 
of joint undertakings within the meaning of Title II, Chapter 5 of the Treaty.  

Research  activities  supported  by  this  Framework  Programme  should  respect 
fundamental ethical principles, including those reflected in the Charter of Fundamental 
Rights  of  the  European  Union.  The  opinions  of  the  European  Group  on  Ethics  in 
Science and New Technologies are and will be taken into account. 

This  act  establishes  a  financial  framework  for  the  entire  duration  of  the  programme 
which is to be the principal point of reference for the budgetary authority, within the 
meaning  of  point  37  of  the  Interinstitutional  Agreement  of  17/5/2006  between  the 
European  Parliament,  the  Council  and  the  Commission  on  budgetary  discipline  and 
improvement of the budgetary procedure. 

(10)  On  24/08/200557,  the  Commission  submitted  the  conclusions  of  the  external 
assessment of the implementation and results of the Community activities carried out 
in the five years preceding that assessment, accompanied by its observations. 

(11) 

It  is  important  to  ensure  sound  financial  management  of  the  seventh  framework 
programme  and  its  implementation  in  the  most  effective  and  user-friendly  manner 
possible, as well as ease of access for all participants. 

(12)  Under  the  seventh  Framework  Programme  due  regard  will  be  paid  to  the  role  of 
women and science and research with a view to further enhancing their active role in 
research. 

technological 

(13)  The  Joint  Research  Center  has  the  crucial  role  of  providing  customer-driven 
scientific  and 
the  conception,  development, 
support 
implementation  and  monitoring  of  EU  policies.  Continuous  support  should  be 
given to the Joint Research Centre to allow it to function as a reference centre of 
science  and  technology  for  the  EU,  independent  of  private  and  national 
interestsshould contribute to the attainment of the objectives set out above by carrying 
out direct activities and by providing customer-driven support for the implementation 
of EU policies. 

for 

(14)  The international and global dimension in European research activities is important in 
the interest of obtaining mutual benefits. The seventh Framework Programme is open 
to  the  participation  of  countries  having  concluded  the  necessary  agreements  to  this 
effect, and is also open, on the project level and on the basis of mutual benefit, to the 
participation  of  entities  from  thirds  countries  and  of  international  organisations  for 
scientific cooperation. 

(15)  The  seventh  Framework  Programme  should  contribute  to  enlargement  by  bringing 
scientific and technological support to the candidate countries for the implementation 
of Community acquis and for their integration into the European Research Area. 

57 

COM(2005)387 

EN 

77 

   EN 

 
                                                 
(16)  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 2988/95 of 18 December 
1995  on  the  protection  of  the  European  Communities  financial  interests58,  (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 
irregularities59  and 
Communities’  financial 
Regulation  (EC)  No  1073/1999  of  the  European  Parliament  and  of  the  Council 
concerning investigations conducted by the European Anti-Fraud Office (OLAF)60. 

interests  against  fraud  and  other 

(17)  The  Scientific and Technical Committee has been consulted  by the Commission and 

has delivered its opinion. 

HAS DECIDED AS FOLLOWS:  

Article 1 

AdoptionEstablishment of the research and training framework programme 

A multiannual framework programme for nuclear research and training activities, hereinafter 
referred  to  as  the  “seventh  framework  programme”  is  hereby  adoptedestablished  for  the 
period from 1 January, 2007 to 31 December , 2011.  

Article 2 

Objectives 

1. 

2. 

The  seventh  Framework  programme  shall  pursue  the  general  objectives  set  out  in 
Article 1 and Article 2(a) of the Treaty, while contributing towards the creation of a 
knowledge-based society, building on a European Research Area. 

framework  programme  shall  comprise  Community 

The  seventh 
research, 
technological  development,  international  cooperation,  dissemination  of  technical 
information  and  exploitation  activities  as  well  as  training,  to  be  set  out  in  two 
specific programmes: 

The first programme shall cover the following: 

(a) 

(b) 

Fusion  energy  research,  with  the  objective  of  developing  the 
technology  for  a  safe,  sustainable,  environmentally  responsible  and 
economically viable energy source; 

Nuclear  fission  and  radiation  protection  with  the  objective  of 
enhancing 
the  safety  performance,  resource 
efficiency  and  cost-effectiveness  of  promoting  the  safe  use  and 

in  particular 

58 
59 
60 

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 

78 

   EN 

 
                                                 
exploitation of nuclear fission and other uses of radiation in industry 
and medicine. 

The second programme shall cover the activities of the Joint Research Centre in the 
field of nuclear energy. 

3. 

The broad lines of the programmes are described in Annex I. 

Article 3  

Maximum overall amount and shares assigned to each programme 

The overall amount for the implementation of the seventh framework programme for 
the  period  2007  to  2011  shall  be  EUR  2  7513092  million.  That  amount  shall  be 
distributed as follows (in EUR million): 

(a) 

Fusion energy research 

1 9472159 

(b) 

Nuclear Fission and radiation protection 

287394 

(c) 

Nuclear  Activities  of  the  Joint  Research 
Centre 

517539 

Within the amount foreseen for Fusion energy research, not less than EUR 900 
million will be reserved to activities other than the construction of ITER, listed 
in Annex I 

2. 

The  detailed  rules  for  Community  financial  participation  in  this  Framework 
programme are set out in Annex II. 

