Corrigendum to Council Decision 2006/974/EC of 19 December 2006 on the specific programme: Capacities implementing the Seventh Framework Programme of the European Community for research, technological development and demonstration activities (2007 to 2013) ( OJ L 400, 30.12.2006 )
Date: 2007-02-22
Institutions: Council of the European Union
Subjects: EU programme, research and development, research policy, research programme, scientific progress, scientific research, technological change

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Corrigendum to Council Decision 2006/974/EC of 19 December 2006 on the specific programme: ‘Capacities’
implementing the Seventh Framework Programme of the European Community for research, technological
development and demonstration activities (2007 to 2013)

(Official Journal of the European Union L 400 of 30 December 2006)

Decision 2006/974/EC should read as follows:

COUNCIL DECISION

of 19 December 2006

on the specific programme: ‘Capacities’ implementing the Seventh Framework Programme of the
European Community for research, technological development and demonstration activities (2007 to
2013)

(Text with EEA relevance)

(2006/974/EC)

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Commu-
nity, and in particular Article 166(4) thereof,

Having regard to the proposal from the Commission,

Having regard to the opinion of the European Parliament (1),

Having regard to the opinion of the European Economic and
Social Committee (2),

Whereas:

(1)

(2)

In accordance with Article 166(3) of the Treaty, Decision
No 1982/2006/EC of the European Parliament and of the
Council of 18 December 2006 concerning the Seventh
Framework Programme of the European Community for
research,
technological development and demonstration
activities (2007-2013) (3) (hereinafter referred to as ‘the
Framework Programme’)
is to be implemented through
specific programmes that define detailed rules for their
implementation, fix their duration and provide for the
means deemed necessary.

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

(3)

The rules for the participation of undertakings, research
the dissemination of
centres and universities and for
research results, for the Framework Programme (hereinafter

(1) Opinion of 30 November 2006 (not yet published in the Official

Journal).

(2) OJ C 185, 8.8.2006, p. 10.
(3) OJ L 412, 30.12.2006, p. 1.

(4)

(5)

(6)

referred to as ‘the rules for participation and dissemination’)
should apply to this specific programme.

the
The Framework Programme should complement
activities carried out in the Member States as well as other
Community actions that are necessary for the overall
strategic effort
the Lisbon
objectives, alongside in particular those on structural funds,
training, culture, competitiveness
agriculture, education,
and innovation,
industry, health, consumer protection,
employment, energy, transport and environment.

the implementation of

for

Innovation and SME-related activities supported under this
Framework Programme should be complementary to those
undertaken under the Framework Programme for Competi-
tiveness and Innovation which will contribute to closing the
gap between research and innovation, and promote all
forms of innovation.

Implementation of the Framework Programme may give
rise to supplementary programmes involving the participa-
tion 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.

(7)

This specific programme should provide a contribution to
the European Investment Bank (EIB) for the constitution of
a ‘Risk-sharing finance facility’ in order to improve access to
EIB loans.

(8) As provided for under Article 170 of

the
Community has concluded a number of
international
agreements in the field of research and efforts should be
made to strengthen international research cooperation with

the Treaty,

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a view to further integrating the Community into the
world-wide research community. Therefore, this specific
programme should be open to the participation of
countries having concluded agreements to this effect and
should be also open on the project level, and on the basis of
mutual benefit, to the participation of entities from third
countries and of international organisations for scientific
cooperation.

implementing powers

conferred on the
exercise of
Commission (6). On the other hand research involving the
use of human embryos and human embryonic stem cells
raises specific ethical issues, as described in Article 4 of this
Decision. Therefore, measures for the financing of such
projects should be adopted by the regulatory procedure
provided for in Article 5 of Decision 1999/468/EC.

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

(10) The implementation of the Framework Programme should

contribute towards promoting sustainable development.

(11) Sound financial management of

the Framework Pro-
gramme and its implementation should be ensured in the
most effective and user-friendly manner possible, while
the
ensuring legal certainty and the accessibility of
programme for all participants, in compliance with Council
Regulation (EC, Euratom) No 1605/2002 of 25 June 2002
on the Financial Regulation applicable to the general budget
of the European Communities (1) and Commission Regula-
tion (EC, Euratom) 2342/2002 (2)
laying down detailed
rules for the implementation of that Financial Regulation
and any future amendments.

(12) Appropriate measures — proportionate to the European
Communities' financial
interests — should be taken to
monitor both the effectiveness of the financial support
granted and the effectiveness of the utilisation of these
funds in order to prevent irregularities and fraud and the
necessary steps should be taken to recover funds lost,
wrongly paid or
incorrectly used in accordance with
Council Regulation (EC, Euratom) No 2988/95 of
18 December 1995 on the protection of the European
interests (3), Council Regulation
Communities'
(Euratom, EC) No 2185/96 of 11 November 1996
concerning on-the-spot checks and inspections carried
out by the Commission in order to protect the European
interests against fraud and other
Communities' financial
irregularities (4) and Regulation (EC) No 1073/1999 of the
European Parliament and of the Council of 25 May 1999
concerning investigations conducted by the European Anti-
Fraud Office (OLAF) (5).

financial

(14) The ‘Capacities’ specific programme should have its own
the European
line in the General Budget of

budget
Communities.

