52002PC0043(02)

Amended proposal for a COUNCIL DECISION adopting a specific programme for research, technological development and demonstration : "structuring the European Research Area" (2002-2006) (presented by the Commission pursuant to Article 250 (2) of the EC Treaty)

EXPLANATORY MEMORANDUM

The Commission adopted its proposals for the sixth framework programme (EC and Euratom) [1] for research and technology development, on 21 February 2001, and for the specific programmes to implement the sixth framework programme [2], on 30 May 2001. These proposals have been designed with the objective of contributing to the creation of the European Research Area.

[1] COM(2001)94

[2] COM(2001)279

A key stage in the process of negotiation on the framework programme Decisions has now been accomplished, with the first reading of the European Parliament (14 November 2001) and the adoption of a common position by Council (28 January 2002).

The positions expressed by Parliament and Council on the new framework programme demonstrate a high degree of convergence, with broadly similar positions expressed on the overall budget and its breakdown, programme structure, scientific and technological priorities, and means of implementation.

For its part, the Commission has worked to encourage the process of convergence, in particular by modifying its framework programme proposals to take up a significant proportion of Parliament's amendments [3]. It notes with satisfaction the substantial consensus on the underlying principles of the new framework programme that has been achieved through the efforts of Council and Parliament, in particular with respect to the priority to be given to the use of powerful new instruments, the strong focus of the thematic priorities, and the introduction of greater flexibility in the implementation of the programme.

[3] COM(2001)709

A sufficiently stable basis now exists for the Commission to come forward with amended proposals for the specific programmes. These take up the changes in the framework programme resulting from the first reading, and set out their detailed implications as regards the research to be conducted and its means of implementation. The objective is to assist the other institutions in their examination of the specific programmes, and their further negotiations, with the aim of reaching early agreement on the framework programme, rules of participation and specific programmes.

The most extensive adjustments to the Commission's earlier proposals are to be found in the programme "Integrating and strengthening the European Research Area", including the following:

- Adaptations to the structure and detailed research content of thematic priority 1 (to reflect its organisation in two sections, respectively on advanced genomics and its applications to health, and on combating major diseases) and thematic priority 6 (to reflect its organisation in three parts, respectively on sustainable energy systems, sustainable surface transport, and global change and ecosystems). More limited, but in some cases nevertheless substantial, amendments have been introduced in to the research content of other priority thematic areas.

- Adjustments to the initial policy-orientated research priorities under the heading "supporting policies and anticipating scientific and technological needs", along with some re-attribution of research activities in relation to the thematic priorities (notably as regards agriculture and marine ecosystem research). These take account of the modifications to content and the significant reduction in budget introduced following the first reading.

- The description of the instruments (Annex III) has been refined and clarified, in the light of the debate leading up to the first reading. This reflects the principle of a smooth transition from "traditional" to "new" instruments in the implementation of the thematic priority areas, and the idea of a fourth instrument, in the spirit of the "escalier d'excellence".

In implementing this specific programme, the Commission proposes to be assisted by a committee of Member States' representatives. The committee shall meet in different configurations, as appropriate, corresponding to the thematic priority areas of research.

The modifications introduced in the programme "Structuring the European research area" relate mainly to the mobility and infrastructure actions, where additional detail and clarity has been introduced in the mechanisms and instruments to be adopted, while also taking account of the more limited budget attributed to these actions. As regards the Euratom programme on "Nuclear energy", the main changes relate to the fission part, with the introduction of a new thematic priority on radiation protection and activities on the safety of nuclear installations. In both these programmes, the descriptions of the instruments (Annex III) have been substantially updated, in line with the programme "Integrating and strengthening the European Research Area".

In all cases, the budgetary allocations have been revised in conformity with the common position of the Council.

2001/0123 (CNS)

Amended proposal for a COUNCIL DECISION adopting a specific programme for research, technological development and demonstration : "structuring the European Research Area" (2002-2006)

THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission [4]

[4] OJ No.

Having regard to the opinion of the European Parliament [5]

[5] OJ No.

Having regard to the opinion of the Economic and Social Committee [6]

[6] OJ No.

Whereas:

(1) In accordance with Article 166 (3) of the Treaty Decision No. .../../EC [7] of [...] of the European Parliament and the Council concerning the sixth multi-annual framework programme of the European Community for research, technological development and demonstration activities aimed at contributing towards the creation of the European Research Area (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.