Article 4 

Protection of the Communities’ financial interests 

For  the  Community  actions  financed  under  this  Decision,  Regulation  (EC,  Euratom)  No 
2988/95  and  Regulation  (EC,  Euratom)  No  2185/96  shall  apply  to  any  infringement  of  a 
provision of Community law, including infringement of a contractual obligation stipulated on 
the basis of the programme, resulting from an act or omission by an economic operator, which 
has, or would have, the effect of prejudicing the general budget of the European Communities 
or budgets managed by them, by an unjustified item of expenditure. 

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

Article 5 

EN 

79 

   EN 

 
Article 6 

Monitoring, assessment and review 

1. 

The  Commission 
the 
implementation  of  the  Framework  Programme  and  its  Specific  Programmes 
and regularly report and disseminate the results of this monitoring 

systematically  monitor 

continually  and 

shall 

Not later than 2010, the Commission shall carry out, with the assistance of external 
experts, an evidence-based interim evaluation of this Framework Programme and its 
specific  programmes  building  upon  the  ex-post  evaluation  of  the  Sixth 
Framework  Programme.  This  evaluation  shall  cover  the  quality  of  the  research 
activities under way, as well as the quality of implementation and management, 
and progress towards the objectives set.  

2. 

Following the completion of this framework programme, the Commission shall carry 
out  an  external  evaluation  by  independent  experts  of  its  rationale,  implementation 
and achievements. 

The Commission shall communicate the conclusions thereof, accompanied by its 
observations, to the European Parliament, the Council, the European Economic 
and Social Committee and the Committee of the Regions. 

Done at Brussels,  

For the Council 
The President   

EN 

80 

   EN 

 
 
 
ANNEX I 

SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES, THEMES AND ACTIVITIES 

INTRODUCTION  

The 7th EURATOM Research Framework Programme is organised in two parts corresponding 
to  the  “indirect”  actions  on  fusion  energy  research  and  nuclear  fission  and  radiation 
protection, and the “direct” research activities of the Joint Research Centre. 

FUSION ENERGY RESEARCH 

Objective 

Developing the knowledge base for, and realising ITER as thea major step towards, the 
creation  of  prototype  reactors  for  power  stations  which  are  safe,  sustainable, 
environmentally responsible, and economically viable. 

Rationale 

There are serious shortcomings in Europe’s energy supply with respect to near, medium, and 
long-term considerations. In particular, measures are needed to address the issues of security 
of supply, climate change, and sustainable development, while ensuring that future economic 
growth is not threatened. 

Notwithstanding the efforts which the EU is making and should continue to make in the 
field  of  research  into  renewable  energies,  fFusion  has  the  potential  to  make  a  major 
contribution to the realisation of a sustainable and secure energy supply for the EU in a few 
decades  approximately  fifty  or  sixty  years  from  now  after  the  market  penetration  of 
commercial  fusion  reactors.  “fast  track”  to  fusion  energy  will  therefore  be  pursued  in 
order to shorten as much as possible the time taken to develop an actual fusion power 
plant.  Its  successful  development  would  provide  energy  which  is  safe,  sustainable  and 
environmentally friendly. The long-term goal of European fusion research, embracing all the 
fusion activities in the Member States and associated third countries, is the joint creation, in 
approximately  thirty  or  thirty-five  years,  of  prototype  reactors  for  power  stations  which 
meet these requirements, and are economically viable. 

The  strategy  to  achieve  the  long-term  goal  entails,  as  its  first  priority,  the  construction  of 
ITER  (a  major  experimental  facility  which  will  demonstrate  the  scientific  and  technical 
feasibility of fusion power), followed by the construction of DEMO, a "demonstration" fusion 
power  station.  This  will  be  accompanied  by  a  dynamic  programme  of  supporting  R&D  for 
ITER  and  for  the  developments  in  fusion  materials,  technologies  and  physics  required  for 
DEMO. This would involve European industry, the fusion Associations and third countries, in 
particular Parties to the ITER Agreement. 

EN 

81 

   EN 

 
Activities 

•  The realisation of ITER 

This  includes  activities  for  the  joint  realisation  of  ITER  (as  an  international  research 
infrastructure), in particular for site preparation, establishing the ITER Organisation and the 
European  Joint  Undertaking  for  ITER,  management  and  staffing,  general  technical  and 
administrative support, construction of equipment and installations and support to the project 
during construction. 

•  R&D in preparation of ITER operation 

A focused physics and technology programme will exploit the facilities and resources in the 
fusion programme, includingi.e. JET and other magnetic confinement devices, existing or 
under  construction  (Tokamaks,  Stellarators,  RFPs).  It  will  assess  specific  key  ITER 
technologies,  consolidate  ITER  project  choices,  and  prepare  for  ITER  operation  through 
experimental and theoretical activities. 

•  Technology activities in preparation of DEMO 

This  entails  the  vigorous  development  of  fusion  materials  and  key  technologies  for  fusion, 
including  blankets,  and  the  establishment  of  a  dedicated  project  team  to  prepare  for  the 
construction  of  the  International  Fusion  Materials  Irradiation  Facility  (IFMIF)  to  qualify 
materials for DEMO. It will include irradiation testing and modelling of materials, studies of 
the  DEMO  conceptual  design,  and  studies  of  the  safety,  environmental  and  socio-economic 
aspects of fusion energy. 

•  R&D activities for the longer term 

The  activities  will  include  further  development  of  improved  concepts  for  magnetic 
confinement  schemes  with  potential  advantages  for  Fusion  power  stations  (focussed  on  the 
completion of the construction of the W7-X stellarator device), theory and modelling aimed at 
a comprehensive understanding of the behaviour of fusion plasmas and co-ordination., in the 
context  of  a  keep-in-touch  activity,  of  Member  States’  civil  research  activities  on  inertial 
confinement.  