(15)

this programme adequate
In the implementation of
attention needs to be paid to gender mainstreaming, as
well as to, inter alia, the working conditions, transparency of
recruitment processes, and career development as regards
the researchers recruited on projects and programmes
funded under the actions of this programme, for which the
Commission Recommendation of 11 March 2005 on the
European Charter for Researchers and on a Code of
Conduct
the Recruitment of Researchers offers a
reference framework, while respecting its voluntary nature,

for

HAS ADOPTED THIS DECISION:

Article 1

The specific programme ‘Capacities’ for Community activities in
the area of research and technological development, including
demonstration activities, hereinafter the ‘specific programme’ is
hereby adopted for
the period from 1 January 2007 to
31 December 2013.

Article 2

specific programme

The
for
shall
‘Capacities’, supporting key aspects of European research and
innovation capacities as follows:

the activities

support

(a)

research infrastructures;

(b)

research for
enterprises (SMEs);

the benefit of

small and medium-sized

(c)

regions of knowledge;

(13) Since the measures necessary for the implementation of
this Decision are essentially management measures, they
should therefore be adopted by the management procedure
provided for in Article 4 of Council Decision 1999/468/EC
laying down the procedures for the
of 28 June 1999,

(d)

research potential;

(e)

science in society;

(1) OJ L 248, 16.9.2002, p. 1.
(2) OJ L 357, 31.12.2002, p. 1. Regulation as last amended by
Regulation (EC, Euratom) No 1248/2006 (OJ L 227, 19.8.2006, p.
3).

(3) OJ L 312, 23.12.1995, p. 1.
(4) OJ L 292, 15.11.1996, p. 2.
(5) OJ L 136, 31.5.1999, p. 1.

(f)

support for the coherent development of research policies;

(g)

activities of international cooperation.

(6) OJ L 184, 17.7.1999, p. 23. Decision as amended by Decision 2006/

512/EC (OJ L 200, 22.7.2006, p. 11).

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

4. The fields of research set out above shall be reviewed for the
second phase of this programme (2010 to 2013) in the light of
scientific advances.

Article 5

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

1. The specific programme shall be implemented by means of
the funding schemes established in Annex III to the Framework
Programme.

Article 3

In accordance with Annex II of the Framework Programme, the
amount deemed necessary for the execution of the specific
programme shall be EUR 4 097 million, of which less than 6 %
shall be for the Commission's administrative expenditure. An
indicative breakdown of this amount is given in Annex II.

Article 4

research activities carried out under

1. All
the specific
programme shall be carried out in compliance with fundamental
ethical principles.

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

— research activity aiming at human cloning for reproductive

purposes,

— research activity intended to modify the genetic heritage of
human beings which could make such changes heritable (1),

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

3. 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 for research on human embryonic
stem cells shall 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 shall be subject to
strict
in accordance with the legal
framework of the Member State(s) involved.

licensing and control

2. Annex III
the
arrangements for a grant to the European Investment Bank for
the establishment of a risk-sharing finance facility.

specific programme sets out

to this

3. Annex IV to this specific programme sets out a possible
implementation of national research
initiative for the joint
programmes that could be the subject of a separate decision on
the basis of Article 169 of the Treaty.

4. The rules for participation and dissemination shall apply to
this specific programme.

Article 6

1. The Commission shall draw up a work programme for the
implementation of the specific programme, setting out in greater
detail the objectives and scientific and technological priorities set
out in Annex I, the funding scheme to be used for the topic
which proposals are invited, and the timetable for implementa-
tion.

2. The work programme shall take account of relevant research
activities carried out by the Member States, associated countries
and European and international organisations, and the achieve-
ment of European added value as well as the impact on industrial
competitiveness and the relevance for other Community policies.
It shall be updated where appropriate.

Proposals for indirect actions under the funding schemes
3.
shall be evaluated and projects selected considering the criteria
set out in Article 15(1a) of the rules for participation and
dissemination.

4. The work programme may identify:

(a)

organisations that receive subscriptions in the form of a
membership fee;

(b)

support actions for the activities of specific legal entities.

Article 7

(1) Research relating to cancer treatment of the gonads may be financed.

1. The Commission shall be responsible for the implementa-
tion of the specific programme.

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

The period laid down for in Article 5(6) of Decision 1999/468/
EC shall be set at two months.

(a)

(b)

(c)

(d)

the work programme referred to in Article 6 including the
funding schemes to be used, the content of the calls for
proposals and the evaluation and selection criteria to be
applied;

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

the approval of the funding of activities referred to in points
(a) to (g) of Article 2, where the estimated amount of the
Community contribution under this programme is equal to,
or more than, EUR 0,6 million;

the drawing up of the terms of reference for the evaluations
provided for in Articles 7(2) and 7(3) of the Framework
Programme.