[7] OJ No.

(2) The framework-programme is organised in three main blocks of activities, "Focusing and integrating Community research", "structuring the European Research Area" and "strengthening the foundations of the European Research Area", the second of which should be implemented by this specific programme.

(3) The rules for the participation of undertakings, research centres and universities and for the dissemination of research results, for the framework programme, adopted by the European Parliament and Council in Decision No. .../../EC [8] (hereinafter referred to as "the rules for participation and dissemination") should apply to this programme.

[8] OJ No

(4) The importance of the new instruments (Integrated Projects and Networks of Excellence) is recognised as being an overall priority means to attain the objectives of critical mass, management simplification and European added value contributed by Community research in relation to what is already undertaken at national level, and of the integration of the research capacities. They should enable personnel and administrative expenses to be reduced to a maximum of 6.0% of the overall amount deemed necessary for the implementation of the programme.

(5) As provided for under Article 170 of the Treaty, this 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 third countries and of international organisations for scientific co-operation.

(6) In implementing this programme, emphasis should be given to the needs of SMEs and encouraging their participation.

(7) Research activities carried out within this programme should respect fundamental ethical principles, notably those which appear in the Charter of Fundamental Rights of the European Union.

(8) Following the Commission Communication "Women and Science" [9] and the Resolutions of the Council [10] and the European Parliament [11] on this theme, an action plan is being implemented in order to reinforce and increase the place and role of women in science and research, and further enhanced action is needed.

[9] COM(1999) 76

[10] Resolution of 20 May 1999, OJ C 201, 16.7.1999

[11] Resolution of 3 February 2000, PE 284.656

(9) Participation in the activities of this programme will be encouraged through publication of the necessary information on content, conditions and procedures, to be made available in a timely and thorough manner to potential participants, including those from the associated candidate countries and other associated countries. Specific activities will be undertaken in support of participation of scientists and institutions from developing countries, Mediterranean countries including the Western Balkans as well as Russia and the NIS.

(10) This programme will be implemented in a flexible, efficient and transparent manner, taking account of relevant interests, in particular of the scientific, industrial, user and policy communities; the research activities carried out under it should be adapted where appropriate to the needs of Community policies and to scientific and technological developments.

(11) Since the measures for the implementation of this Decision are management measures within the meaning of Article 2 of Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission [12], they should be adopted by the use of the management procedure provided for in Article 4 of that Decision.

[12] OJ L 184, 17.7.1999, p. 23

(12) The Commission should in due course arrange for an independent assessment to be conducted concerning the activities carried out in the fields covered by this programme, which will be done in a spirit of openness with respect to all the relevant actors.

HAS ADOPTED THIS DECISION

Article 1

1. In accordance with the framework programme, a specific programme on structuring the research area (hereinafter referred to as "the specific programme") is hereby adopted for the period from [.....] to 31 December 2006.

2. The objectives and scientific and technological priorities for the specific programme are set out in Annex I.

Article 2

In accordance with Annex II to the framework programme, the amount deemed necessary for the execution of the specific programme is EUR 2 655 million, including a maximum of 6.0% for the Commission's administrative expenditure. An indicative breakdown of this amount is given in Annex II.

Article 3

All research activities carried out under the specific programme must be carried out in compliance with fundamental ethical principles.

Article 4

1. The detailed rules for financial participation by the Community in the specific programme shall be those referred to in Article 2(2) of the framework programme.

2. Instruments for implementing the specific programme are defined in Annexes I and III to the framework programme and described in Annex III.

3. The rules for participation and dissemination shall apply to the specific programme.

Article 5

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, and the timetable for implementation.

2. The work programme shall take account of relevant research activities carried out by the Member States, Associated States and European and international organisations. It shall be updated where appropriate.

Article 6

1. The Commission shall be responsible for the implementation of the specific programme.

2. The procedure laid down in Article 7 shall apply for the adoption of the following measures:

- the drawing up and updating of the work programme referred to in Article 5(1), including the instruments to be used on a priority basis, and any subsequent adjustment to their use;

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

Article 7

1. The Commission shall be assisted by a committee, composed of representatives of the Member States and chaired by the representative of the Commission.