•  Human resources, education and training 

In view of the immediate and medium term needs of ITER, and for the further development of 
fusion, initiatives aimed at ensuring that adequate human resources will be available, in terms 
of  numbers,  range  of  skills  and  high  level  training  and  experience  will  be  pursued.  This 
would  include  looking  at  ways  of  establishing  a  European  PhD  in  the  physics  and 
engineering of fusion. 

•  Infrastructures 

The construction of the international fusion energy research project ITER will be an element 
of the new research infrastructures with a strong European dimension. 

EN 

82 

   EN 

 
•  Technology transfer processes 

The  ITER  will  require  new  and  more  flexible  organisational  structures  to  enable  the 
process  of  innovation  and  technological  progress  which  it  creates  to  be  swiftly 
transferred to industry, so that the challenges can be met to enable European industry 
to become more competitive. 

NUCLEAR FISSION AND RADIATION PROTECTION 

Objective 

Establishing  a  sound  scientific  and  technical  basis  in  order  to  accelerate  practical 
developments  for  the  safer  management  of  long-lived  radioactive  waste,  enhancing  in 
particular  the  safety  performance,  resource  efficiency  and  cost-effectiveness  promoting 
safer, more resource-efficient and competitive exploitation of nuclear energy and ensuring a 
robust and socially acceptable system of protection of man and the environment against 
the effects of ionising radiation. 

Rationale 

Nuclear power currently generates one third of all electricity consumed in the EU and isas the 
most significant source of carbon-free base-load electricity that, during the operation of a 
nuclear power plant, does not emit CO2, constitutes an important element in the debate 
on  the  means  of  combating  climate  change  and  reducing  Europe’s  dependence  on 
imported energy. presently available. The European nuclear sector as a whole is typified by 
cutting-edge  technology  and  provides  highly  skilled  employment  for  several  hundred 
thousand  people.  As  an  indigenous  and  dependable  source  of  energy,  nuclear  power 
contributes to the EU’s independence and security of supply, with mMore advanced nuclear 
technology could offering the prospect of significant improvements in efficiency and use of 
resources,  at  the  same  time  ensuring  even  higher  safety  standards  and  producing  less  waste 
than current designs.  

There are, however, important concerns that affect the continued use of this energy source in 
the  EU.  Efforts  are  still  required  to  ensure  a  continuation  of  the  Community’s 
outstanding safety record and the improvement of radiation protection continues to be a 
priority  area.  The  key  issues  are  operational  reactor  safety  and  management  of  long-lived 
waste,  both  of  which  are  being  addressed  through  continued  work  at  the  technical  level, 
though allied political and societal inputs are also required. In all uses of radiation, throughout 
industry  and  medicine  alike,  the  overriding  principle  is  the  protection  of  man  and  the 
environment.  All  thematic  domains  to  be  addressed  here  are  characterised  by  an  overriding 
concern  to  ensure  high  levels  of  safety.  Similarly  there  are  clearly  identifiable  needs 
throughout nuclear science and engineering relating to availability of research infrastructures 
and expertise. In addition, the individual technical areas are linked by key cross-cutting topics 
such  as  the  nuclear  fuel  cycle,  actinide  chemistry,  risk  analysis  and  safety  assessment  and 
even societal and governance issues. 

Research will also be needed to explore new scientific and technological opportunities and to 
respond in a flexible way to new policy needs that arise during the course of the Framework 
Programme. 

EN 

83 

   EN 

 
Activities 

•  Management of radioactive waste 

Implementation oriented research and development activities on all remaining key aspects of 
deep  geological  disposal  of  spent  fuel  and  long-lived  radioactive  waste  and,  as  appropriate, 
demonstration on the technologies and safety, and to underpin the development of a common 
European view on the main issues related to the management and disposal of waste. Research 
on partitioning and transmutation and/or other concepts aimed at reducing the amount and/or 
hazard of the waste for disposal. 

•  Reactor systems 

Research  to  underpin  the  continued  safe  operation  of  all  relevant  types  of  existing  reactor 
systems (including fuel cycle facilities), taking into account new challenges such as life-time 
extension  and  development  of  new  advanced  safety  assessment  methodologies  (both  the 
technical  and  human  element),  including  as  regards  severe  accidents,  and  to  assess  the 
potential  and  safety  and  waste  management  aspects  of  future  reactor  systems  in  the  short 
and medium term, thereby maintaining the high safety standards already achieved within the 
EU and considerably improving the long-term management of radioactive waste.  

•  Radiation protection  

Research, in particular on the risks from low doses, on medical uses and on the management 
of  accidents,  to  provide  the  scientific  basis  for  a  robust,  equitable  and  socially  acceptable 
system of protection that will not unduly limit the beneficial and widespread uses of radiation 
in medicine and industry (including the generation of nuclear energy). Research to minimise 
the  impact  of  threat  posed  by  nuclear  and  radiological  terrorism  and  diversion  of  nuclear 
material.mitigate its impact. 

•  Infrastructures 

To  support  the  availability  of,  and  cooperation  between,  research  infrastructures  such  as 
material test reactorsfacilities and training reactors, underground research laboratories and 
radiobiology  facilities  and  tissue  banks,  necessary  to  maintain  high  standards  of  technical 
achievement, innovation and safety in the European nuclear sector. 