3. The regulatory procedure laid down in Article 8(3) shall
apply for the approval of the funding of activities involving the
use of human embryos and human embryonic stem cells.

Article 8

4. The Commission shall regularly inform the Committee of
the specific
the overall progress of
programme, and shall provide it with timely information on all
RTD actions proposed or funded under this programme as
specified in Annex V.

the implementation of

5. The Committee shall adopt its rules of procedure.

Article 9

The Commission shall arrange for the independent monitoring,
assessment and review provided for
the
Framework Programme to be conducted concerning the activities
carried out in the fields covered by the specific programme.

in Article 7 of

Article 10

This Decision shall enter into force on the third day following its
publication in the Official Journal of the European Union.

1. The Commission shall be assisted by a Committee

Article 11

2. Where reference is made to this paragraph, Articles 4 and 7
of Decision 1999/468/EC shall apply.

The period laid down for in Article 4(3) of Decision 1999/468/
EC shall be set at two months.

3. Where reference is made to this paragraph, Articles 5 and 7
of Decision 1999/468/EC shall apply.

This Decision is addressed to the Member States.

Done at Brussels, 19 December 2006.

For the Council

The President

J. KORKEAOJA

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

ANNEX I

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

INTRODUCTION

— 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,

— supporting the coherent development of research policies, and

— actions and measures in support of international cooperation.

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

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

Synergies and complementarities will be sought with other community policies and programmes such as Community's
regional and cohesion policy, the Structural Funds, the Competitiveness and Innovation programme and relevant Education
and Training Programmes (1).

Ethical aspects

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

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

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

(1) With a view to facilitating the implementation of the programme, for each meeting of the programme committee as defined in the
agenda, the Commission will reimburse, in accordance with its established guidelines, the expenses of one representative per Member
State, as well as one expert/adviser per Member State for those agenda items where a Member State requires specific expertise.

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Where appropriate, those carrying out research projects must seek the approval of the relevant national or local ethics
committees prior to the start of the RTD activities. An ethical review will also be implemented systematically by the
Commission for proposals dealing with ethically sensitive issues or where ethical aspects have not been adequately
addressed. In specific cases an ethical review may take place during the implementation of a project.

No funding will be granted for research activities that are prohibited in all the Member States.

The Protocol on protection and welfare of animals annexed to the Treaty requires the Community to pay full regard to the
welfare requirements of animals in formulating and implementing Community policies including research. Council Directive
86/609/EEC of 24 November 1986 on the approximation of laws, regulations and administrative provisions of the Member
States regarding the protection of animals used for experimental and other scientific purposes (1) requires that all
experiments be designed to avoid distress and unnecessary pain and suffering to the experimental animals; use the
minimum number of animals; involve animals with the lowest degree of neurophysiological sensitivity; and cause the least
pain, suffering, distress or lasting harm. Altering the genetic heritage of animals and cloning of animals may be considered
only if the aims are ethically justified and the conditions are such that the animals' welfare is guaranteed and the principles
of biodiversity are respected.

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

Research on ethics related to scientific and technological developments will be carried out in the ‘Science in society’ part in
this programme.

1.

RESEARCH INFRASTRUCTURES

Objective

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

Approach

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

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

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

— major equipment or set of instruments used for research purposes,

— knowledge-based resources such as collections, archives, structured information or systems related to data

management, used in scientific research,

(1) OJ L 358, 18.12.1986, p. 1. Directive as last amended by Directive 2003/65/EC of the European Parliament and of the Council

(OJ L 230, 16.9.2003, p. 32).

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— enabling Information and Communication Technology-based infrastructures such as grid, computing, software and

communications,

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

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

Regarding thematic research infrastructures in the ‘Cooperation’ specific programme, overall coordination will be ensured by
this programme.

Activities

The activities will cover the following lines of action:

— optimising the utilisation of existing research infrastructures and improving their performance,

— foster the development of new research infrastructures (or major upgrades to existing ones) of pan-European interest,

building primarily on the work of ESFRI (European Strategy Forum on Research Infrastructures),

— support measures including support to emerging needs.

1.1. Existing research infrastructures

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

facilities, resources and services in all

1.1.1. I n t e g r a t i n g A c t i v i t i e s

World-class research infrastructures need huge and long-term investments in resources (human and financial). They
should be used and exploited by an as large as possible community of scientist and customer industries on a European
scale. In addition, the optimisation and reinforcement of the Research Infrastructures capacities and performance at
Community level need to be continuously promoted and improved to respond to emerging and growing scientific
needs. This can be better achieved through the stimulation of their use and development, including upgrades, in a
coordinated way.

The Community should contribute to this objective through the promotion of Integrating Activities. They will ensure
that European researchers, including researchers from industry, including SMEs and peripheral and outermost regions,
may have access to the best research infrastructures to conduct their research, by supporting the integrated provision
of infrastructure related services to the research community at European level and at international level where
appropriate. Integrating activities should also aim at structuring better, on a European scale, the way research
infrastructures operate, and at fostering their joint development in terms of capacity and performance.