2. Where reference is made to this paragraph, the management procedure laid down in Article 4 of Decision 1999/468/EC [13] shall apply, in compliance with Article 7 (3) thereof.

[13] OJ L 184, 17.7.1999, p. 23

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

Article 8

1. The Commission shall regularly report on the overall progress of the implementation of the specific programme, in accordance with Article 4 of the framework programme; information on financial aspects shall be included.

2. The Commission shall arrange for the independent monitoring and assessment provided for in Article 6 of the framework programme to be conducted concerning the activities carried out in the fields covered by the specific programme.

Article 9

This decision is addressed to the Member States.

Done at Brussels,

For the Council

The President

ANNEX I Scientific and technological objectives and broad lines of the activities

Introduction

This programme will attack a number of key structural weaknesses that are manifested across all fields of European research and which are likely to have progressively more important effects on the EU's capacity to meet the aspirations of its citizens as its economies and societies become more knowledge-based. It will:

- enhance the propensity, at all levels, to turn research into useful and commercially valuable innovations;

- promote the development of human resources which constitute the underlying raw material on which research capabilities must be built, as well as the mobility of researchers - and of their knowledge and expertise - between European countries and to Europe from outside;

- stimulate the development and upgrading of research infrastructures of the highest quality on a more rational and cost-effective basis, and make facilities and associated resources more universally available to researchers throughout Europe who are able to benefit from them;

- develop the means for more constructive and effective communication and dialogue between research and citizens in general, so as to enable society at large to have a better-informed and more constructive influence on the future development and governance of science, technology and innovation.

By their nature and means of implementation, the activities carried out within this programme are applicable to all fields of research and technology. They have specific vocations, distinct from, and complementary to, the activities implemented within other parts of the framework programme, notably those within the "Integrating and strengthening the European Research Area" programme in the priority thematic areas defined for EU research in that programme, and attention will be given to ensure coherence with them.

This complementary relationship will be reflected in:

- improved provisions for human resource development and knowledge transfer arising from the implementation of the activities covered by this programme, which would apply, inter alia, to the thematic priority areas of research, as well as research infrastructures of broad application, including those crossing the boundaries between priority areas;

- the use, as appropriate, of consistent methods and tools to promote innovation through research and to reconcile better research with the concerns of society, as well as consistent frameworks for the implementation of actions on human resources, infrastructure support and ensuring the ethical conduct of research, which may be implemented, inter alia, within the context of integrated projects and networks of excellence.

Participation of the candidate countries in this programme will be encouraged.

During the implementation of this programme and in the research activities arising from it, fundamental ethical principles are to be respected. These include the principles set out 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 relevant international conventions and codes of conduct, e.g. the Helsinki Declaration in its latest version, the Convention of the Council of Europe on Human Rights and Biomedicine signed in Oviedo on 4 April 1997, and the Additional Protocol on the Prohibition of Cloning Human Beings signed in Paris on 12 January 1998, the UN Convention on the Rights of the Child, the Universal Declaration on the human genome and human rights adopted by UNESCO, and the relevant World Health Organisation (WHO)resolutions.

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

Participants in research projects must conform to current legislation and regulations in the countries where the research will be carried out. Where appropriate, participants in research projects must seek the approval of the relevant ethics committees prior to the start of the RTD activities. An ethical review will be implemented systematically for proposals dealing with sensitive issues. In specific cases, an ethical review may take place during the implementation of a project.

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 [14];

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

- 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.

In accordance with the Amsterdam protocol on animal protection and welfare, animal experiments must be replaced with alternatives wherever possible. Suffering by animals must be avoided or kept to a minimum. This particularly applies (pursuant to Directive 86/609/EEC) to animal experiments involving species which are closest to human beings. 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.

Where appropriate, participants in research projects must seek the approval of the relevant ethics committees prior to the start of the RTD activities. An ethical review at EC level will be implemented systematically for proposals dealing with sensitive issues. In specific cases, an ethical review may take place during the implementation of a project.

1. Research and innovation

Objectives

The overall aim is to make a tangible improvement in Europe's innovation performance, in the short, medium and long term, by stimulating a better integration between research and innovation, and by working towards a more coherent and innovation-friendly policy and regulatory environment across the European Union.