•  Human resources, mobility and training 

To  support  the  retention  and  further  development  of  scientific  competence  and  human 
capacity (for instance through joint training activities) in order to guarantee the availability 
of  suitably  qualified  researchers,  engineers  and  employees  in  the  nuclear  sector  over  the 
longer term. 

NUCLEAR ACTIVITIES OF THE JOINT RESEARCH CENTRE 

Objective 

To  provide  customer  driven  scientific  and  technical  support  to  the  EU  Community 
policy making process in the nuclear field, ensuring support to the implementation and 
monitoring of existing policies while flexibly responding to new policy demands. 

EN 

84 

   EN 

 
Rationale 

The Joint Research Centre supports the objectives of the European strategy for energy supply, 
particularly  to  help  matching  the  Kyoto  objectives.  In  supporting  the  objectives  of  the 
European Union, the Joint Research Centre shall have specific tasks related to: 

•  Global  Security,  particularly  through  its  participation  in  developing  techniques  and 
methods  for  efficient  safeguards,  to  combat  illegal  trafficking  and  for  nuclear 
forensics; 

•  Enlargement of the EU, because this has (and will) involve new types of reactors and 

other nuclear installations; 

•  Energy supply, by contributing to new techniques for a nuclear fuel cycle in line with 

the principles of Sustainable Development. 

The  EU  Community  has  a  recognised  competence  in  many  aspects  of  nuclear  technology, 
and this is built on a solid basis of past successes in the domain. The usefulness of the JRC in 
its  support  to  EU  Community  policies  and  in  its  contribution  to  the  new  trends  in  nuclear 
research are based on its scientific expertise and its integration in the international scientific 
community  and  cooperation  with  other  research  centres  as  well  as  dissemination  of 
knowledge. On the one hand the The JRC has competent staff and state-of-the-art facilities to 
carry  out  recognised  scientific/technical  work.  It  shall  ensure  the  quality  and  the 
appropriate  renewal  of  its  infrastructures  to  keep  European  research  at  the  forefront. 
The  Joint  Research  Centre  ;  and  on  the  other  hand  it  supports  the  policy  of  the  EU 
Community to maintain basic competencies and expertise for the future by giving access to 
its  infrastructures  to  other  researchers,  by  training  young  scientists  and  fostering  their 
mobility and thus sustaining the nuclear know how in Europe. New demand has emerged 
in particular in the external relations and security related policies. In these cases, in-house and 
secure  information/analyses/systems  are  needed  which  cannot  always  be  obtained  on  the 
market.  

The  nuclear  activities  of  the  JRC  aim  to  satisfy  the  R&D  requirements  to  support  both 
Commission and Member States. The objective of this programme is to develop and assemble 
knowledge,  to  provide  input  to  the  debate  on  nuclear  energy  production,  its  safety  and 
reliability, its sustainability and control, its threats and challenges, including the assessment 
of innovative/future reactor systems. 

Activities 

The JRC activities will focus on: 

Nuclear Waste Management and Environmental Impact aiming to understand the nuclear 
fuel  processes  from  production  of  energy  to  waste  storagedisposal  and  to  develop  effective 
solutions  for  the  management  of  high  level  nuclear  waste  following  the  two  major  options 
(direct  storagedisposal  or  partitioning  and  transmutation).  In  particular,  activities  will  be 
developed  to  enhance  knowledge  and  improve  the  processing  or  conditioning  of  long-
lived waste and basic research into actinides;  

EN 

85 

   EN 

 
Nuclear Safety, in implementing research on existing as well as on new fuel cycles, and on 
reactor safety of both Western and Russian reactor types, and to a greater extent, research 
on new fuel cycles as well as on new reactor design. In addition the JRC will contribute and 
co-ordinate  the  European  contribution  to  the  Generation  IV  International  Forum  R&D 
initiative, in which the best research organisations in the world are involved. The JRC shall 
be  the  integrator  of  research  in  this  area  and  ensure  both  in  quality  and  size  the 
significance  of  the  European  contribution  to  GIF.  The  JRC’s  contribution  includes 
primarily  safety  and  safeguard  aspects  of  innovative  fuel  cycles,  in  particular 
characterisation,  test  and  analysis  of  new  fuels,  the  development  of  safety  and  quality 
goals, safety requirements and advanced evaluation methods for systems; 

Nuclear  Security,  in  supporting  the  accomplishment  of  Community  commitments,  in 
particular the control of the fuel  cycle  facilities emphasising the back-end of the fuel  cycle, 
the monitoring of the radioactivity in the environment, or the implementation of the additional 
protocol  and  the  integrated  safeguards,  and  the  prevention  of  the  diversion  of  nuclear  and 
radioactive material associated with illicit trafficking of such material. 

Providing  information  about  nuclear  energy  to  politicians  and  the  public:  scientists, 
politicians  and  citizens  are  becoming  increasingly  persuaded  of  the  existence  of  global 
warming, that it is caused by fossil fuel carbon emissions, and that nuclear power which 
has zero carbon dioxide emissions, is an essential component of the energy mix needed to 
meet the world’s energy needs. A multiannual campaign should therefore be launched to 
inform politicians and the general public about nuclear energy in order both to promote 
a fact-based debate and to facilitate informed decision making. 

Furthermore,  and  bearing  in  mind  that  comparisons  with  other  energy  sources  are 
essential in order to grasp the implications of the use of nuclear power, any information 
campaigns which are promoted or encouraged will also mention and explain the efforts 
being made by the EU at other levels to promote other energy sources, with particular 
regard to renewable sources of energy. 