Integrating Activities for existing research infrastructures will be implemented through:

— ‘bottom-up’ calls to catalyse the mutual coordination and the pooling of resources among infrastructures
operators with the aim of fostering a culture of cooperation between them. Such activities should also aim at
structuring better, on a European scale, the way research infrastructures operate and the way they can be
accessed by potential users, at fostering their joint development in terms of capacity and performance and at
promoting their coherent and cross-disciplinary use,

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— ‘targeted calls’ when such focused actions will be clearly beneficial to support potentially important research
infrastructures in the long term, and speeding up their emergence at Community level. They will be
implemented in close cooperation with the activities taking place in the thematic areas to ensure that all the
actions undertaken at European level
in the Community framework respond to the needs for research
infrastructures in their respective area. Domains can already be identified (1) for better use and strengthening of
existing European infrastructures, fulfilling long-term strategic needs of academic, public and industrial research
information and
stakeholders and the society at
communication technologies,
for
sustainable development and in particular in the area of environment, and for social sciences and humanities.

large, such as for life sciences and its applications,

industrial research including metrology, support

the development of

1.1.2. I C T b a s e d e - I n f r a s t r u c t u r e s

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

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

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

1.2. New research infrastructures

This specific programme will help to promote the creation of new research infrastructures (including major upgrades
of existing ones) focusing mainly on preparatory phases and on ‘unique’ infrastructures with a crucial and pan-
European impact for the development of relevant scientific fields in Europe.

1.2.1. D e s i g n S t u d i e s f o r n e w r e s e a r c h i n f r a s t r u c t u r e s

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

1.2.2. S u p p o r t

t o c o n s t r u c t i o n o f N e w I n f r a s t r u c t u r e s

To promote the creation of new research infrastructures in accordance with the principle of ‘variable geometry’,
building primarily upon the work conducted by ESFRI on the development of a European roadmap for new research
infrastructures. The work programme will identify priority projects for possible Community support.

The activity related to the construction of new infrastructures will be implemented in a two-stage approach on the
basis of a list of criteria established in the Framework Programme.

(1) Also identified by ESFRI.

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— Stage 1: supporting the preparatory phase

This first stage will involve calls restricted to the priority projects identified by the work programme. The preparatory
phase would involve the preparation of the detailed construction plans, of the legal organisation, of the management
and multiannual planning of the forecasted research infrastructure and the final agreement between stakeholders.
During this preparatory phase the Commission will act as a ‘facilitator’,
in facilitating financial
engineering mechanisms for the construction phase.

in particular,

— Stage 2: supporting the construction phase

In the second stage, building on the achieved technical, legal, administrative and financial agreements, using notably
the complementarity between national and Community instruments (such as the Structural funds or the European
Investment bank) and taking into account, where appropriate, the potential for scientific excellence of the convergence
regions as well as the outermost regions, the construction plans would be implemented with the possible involvement
of private financial institutions. The Framework Programme financial support for the construction phase may be
provided to those priority projects for which there is a critical need for such support. In these cases, decisions will be
taken through a mechanism that will depend on the nature and the level of funding required (e.g. direct grant;
European Investment Bank loans, the access to which may be facilitated through the risk-sharing finance facility
(Annex III); Article 171 of the Treaty).

1.3. Support Measures, including support to emerging needs

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

These activities would be carried out mainly following periodic calls for proposals. They would be aimed at
stimulating, in particular, the coordination of national programmes through ERA-NET actions, at supporting analysis
of emerging needs, at supporting the work of ESFRI and eIRG, at the effective implementation of the programme (e.g.
supporting conferences, expert contracts, impact studies, etc.) as well as the international dimension of the activities
carried out under this specific programme. In the context of international cooperation, the activities carried out under
this specific part of the capacity programme will also allow to identify the needs of specific third countries and mutual
interests on which specific cooperation actions could be based and, on the basis of targeted calls, to develop cross-
links between key research infrastructures in third countries and those within the European Research Area.

2.

RESEARCH FOR THE BENEFIT OF SMEs

Objectives

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

Approach

SMEs are at the core of European industry. They should be a key component of the innovation system and in the chain of
transformation of knowledge into new products, processes and services. Faced with an increasing competition in the
internal market and globally, European SMEs need to increase their knowledge and research intensity, enhance the
exploitation of research, expand geographically their business activities and internationalise 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.

Specific actions will be implemented to support SMEs or SME associations in need of outsourcing research: mainly low-to
medium-technology SMEs with little or no research capability. Research-intensive SMEs may participate as providers of
research services or outsource research to complement their core research capability. These 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 research results, ensuring complementarity with the Competitiveness and

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Innovation Programme. The evaluation of the project proposals will take due account of the expected economic impact for
the SMEs. Financial means will be allocated through two schemes: Research for SMEs and Research for SME associations.

The first targets mainly low- to medium-technology SMEs with little or no research capability, but also research intensive
SMEs who need to outsource research to complement their core research capability. The second targets SME associations
which are normally best placed to know or identify the common technical problems of their members, to act on their
behalf, and to promote the effective dissemination and take-up of the results.