To this end, and in accordance with the objectives of the communication [15] "Innovation in a knowledge-driven economy", activities will be implemented in a number of specific areas that are complementary and mutually supportive, within themselves and with the actions carried out under the heading "integrating and strengthening the European Research Area". They will focus on improving the knowledge, understanding and capabilities of the actors involved - researchers, industrialists, investors, public authorities at European, national and regional levels, and others - by encouraging more intensive and fruitful interactions between them, and by providing strategic information and services, as well developing new methodologies and tools, to assist them in their particular endeavours. A general principle underlying all these actions is that innovation cannot be separated from research ; the actions serve to reinforce the links between research and innovation, from the point of the conception of research activities, right through the period of their realisation.

[15] COM(2000)567, of 20.9.2000

To strengthen their structuring effect in Europe, these activities will, where appropriate, be carried out in cooperation with other forums or organisations at regional, national or European level, such as the EIB and the EIF in the context of the "Innovation 2000 Initiative", as well as in co-ordination with structural Funds measures in this field.

Activities envisaged

i) Networking the players and users and encouraging interaction between them

The effectiveness of innovation systems depends on the intensity of interactions and exchanges between the players concerned. The European networks involved in this activity will, among other things, have the aim of encouraging interfaces between research and industry and between business and funding. The activities will concern the encouragement and validation of local and regional initiatives to promote the creation and development of innovative businesses; the involvement of users in the innovation process; exchanges of good practice and the implementation of transnational cooperation involving universities, incubators, risk capital funds, etc.; and the optimisation of practices with regard to communication, training, transfer and sharing of knowledge between universities, businesses and the financial world.

ii) Encouraging transregional cooperation

The regional level is the most appropriate for putting in place innovation strategies and programmes involving the main local players. The purpose of this activity, to be carried out in close cooperation with activities in the context of regional policy and the Structural Funds, will be to promote exchanges of information on specific innovation-related themes; facilitate transfers of good practice and put in place innovation strategies in the regions in countries due to join the EU; and encourage the carrying out at regional and trans-regional level of schemes or measures that have proved successful at European level.

iii) Experimenting with new tools and approaches

The purpose of these activities is to experiment with new innovation concepts and methods addressing in particular critical points in the innovation process. These activities will concern experimenting on a European scale with new concepts applied in a national or regional environment to promote innovation and the setting-up of innovative businesses; analysis of the potential, for reproducing and/or exploiting proven methods, tools or results in new contexts; and putting into place integrated platforms making it possible to input and disseminate knowledge and know-how concerning the socio-technical processes of innovation.

iv) Putting services in place and consolidating them

The establishment of the European Research Area and the gradual integration of innovation systems in Europe will require a supply of information and services transcending the existing national fragmentation. The activities to be carried out will concern the CORDIS research and innovation information service, which will be supplemented by other media in order to reach the various target populations; the network of innovation relay centres, the geographical coverage of which will continue to be extended, and which will be supplemented by instruments to encourage the transnational transfer of knowledge and technologies; and information and support services in fields such as intellectual or industrial property and access to innovation funding.

v) Stepping up economic and technological intelligence

In the knowledge-based economy, economic and technological intelligence is a vital component of competitive research and innovation strategies. The activities to be carried out will centre on the innovation players: SMEs, researcher-entrepreneurs and investors. They will mainly involve intermediaries working with/for these players as well as organisations with economic and technological intelligence expertise. They will concentrate on specific S&T themes or industrial sectors and may concern: innovation promotion in SMEs, in particular by means of activities aimed at facilitating their participation in the Community research programmes; support for activities concerning the gathering, analysis and dissemination of information on S&T developments, applications and markets which may be of assistance to the stakeholders; and identification and dissemination of best practice with regard to economic and technological intelligence.

vi) Analysing and evaluating innovation in Community research projects

The research and innovation activities carried out in the context of Community projects, in particular within the networks of excellence and the integrated projects, represent a plentiful source of information about obstacles to innovation and the practices to be deployed in order to overcome them. The ex-post analysis of these practices will concern the gathering and analysis of information about measures taken to promote innovation in Community projects, as well as the obstacles encountered and the actions needed to remove them; the comparison of experience derived from Community projects with the lessons learnt from other national or intergovernmental programmes and the validation of the information obtained; and the active dissemination of this information among businesses and other participants in the generation and exploitation of knowledge.