EN 

86 

   EN 

 
ANNEX II 

FUNDING SCHEMES 

Subject  to  the  rules  for  participation  established  for  the  implementation  of  the  seventh 
Framework  Programme,  the  EU  Community  will  support  research  and  technological 
development activities, including demonstration activities in the specific programmes through 
a range of funding schemes. These schemes will be used, either alone or in combination, to 
fund different categories of actions implemented throughout the Framework Programme. 

1. 

FUNDING SCHEMES IN FUSION ENERGY 

In  the  field  of  fusion  energy  research,  the  particular  nature  of  the  activities  in  the  area 
necessitates the implementation of specific arrangements. Financial support will be given to 
activities carried out on the basis of procedures set out in: 

1.1. 

1.2. 

1.3. 

1.4. 

1.5. 

1.6. 

The Contracts of Association, between the Commission and Member States or fully 
Associated Third States or  entities within Member States or fully Associated Third 
States which provide for the execution of part of the EU Community fusion energy 
research programme according to Article 10 of the Treaty; 

The  European  Fusion  Development  Agreement  (EFDA),  a  multilateral  agreement 
concluded  between  the  Commission  and  organisations  in,  or  acting  for,  Member 
States and Associated States providing inter alia the framework for further research 
on  fusion  technology  in  associated  organisations  and  in  industry,  use  of  the  JET 
facilities and the European contribution to international cooperation; 

The European Joint Undertaking for ITER, based on the provisions of Article 45-51, 
Chapter 5, Title II of the Treaty;  

International agreements between Euratom and third countries covering activities in 
the  field  of  fusion  energy  research  and  development,  in  particular  the  ITER 
Agreement; 

Any other multilateral agreement concluded between the Community and associated 
organisations, in particular the Agreement on Staff Mobility; 

Cost-sharing actions to promote and contribute to fusion energy research with bodies 
in  the  Member  States  or  the  States  associated  with  the  Euratom  framework 
programme in which there is no Contract of Association.  

In  addition  to  the  above  activities,  actions  to  promote  and  develop  human  resources, 
fellowships,  integrated  infrastructures  initiatives  as  well  as  specific  support  actions  may  be 
undertaken in particular to coordinate fusion energy research, to undertake studies in support 
of  these  activities,  to  support  publications,  information  exchange;  and  training  in  order  to 
promote technology transfer. 

EN 

87 

   EN 

 
2. 

FUNDING SCHEMES IN OTHER FIELDS 

The activities in other fields than fusion energy by the Euratom Framework Programme will 
be funded through a range of funding schemes. These schemes will be used, either alone or in 
combination, to fund different categories of actions implemented throughout this Framework 
Programme.  

The  decisions  for  specific  programmes,  work  programmes  and  calls  for  proposals  will 
mention, as and when appropriate:  

•  The type(s) of scheme(s) used to fund different categories of actions; 

•  The  categories  of  participants  (such  as  research  organisations,  universities, 

industry, public authorities) which can benefit from it; 

•  The 

types  of  activities  (research,  development,  demonstration, 

training, 
dissemination,  transfer  of  knowledge  and  other  related  activities)  which  can  be 
funded through each of them. 

Where different funding schemes can be used, the work programmes may specify the funding 
scheme to be used for the topic on which proposals are invited. 

The funding schemes are the following: 

a) 

To  support  actions  which  are  primarily  implemented  on  the  basis  of  calls  for 
proposals: 

1. 

Collaborative projects 

Support to research projects carried out by consortia with participants from different 
countries,  aiming  at  developing  new  knowledge,  new  technology,  products  or 
common resources for research. The size, scope and internal organisation of projects 
can vary from field to field and from topic to topic. Projects can range from small or 
medium-scale focused research actions to larger integrating projects which mobilise 
a significant volume of resources for achieving a defined objective.  

2.  Networks of Excellence 

Support  to  joint  research  programmes  implemented  by  a  number  of  research 
organisations  integrating  their  activities  in  a  given  field,  carried  out  by  research 
teams  in  the  framework  of  longer  term  co-operation.  The  implementation  of  these 
joint  programmes  will  require  a  formal  commitment  from  the  organisations 
integrating part of their resources and their activities.  

3. 

Coordination and support actions 

Support  to  activities  aimed  at  coordinating  or  supporting  research  (networking, 
exchanges,  studies,  conferences,  etc).  These  actions  may  also  be  implemented  by 
means other than calls for proposals.  

EN 

88 

   EN 

 
4.  Actions to promote and develop human resources and mobility  

Support for training and career development of researchers.  

b) 

to support actions implemented on the basis of decisions by the Council, based on a 
proposal  from  the  Commission,  the  Community  will  provide  financial  support  to 
multi-financed large-scale initiatives:  

–  A  financial  contribution  from  the  Community  to  the  implementation  of  Joint 
Undertakings carried out on the basis of the procedures and provisions set out in 
articles 45 -51, Chapter 5 of Title II of the Euratom Treaty. 

–  A  financial  contribution  from  the  Community  to  the  development  of  new 

infrastructures of European interest. 