Coordination and support actions under ‘Research for the benefit of SMEs’ will include the coordination of national/regional
programmes targeting SMEs and supporting best practice, dissemination and exploitation of results, enhancing access of
SMEs to the Seventh Framework Programme and assessing the impact.

Actions could also build upon relevant national research programmes, complementing the research activities below (1).

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

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

Activities

The following two SME specific schemes will be implemented:

Research for SMEs

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

Research for SME associations

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

Common features of the schemes

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

associations.

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

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

(1) This could include possible joint implementation of programmes targeting research performing SMEs, building on Eureka.

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The clear focus will be to support research projects. In addition, support will be granted to national schemes providing
financial means to SMEs or SME associations to prepare proposals for actions under ‘Research for the benefit of SMEs’ with
the aim of encouraging the establishment of new national schemes or expansion of the existing ones.

3.

REGIONS OF KNOWLEDGE

Objectives

Strengthening the research potential of European regions, in particular by encouraging and supporting the development,
across Europe, of regional
‘research-driven clusters’ associating universities, research centres, enterprises and regional
authorities.

Approach

Regions are increasingly recognised as important players in the EU's research and development landscape. At the same time
evidence indicates that investment in R & D improves regional attractiveness while increasing competitiveness of local
businesses. R & D intensive clusters rang among the best drivers of such investment activity resulting in direct gains in local
competitive advantage with beneficial effects in terms of growth and jobs. The 2003 Pilot Action Regions of Knowledge (1)
confirmed the importance of such clusters and the interest to support and encourage their development.

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

Attention will be paid specifically to cooperation between adjacent regions in different Member States.

‘Regions of knowledge’ aims at supporting the definition and implementation of optimal policies and strategies for the
development of R & D driven clusters. In particular it will improve the relevance and effectiveness of regional research
agendas through mutual learning; promote and strengthen cooperation between clusters; and contribute to strengthening
the sustainable development of existing R & D driven clusters as well as foster seed-beds to create new ones, in particular in
emerging Regions of knowledge. Support will be provided in particular for demand-driven and problem-oriented projects
addressing specific technological areas or sectors (2).

This action will apply to all regions, including Convergence (3) ones.

Activities

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

— Analysis, development and implementation of research agendas of regional or cross-border clusters and cooperation
between them. These will include analysis as well as an implementation plan focusing on R & D capacity and
priorities. Projects will use foresight, benchmarking or other methods, demonstrating expected benefits, such as
strengthened links between clusters involved, optimised involvement in European research projects and higher
impacts on regional development. They could also prepare for interregional pilot actions. These activities aim in
particular at encouraging improved complementarity between Community regional funds and other Community and
national funds.

(1) A pilot action on ‘Regions of knowledge’ was introduced into the 2003 Community budget at the initiative of the European Parliament.
This was followed by another Call for proposals under the Sixth Community Framework Programme for RTD (2004) under the
‘Coherent development of policies’ programme.

(2) This does not exclude the combination of different technological areas where relevant.
(3) Convergence regions are those set out in Article 5 of Council Regulation (EC) No 1083/2006 of 11 July 2006 laying down general
provisions on the European Regional Development Fund, the European Social Fund and the Cohesion Fund and repealing Regulation
(EC) No 1260/1999 (JO L 210, 31.7.2006, p. 25, corrigendum OJ L 239, 1.9.2006, p. 248). This includes ‘convergence’ objective
regions, regions eligible for funding from the Cohesion fund, and outermost regions.

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

— Initiatives to improve integration of research actors and institutions in regional economies, through their interactions
at cluster level. These will include transnational activities to improve links between research stakeholders and the local
business communities as well as relevant activities between clusters. With the aim of demonstrating benefits of
integration, these activities could contribute to the identification of RTD complementarities.

Support will also be provided for activities to promote systematic mutual information exchange as well as interactions
between similar projects and where appropriate, with actions of other relevant Community programmes (e.g. analysis and
synthesis workshops, round-tables, publications), emphasising the involvement notably of candidate and Associated
Countries as well as Member States which joined the EU after 1 May 2004.

Objective

4.

RESEARCH POTENTIAL

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

Approach

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

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

Activities

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

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

— the recruitment by the selected centres, of existing or emerging excellence, of incoming experienced researchers,
including managers, for involvement in transfer of knowledge and/or in the training of researchers, including as a
means to particularly encourage the return of nationals having left the country,

— the acquisition and development of certain research equipment and the development of a material environment for
the selected centres of existing or emerging excellence in support of the research programmes developed within the
strategic partnership,

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

— dissemination and promotional activities to ensure increased visibility of the selected centres and their activities.

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

Objective

5.

SCIENCE IN SOCIETY

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 the whole
spectrum of society and culture.

Approach

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

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

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

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

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

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

— insufficient public participation in priority-setting and in establishing science policy directions, which would allow a

wider debate on possible associated risks and consequences,

— growing reservations with regard to certain scientific developments, the feeling of lack of control, and open questions

concerning the respect of fundamental values,

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— the perceived isolation of the world of science from the everyday realities of economic and social life,

— questioning the objectivity of scientific evidence made available to public policy-making,

— insufficient quality of scientific information available to the public.

The chosen approach aims to:

— render more inclusive and transparent the mechanisms for access to, and validation of the expertise necessary to

underpin more robust policies,

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

— allow Europe to play a more active role on the world stage, in the debate and promotion of shared values, equal

opportunities and societal dialogue,

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

— encourage a societal dialogue on research policy, and stimulate civil society organisations to become more involved in

research activities,

— explore ways to improve governance of the European research and innovation system,

— provide an image of science and researchers which is meaningful to all, especially to young people,

— promote the progress of women in scientific careers and better use their professional and scientific talents for the

benefit of all,

— renew science communication, favouring modern means to achieve higher impact, helping scientists to work closely

with media professionals.

‘Science in society’ will be implemented through:

— policy-related actions and research supported directly from this theme,

— cooperation between Member States, identifying common goals, and reinforcing national practices, in the spirit of the

open method of coordination,

— promoting, supporting and monitoring the uptake and impact of ‘Science in society’ issues in other parts of the
Framework Programme (1). The overall coordination of issues related to Science in society both across the Framework
Programme and within other relevant Community activities (e.g. relating to education and culture) will be ensured by
this theme.

Three action lines will be pursued.

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

Strengthening and improving the European science system

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

its own economy,

— improving the use, and monitoring the impact, of scientific advice and expertise for policy-making in Europe

(including risk management), and developing practical tools and schemes (e.g. electronic networks),

(1)

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

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— promoting trust and self-regulation in the scientific community,

— encouraging the debate on information dissemination, including access to scientific results and the future of scientific

publications, taking also into account measures to improve access by the public.

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

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

— broader engagement on science-related questions,

— conditions for an informed debate on ethics and science,

— greater emphasis on discussion within the research community of the social aspects of research.

Better understanding of the place of science and technology (S & T) in society

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

— relationships between science, democracy and law,

— research on ethics in science and technology,

— the reciprocal influence of science and culture,

— the role and the image of scientists,

— public understanding of science and promotion of public debate.

The evolving role of universities

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

— defining better framework conditions for more efficient university research,

— promoting the establishment of structured partnerships with the business sector, having regard to universities'

research management capacities,

— reinforcing knowledge-sharing between universities and society at large.

Second action line: Strengthening potential, broadening horizons

Gender and research

Based on policy orientations contained in the Commission staff working paper and Council conclusions (1) and other
relevant Community policy orientations, a framework for positive actions will be implemented to reinforce the role of
women in scientific research, and to enhance the gender dimension of research. This framework will provide the context for
policy debate, monitoring, coordination and underpinning research. It will comprise:

— strengthening the role of women in scientific research and in scientific decision-making bodies,

(1)

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

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— gender dimension of research,

— mainstreaming gender in Community research policy and programmes.

Young people and science

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

— supporting formal and informal science education in schools as well as through science centres and museums and

other relevant means,

— reinforcing links between science education and science careers,

— research and coordination actions on new methods in science education.

Third action line: Science and society communicate

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

— the provision of reliable and timely scientific information for the press and other media,

— training actions to bridge the gap between the media and the scientific community,

— encouraging a European dimension at science events targeting the public,

— promoting science by audio-visual means via European co-productions and the circulation of science programmes,

— promoting excellent trans-national research and science communication by the means of popular prizes,

— research aimed at enhancing inter-communication concerning science, both in its methods and its products, to raise
mutual understanding between the scientific world, and the wider audience of policy-makers, the media and the
general public.

6.

SUPPORT FOR THE COHERENT DEVELOPMENT OF RESEARCH POLICIES

Objective

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.

Approach

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

These activities will contribute to the implementation of the Lisbon strategy, in particular to the 3 % investment in research
objective, by assisting Member States and the Community in developing more effective research and development policies.
The aim is to improve public research and its links with industry and foster private investment in research by strengthening

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public support and its leverage effect on private investment. 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

Two action lines will be pursued (1):

First action line: Monitoring and analysis of research-related public policies and industrial strategies, including their impact

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

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

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

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

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

Second action line: Coordination of research policies

The aim is to strengthen, on a voluntary basis, the coordination of research policies via:

— actions to support the implementation of the open method of coordination, and

— trans-national cooperation initiatives undertaken at national or regional level on issues of common interest, involving

where appropriate other stakeholders (including industry, European organisations and civil society organisations).

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

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

(1) The activities related to strengthening and improving the European science system, such as questions of scientific advice and expertise

and contributing to ‘better regulation’, are addressed by the Science in society part of this specific programme.

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7.

ACTIVITIES OF INTERNATIONAL COOPERATION

Objective

To become competitive and play a leading role at world level, the European Community needs a strong and coherent
international science and technology policy. 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 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 facilitate contacts with partners in third countries with the aim of providing better access to 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.