The Community will implement the funding schemes in compliance with the provisions of the 
regulation  to  be  adopted  for  in  the  rules  for  participation  of  undertakings,  research  centres 
and  universities,  the  relevant  State  aid  instruments,  in  particular  the  Community  framework 
for  state  aid  to  research  and  development,  as  well  as  international  rules  in  this  area.  In 
compliance  with  this  international  framework,  it  will  be  necessary  to  be  able  to  adjust  the 
scale and form of financial participation on a case-by-case basis, in particular if funding from 
other public sector sources is available, including other sources of Community financing such 
as the European Investment Bank (EIB).  

In the case of participants to an indirect action established in a region lagging in development 
(convergence  regions  and  outermost  regions61)  complementary  funding  from  the  Structural 
Funds will be mobilised wherever possible and appropriate.  

3. 

DIRECT ACTIONS - JOINT RESEARCH CENTRE 

The  Community  will  undertake  activities  implemented  by  the  Joint  Research  Centre,  which 
are referred to as direct actions. 

61 

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. 

EN 

89 

   EN 

 
                                                 
LEGISLATIVE FINANCIAL STATEMENT 

NAME OF THE PROPOSAL : 

Proposal for a Council Decision concerning the 7th Framework Programme of the European 
Atomic  Energy  Community  (Euratom)  for  nuclear  research  and  training  activities  (2007  to 
2011) – Building the Europe of Knowledge 

1. 

ABM / ABB FRAMEWORK 

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

2. 

BUDGET LINES 

2.1. 

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

08 19 01 Euratom - Fusion energy (RTD); 08 19 02 Euratom - Joint Undertaking ITER; 08 20 
01 Euratom - Nuclear Fission and radiation protection; 10 03 01 Nuclear action of the Joint 
Research Centre (JRC) 

2.2. 

Duration of the action and of the financial impact: 

2007-2011  

2.3. 

Budgetary characteristics : 

Budget 
line 

and 

08 
10 

XX.01 

XX.01.04 

XX.01.05 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

Non-
comp 

Non-
comp 

Non-
comp  

Non-
comp  

Diff62/ 

Non-
diff63 

Non-
diff 

Non-
diff 

YES 

NO 

YES 

No [1a] 

NO 

NO 

NO 

No [ 1a…] 

YES 

NO 

YES 

No [ 1a…] 

YES 

NO 

YES 

No [ 1a…] 

62 
63 

Differentiated appropriations. 
Non-differentiated appropriations hereafter referred to as NDA. 

EN 

90 

   EN 

 
 
                                                 
3. 

SUMMARY OF RESOURCES 

3.1. 

Financial Resources 

3.1.1. 

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

Expenditure type 

Section 
no. 

Operational expenditure64 

Commitment 
Appropriations (CA) 

8.1 

Payment 
Appropriations (PA) 

a 

b 

EUR million (to 3 decimal places) current prices 

2007 

2008 

2009 

2010 

2011 

Total 

271,699 

335,654 

437,318 

447,191 

456,503 

1.948,365 

82,408 

204,629 

344,047 

417,593 

899,688 

1.948,365 

Administrative expenditure within reference amount65 

Technical 
administrative 
assistance (NDA) 

& 

Commitment 
Appropriations 

Payment 
Appropriations 

Human resources and 
associated 
expenditure (NDA) 

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

8.2.4 

c 

132,493 

160,332 

165,036 

169,886 

174,888 

802,635 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT  

404,192 

495,986 

602,354 

617,077 

631,391 

2.751,000 

214,901 

364,961 

509,083 

587,479 

1.074,576 

2.751,000 

a+c 

b+c 

8.2.5d 

8.2.6 e 

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 

404,192 

495,986 

602,354 

617,077 

631,391 

2.751,000 

214,901 

364,961 

509,083 

587,479 

1.074,576 

2.751,000 

64 
65 

Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within article xx 01 05 of Title xx. 

EN 

91 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Co-financing details 

Co-financing body 

Year 
n 

n + 
1 

n + 
2 

n + 
3 

n + 
4 

n + 5 and 
later 

Total

EUR million (to 3 decimal places) 

TOTAL  CA 
financing 

including  co-

a+c+d+e+f 

f 

3.1.2.  Compatibility with Financial Programming 

⌧  Proposal  is  compatible  with  next  financial  programming  (Interinstitutional 

agreement on the financial framework 2007-2013). 

(cid:133) 

(cid:133) 

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

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional 
Agreement66 (i.e. flexibility instrument or revision of the financial perspective). 

3.1.3.  Financial impact on Revenue 

(cid:133) 

Proposal has no financial implications on revenue 

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

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

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

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

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

3.2. 

Human Resources FTE (including officials, temporary and external staff) – see 
detail under point 8.2.1. 

Annual 

2007 

2008 

2009 

2010 

2011 

requirements 

Total number of 
human resources 

1.223 

1.223 

1.223 

1.223 

1.223 

66 

See points 19 and 24 of the Interinstitutional agreement. 

EN 

92 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
It will be necessary to consider year by year the consequences for human resources 
of  the  phasing  out  of  the  6th  Framework  Programme  and  the  phasing  in  of  the  7th 
Framework Programme.  

4. 

CHARACTERISTICS AND OBJECTIVES 

4.1. 

Need to be met in the short or long term 

The 7th Framework Programme will be an integral part of EU efforts towards the European 
knowledge  economy  and  society,  together  with  other  measures  on  education,  training  and 
innovation. FP7 will cover the main components of European research: cooperative research, 
basic research, human resources and research capacities. In addition, major efforts have been 
made to simplify all Framework Programme procedures to make them more user-friendly. 

4.2. 