Approach

In order to identify and establish the priority areas of research of mutual interest and mutual benefit with targeted third
countries (International Cooperation Partner Countries (1)
the
Cooperation specific programme ongoing policy dialogues and partnership networks will be enhanced with the different
regions in these third countries to provide input to help implement these actions. Coherence of national activities on
international scientific cooperation will be enhanced by supporting the coordination of national programmes (of Member
States and Associated countries) through multilateral coordination of national RTD policies and activities. Cooperation with
third countries in the Framework Programme will be targeted in particular at the following groups of countries (2):

for the specific international cooperation actions of

— candidate countries (3),

— Mediterranean partner countries (MPC), Western Balkans countries (WBC) (4) as well as the Eastern European and

Central Asian countries (5) (EECA),

— developing countries, focusing on the particular needs of each country or region concerned (6),

— emerging economies (6).

The theme-oriented international cooperation research actions are carried out under the Cooperation specific programme.
The international actions in the area of human potential are carried out under the People specific programme. Horizontal
support actions and measures with a focus other than a specific thematic or interdisciplinary area covered in the
‘Cooperation’ programme will be implemented, and could be supplemented, in a limited number of cases, by specific
cooperation actions of mutual interest. The overall coordination of the international cooperation actions under the different
programmes will be strengthened with a view to ensuring a coherent approach and developing synergies with other
Community instruments (e.g. IPA, European Neighbouring Policy Instrument, ALA Regulation, and Development Aid
schemes). Taking into account the experience gained through INTAS and building on its work in the framework of
cooperation with the Eastern European and Central Asian countries, activities providing continuity will be undertaken
through this programme and the ‘Cooperation’ and ‘People’ programmes.

The Commission will ensure the coordination of international cooperation activities throughout the entire Framework
Programme including policy dialogue with partner countries, regions and international forums.

See Rules for participation.

(1)
(2) At present nine Mediterranean Partner Countries and six countries of Eastern Europe and Central Asia are part of the European

Neighbouring Policy.

(3) Other than associated Candidate Countries.
(4) Other than associated potential Candidate Countries.
(5) Armenia, Azerbaijan, Belarus, Georgia, Kazakhstan, Kyrgyz Republic, Moldova, Russia, Tajikistan, Turkmenistan, Ukraine and Uzbekistan.
(6) Noting that Latin America includes both developing countries and emerging economies.

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Activities

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

Bi-regional coordination of S & T cooperation including priority setting and definition of S & T cooperation policies

Community S & T cooperation for priority setting will be based on a comprehensive policy dialogue with partner countries
and regions in recognition of their socio-cultural conditions and research capacities. This dialogue for S & T cooperation is
carried out at multiple levels, such as through international fora (the various UN conventions), institutionalised bi-regional
dialogues (1) including: Asia-Europe Meetings (ASEM); Latin America, Caribbean and EU (EU-LAC); the Mediterranean and
Western Balkan Partnerships; the EU-ACP (African, Caribbean and Pacific) States and Eastern Europe and Central Asia (2),
and bilateral and multilateral agreements as well as through informal trans-regional meetings of scientists and other societal
partners.

The highest priority will be given to the strengthening of bi-regional/bilateral dialogues to guide and set the framework for
international S & T cooperation and joint identification of research areas for mutual interest and benefit. Such dialogue and
partnership in S & T constitutes the most effective way of achieving globally and mutually agreed objectives, with respect to
regional and country level specific needs. Consequently, international S & T cooperation in the Framework Programme
will be governed in a coherent way through integrated research policy formulation resulting from these dialogues and from
S & T agreements (3).

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

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

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

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

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

Bilateral coordination for the enhancement and development of S & T partnerships

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

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

and with almost all countries included in the European Neighbourhood Policy.

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

Supporting coordination of national policies and activities of Member States and associated countries on international S & T cooperation

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

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

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

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ANNEX II

INDICATIVE BREAKDOWN OF THE AMOUNT (in EUR million)

Research infrastructures (1)
Research for the benefit of SMEs

Regions of knowledge

Research potential

Science in society

Coherent development of research policies

Activities of international cooperation

1 715

1 336

126

340

330

70

180

Total

4 097

(1)

Including a contribution of up to EUR 200 million to the European Investment Bank for its Risk-Sharing Finance Facility, as referred to in
Annex III. An amount in the order of EUR 100 million will be committed in annual instalments for the period 2007 to 2010

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ANNEX III

RISK-SHARING FINANCE FACILITY

In accordance with Annex II, the Community will provide a contribution (coordination and support action) to the European
Investment Bank (EIB) which will be a risk-sharing partner for the risk-sharing finance facility (RSFF). RSFF, which will be co-
funded by the Community and the EIB,
is aimed at fostering private sector investment across Europe in research,
technological development and demonstration (RTD) as well as innovation.

The Community contribution will increase the capacity of the Bank to manage risk, thus allowing for (i) a larger volume of
EIB lending and guarantee operations for a certain level of risk, and (ii) the financing of riskier European RTD actions that
would not be possible without such Community support, thus helping overcome market deficiencies. It will aim at:

— adding value in areas where the market cannot provide the required funding, and

— providing catalytic effect in leveraging private investment.

The Community contribution will be committed to RSFF in line with the provisions set out in Annex II.

The EIB will lend funds raised from international financial markets and provide guarantees to its financing partners in
accordance with its standard rules, regulations and procedures.

It will use this contribution on a ‘first come, first served basis’, as provisions and capital allocation within the Bank to cover
part of the risks associated with its operations supporting eligible European RTD actions.

Based on its financial evaluation, the EIB will assess the level of financial risks and decide the value of the provision and
capital allocation.

The risk assessment and grading, and the resulting decisions on provisioning and capital allocation, will follow standard
procedures of the Bank, under its Structured Finance Facility, approved and monitored by its shareholders and as updated
and modified from time to time. They will not be altered as a result of the Community contribution.

The risk to the Community budget is limited to the amounts paid or committed to be paid. There will be no contingent
liability for the Community budget, as any remaining risk is borne by the EIB.

The Community contribution will be disbursed annually based on a multiannual plan and taking into account the evolution
of demand. The annual amount will be established in the work programme, on the basis of the activity report and forecasts
presented by the EIB.

The agreement to be concluded with the EIB, following close consultations with Member States, will establish terms and
conditions under which the Community funds can be used as provisions and capital allocation. It will include the following
terms and conditions:

— The eligibility of Community RTD actions. By default, the development of research infrastructures funded by the
Community under this Specific programme shall be automatically eligible. Legal entities established in third countries
other than Associated Countries are also eligible if they participate in the Seventh Framework Programme indirect
actions and their costs are eligible for Community funding. Other research infrastructures of European interest could
also be considered.

RSFF will be offered in all Member States and Associated Countries in order to ensure that all legal entities, irrespective
of size (including SMEs and research organisations, including universities) in all Member States, may benefit from this
facility for the funding of their activities in eligible actions.

Innovation activities of a commercial nature are eligible for RSFF only via the use of the EIB's own contribution.

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— In accordance with the Regulation on Rules for Participation adopted pursuant to Article 167 of the Treaty, the
agreement will also establish procedures for the Community to object, in duly justified cases, to the use of the
Community contribution by the EIB.

— The rules for defining the share of the financial risk that will be covered by the Community contribution and the risk
threshold beyond which the EIB can use the Community contribution as well as sharing of corresponding income.

The level of the Community contribution for each operation shall depend on the financial risk evaluation carried out
by the EIB. The level of total provisioning and capital allocation for the majority of RSFF operations is expected to fall
within the range of 15 % to 25 % of the nominal value of such operations. In no case shall the level of total
provisioning and capital allocation amounts of the Community contribution exceed 50 % of the nominal loan or
guarantee value. There will be risk sharing under each operation.

— The arrangements by which the Community will monitor the EIB lending and guarantee operations related to the

Community contribution, including operations through the EIB financing partners.

The EIB may use the Community contribution only for operations approved between the date of entry into force of this
specific programme and 31 December 2013.

Interests and incomes generated by the Community contribution during this period shall be reported annually by the EIB to
the Commission, which shall inform the European Parliament and the Council. In accordance with Article 18(2) of the
Financial Regulation, they shall be considered as assigned revenues to the RSFF and entered into the budget.

When adopting the work programme, the Commission may decide to reallocate, for the purpose of any other indirect
actions of the ‘Research Infrastructure’ of this specific programme, any amount not used by RSFF and, therefore, recovered
from the EIB, after mid-term evaluation referred to in Annex II of the Framework Programme. The mid-term evaluation will
include an external assessment of the impact of the RSFF.

The Commission will closely monitor the effective use of the Community Contribution, including ex-post assessments of
the successful features of the action, and regularly report to the Programme Committee. In addition, the Commission will
include main findings in this respect to the annual report on research and technological development activities which it will
send to the European Parliament and the Council pursuant to Article 173 of the Treaty.

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ANNEX IV

JOINT IMPLEMENTATION OF NON-COMMUNITY RESEARCH PROGRAMMES

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

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

Article 169 (EC Treaty) initiative in the field of Research Performing SMEs

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

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

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INFORMATION TO BE PROVIDED BY THE COMMISSION IN ACCORDANCE WITH ARTICLE 8(4)

ANNEX V

1.

Information on actions, enabling the monitoring of the entire lifetime of each proposal, covering in particular:

— submitted proposals,

— evaluation results for each proposal,

— grant agreements,

— completed actions.

2.

Information on the outcome of each call and implementation of actions, covering in particular:

— the results of each call,

— the outcome of negotiations on grant agreements,

— implementation of actions, including payment data and outcome of actions.

3.

Information on programme implementation,
Programme, the specific programme and each activity.

including relevant

information at

the level of

the Framework

This information (in particular, on proposals, their evaluation and grant agreements) should be provided in a uniform
structured electronically-readable and treatable format accessible through an IT-based information and reporting
system which readily enables data analysis.