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

Intervention at EU level is justified in the field of R&D policy. Some research activities are of 
such a scale that no single Member State can provide the necessary resources and expertise. 
EU  projects  can  allow  research  to  achieve  the  required  ‘critical  mass’,  while  lowering 
commercial  risk  and  levering  private  investment.  EU-scale  actions  also  play  a  key  role  in 
transferring  skills  and  knowledge  across  frontiers,  helping  to  foster  excellence  in  R&D 
through  enhancing  capability,  quality  and  EU-wide  competition,  and  improving  human 
capacity through training, mobility and career development. EU support can also contribute to 
a better integration of European R&D; encouraging the coordination of national policies, the 
EU-wide dissemination of results, and funding research for pan-European policy challenges.  

An in-depth analysis is provided in the ‘Impact Assessment and Ex Ante Evaluation Report 
for the Commission proposals for the Council and European Parliament decisions on the 7th 
Framework Programme (EC and Euratom)’ - SEC(2005) 430. 

4.3. 

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

‘Reinvigorating’ the Lisbon agenda is a key goal of the EU and the European Commission. 
This  implies,  as  a  first  priority,  the  full  realisation  of  the  knowledge  society.  The  strategic 
objectives of the College, COM(2005) 12, have highlighted the importance of R&D as one of 
the key drivers of prosperity and growth. In particular this will mean the Union committing to 
invest 3% of GDP in research, with one third coming from the public sector.  

The  objectives  set  out  in  Annex  I  aim  to  support  the  Lisbon  agenda  through  Community 
funded research activities.  

EN 

93 

   EN 

 
4.4.  Method of Implementation (indicative) 

Show below the method(s)67 chosen for the implementation of the action. 

⌧  Centralised Management 

⌧  Directly by the Commission 

⌧ 

Indirectly by delegation to: 

(cid:133) 

Executive Agencies 

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

Financial Regulation 

(cid:133)  National public-sector bodies/bodies with public-service mission  

(cid:133) 

Shared or decentralised management 

(cid:133)  With Member states 

(cid:133)  With Third countries 

(cid:133) 

Joint management with international organisations (please specify) 

Relevant comments: 

The European Joint Undertaking, based on the provisions of Articles 45-51, Title II 
of  Chapter  V  of  the  Euratom  Treaty,  will  be  used  for  the  creation  of  ITER 
(International Thermonuclear Experimental Reactor). 

The executive agency model may be used for the provision of central implementation 
support  services  for  the  indirect  actions  Specific  Programme,  in  line  with  the  EC 
Specific Programmes. 

5. 

MONITORING AND EVALUATION 

5.1.  Monitoring system 

Monitoring  of  implementation  management  would  be  ensured  by  operational  senior 
management within the Commission on a continual basis with annual checks using a common 
set of management performance indicators. The annual results of this exercise will be used to 
inform senior management and an input to the multi-annual assessment exercise. 

The requirements and systems for data collection regarding proposal evaluation and contract 
preparation are currently under review given the needs of providing a robust and simplified 
data set while imposing minimum burden on research programme participants.  

67 

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

EN 

94 

   EN 

 
                                                 
5.2. 

Evaluation 

5.2.1.  Ex-ante evaluation 

In  line  with  the  Commission  requirements,  an  ex  ante  evaluation  of  the  FP7  legislative 
proposals  has  been  undertaken.  This  evaluation  is  incorporated  in  the  overall  Impact 
Assessment report of the European Commission’s proposals for the European Parliament and 
Council decisions on the 7th Framework Programme (EC and Euratom).  

5.2.2.  Measures taken following an intermediate/ex-post  evaluation  (lessons learned  from 

similar experiences in the past) 

A  Five  Year  Assessment  of  the  implementation  and  achievements  of  Community  research 
over  the  five  preceding  years  was  carried  out  between  June-December  2004  by  a  panel  of 
independent high level experts.  

The  results  of  the  Five  Year  Assessment  were  made  available  on  10  February  2005  and 
communicated to the European Parliament, the Council, the European Economic and Social 
Committee and the Committee of the Regions. 

A synthesis of the key findings of the Five Year Assessment report and how these have been 
integrated  into  the  proposal  was  given  in  the  original  legislative  proposals  for  the  7th 
Framework Programme. 

5.2.3.  Terms and frequency of future evaluation 

Not later than 2010 the Commission shall carry out, with the assistance of external experts, an 
interim evaluation of FP7 and its specific programmes on the quality of the research activities 
underway and progress towards the objectives set. 

Two  years  following  the  completion  of  this  framework  programme,  the  Commission  shall 
its  rationale, 
have  carried  out  an  external  evaluation  by 
implementation and achievements. This would be supported by a coherent set of independent 
studies, the interim evaluation and other evaluation activities carried out over the life-time of 
the Framework Programme, as listed above. The report of this exercise would be presented to 
all  interested  stakeholders,  including  the  Parliament  and  Council.  Furthermore,  this  report 
could feed into future ex ante evaluation and impact assessments by the Commission. 

independent  experts  of 

An independent ex post programme evaluation would be undertaken 2 years after the end of 
FP6. 

6. 

ANTI-FRAUD MEASURES  

Measures  will  be  taken  to  ensure  that  the  same  anti-fraud  measures  taken  in  FP6  will  be 
brought  forward  and  reinforced  in  FP7.  These  include measures such as financial collective 
responsibility,  sanctions  against  overcharging,  measures  to  ensure  the  effective  recovery  of 
amounts due to the Commission, and administrative and legal measures taken to ensure full 
compliance with the Financial Regulation. 

EN 

95 

   EN 

 
7. 

DETAILS OF RESOURCES 

7.1. 

Objectives of the proposal in terms of their financial cost 

Commitment appropriations in EUR million (to 3 decimal places) Current prices68 

Year 2007 

Year 2008 

Year 2009 

Year 2010 

Year 2011 

Year 2012 
(indicative) 

Year 2013 
(indicative) 

TOTAL 

Total 
cost 

No. 
outp
uts 

No. 
outpu
ts 

Total 
cost 

No. 
outpu
ts 

Total 
cost 

No. 
outpu
ts 

Total 
cost 

No. 
outpu
ts 

Total 
cost 

No. 
outpu
ts 

Total 
cost 

No. 
outpu
ts 

Total 
cost 

No. 
outpu
ts 

Total cost 

307,750 

396,170 

499,044 

510,151 

520,885 

531,933 

545,121 

3.311,054 

96,442 

99,816 

103,310 

106,926 

110,506 

114,543 

118,673 

750,216 

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

OPERATIONAL 
OBJECTIVE No.1 69 

(Fission and Fusion) 

EURATOM 
INDIRECT 
ACTIONS 

OPERATIONAL 
OBJECTIVE No.269 

EURATOM 
DIRECT 
ACTIONS-JRC 

TOTAL COST 

404,192 

495,986 

602,354 

617,077 

631,391 

646,476 

663,794 

4.061,270 

68 
69 

The Euratom programme covers the period 2007-2011. The figures for 2012 and 2013 are only for information. 
As described under Section 5.3. 

EN 

96 

 
 
 
  
  
  
  
  
  
  
 
  
  
  
  
  
  
  
 
  
  
  
  
  
  
  
 
                                                 
7.2. 

Administrative Expenditure 

7.2.1.  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 
staff70 
(XX 01 
01) 

Staff  financed69  by  art. 
XX 01 02 

Other  staff71 
financed  by 
art. XX 01 05 
and  08  01  04 
40 

A*/AD 

B*, 
C*/AST 

External staff 

TOTAL 

491 

491 

491 

491 

491 

475 

257 

475 

257 

475 

257 

475 

257 

475 

257 

1.223 

1.223 

1.223 

1.223 

1.223 

The EURATOM programme covers the period 2007-2011. The figures for 2012 are only 
for information 

7.2.2.  Description of tasks deriving from the action 

Implementation of the Framework Programme 

7.2.3. 

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 2007 

⌧  Posts to be requested in the next APS/PDB procedure  

70 
71 

Cost of which is NOT covered by the reference amount. 
Cost of which is included within the reference amount. Moreover during the period 2007-2010 the 
added staff is related to ITER. 

EN 

97 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
⌧  Posts to be redeployed using existing resources within the managing service 

(internal redeployment) 

(cid:133) 

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

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

Expenditure on administrative management) 

EUR million (to 3 decimal places) Current Prices 

Budget line 

(number and heading) 

Year 

2007 

Year 
2008 

Year  

2009 

Year 
2010 

Year 
2011 

TOTAL 

Statutory staff 

xx.01 05 01 and 08 01 04 40 

External staff 

xx.01 05 02 and 08 01 04 40 

Other administrative 
expenses 

xx.01 05 03 and 08 01 04 40 

Total 
administrative assistance 

Technical 

and 

77,558 

96,903 

99,593 

102,364 

105,217 

481,635 

13,680 

14,048 

14,428 

14,818 

15,219 

72,193 

41,255 

49,381 

51,015 

52,704 

54,452 

248,807 

132,493 

160,332 

165,036 

169,886 

174,888 

802,635 

The EURATOM programme covers the period 2007-2011. 

7.2.5.  Financial  cost  of  human  resources  and  associated  costs  not  included  in  the 

reference amount 

Type of human resources 

Year 
2007 

Year 
2008 

Year 
2009 

Year 2010 

Year 
2011 

TOTAL 

EUR million (to 3 decimal places) current prices 

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) 

Calculation– Administrative expenditures 

EN 

98 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Have been calculated taking into account the following hypothesis for indirect actions: 

- for the part related to budget lines XX.01.04.40 : number of staff and related expenditures 
equivalent to 60 permanent posts, 85 temporary agents and 30 contractual agents in 2007 
for ITER. 

- the following assumptions in 2004 prices (with 2% inflation) : 

. cost of official permanent staff and temporary agent : 108 000 €/year 

. cost of external staff : 48 000 €/year 

. cost of other administrative expenses : 35 % of staff cost 

-figures for 2007 correspond to PDB 2007. 

Calculation– Staff financed under art. XX 01 02 

Reference should be made to Point 8.2.1, if applicable 

Year 
2007 

Year 
2008 

Year 
2009 

Year 
2010 

Year 
2011 

TOTAL 

XX 01 02 11 01 – Missions 

XX 01 02 11 02 – Meetings & Conferences 

XX 01 02 11 03 – Committees72 

XX 01 02 11 04 – Studies & consultations 

XX 01 02 11 05 - Information systems 

2 Total Other Management Expenditure 

(XX 01 02 11) 

3 

Other 

expenditure 

administrative 
including reference to budget line) 

nature 

of 

an 
(specify 

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

72 

Specify the type of committee and the group to which it belongs. 

EN 

99 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
The EURATOM programme covers the period 2007-2011.  

Calculation - Other administrative expenditure not included in reference amount 

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. 

EN 

100 

   EN