2. Human resources and mobility

Today's knowledge-based societies are heavily dependent on their capacity to produce, transfer and utilise knowledge. This requires mobilising cognitive resources, beginning with the research community. The overall strategic objective of the Human Resources and Mobility activity is to provide broad support for the development of abundant and dynamic world-class human resources in the European research system, taking into account the inherent international dimension of research.

The mobility of researchers will be promoted with a view to the successful creation of the European Research area. This will involve a coherent set of actions, largely based on the financing of structured mobility schemes for researchers. These will essentially be geared at the development and transfer of research competencies, the consolidation and widening of researchers' career prospects, and the promotion of excellence in European research. The widely-recognised Marie Curie name will apply to all the actions concerned.

The activity will be open to all fields of scientific and technological research that contribute to the Community's RTD objectives. However, in order to respond to the evolution of Europe's requirements in this area, the possibility of refining priorities, as regards for example, scientific disciplines, participating regions, types of research organisations, and the potential of the targeted researcher populations, especially women and younger researchers will be retained, and will take into account measures taken towards creating synergies in the area of higher education in Europe.

Attention will be paid to:

- the participation of women within all actions, and appropriate measures to promote a more equitable balance between men and women in research.

- the personal circumstances relating to mobility, particularly with respect to the family, career development and languages.

- the development of research activity in the less-favoured regions of the EU and Associated Countries, and to the need for increased and more effective co-operation between research disciplines and between academia and industry, including SMEs.

With a view to further reinforcing the human potential for European research, this activity will also aim to attract the best and most promising researchers from third countries [16], promote the training of European researchers abroad and stimulate the return of European scientists established outside Europe.

[16] Participation and funding of researchers from third countries is foreseen in all of the host-driven mobility schemes (section -i), as well as in one of the individual-driven schemes (section -ii). In such cases, account will be taken of any relevant arrangements between the EU and those countries - or groups of countries, as well as of the relevant Framework Programme participation and financing rules

Actions to be pursued

Three main strands of actions will be implemented.

i) Host-driven actions

This first strand is aimed at supporting research networks, research organisations and enterprises, (in particular SMEs), in the provision of structured global schemes for the transnational training and mobility of researchers, and the development and transfer of competencies in research. The actions concerned are intended to have a strong structuring effect on the European research system, in particular by encouraging junior researchers to pursue a research career. Training elements in this strand will be directed at researchers at the early stages (typically the first 4 years) of their research careers, such as those who are undertaking a doctoral degree, while the transfer of competencies and knowledge will involve more experienced researchers. These actions are also intended to encourage mobility between different sectors.

- Marie Curie Research Training Networks - These provide the means for research teams of recognised international stature to link up, in the context of a well-defined collaborative research project, in order to formulate and implement a structured training programme for researchers in a particular field of research. Networks will provide a cohesive, but flexible framework for the training and professional development of researchers, especially in the early stages of their research career. Networks also aim to achieve a critical mass of qualified researchers, especially in areas that are highly-specialised and/or fragmented; and to contribute to overcoming institutional and disciplinary boundaries, notably through the promotion of multidisciplinary research. They will also provide a straightforward and effective means to involve the less-favoured regions of the EU and Associated Countries in internationally-recognised European research co-operation. Partners will be given significant autonomy and flexibility in the detailed operation of the networks. The duration of a network will typically be 4 years, with associated fellowships of up to 3 years, including short-term stays.

- Marie Curie Host Fellowships for Early Stage Research Training - These will be targeted at higher education and research institutions, training centres and enterprises, with a view to reinforcing their training capability. The scheme will be directed at researchers in the early stages of their professional career. It will focus on the acquisition of specific scientific and technological competencies in research, as well as of complementary skills such as those relating to research management and ethics. Hosts will be selected on the basis of their area of specialisation in research training. The associated fellowships will allow for fellows' stays for up to a maximum duration of 3 years. The scheme will also work towards more co-ordinated approaches to training among the organisations concerned, particularly between those involved in international doctoral studies.

- Marie Curie Host Fellowships for the Transfer of Knowledge - These will be directed at European organisations (universities, research centres, enterprises, etc.) in need of developing new areas of competence, as well as at furthering the development of research capabilities in the less-favoured regions of the EU and Associated countries. Knowledge transfer fellowships will allow experienced researchers to be hosted at such organisations for the transfer of knowledge, research competencies and technology. Fellowships will have a maximum duration of 2 years.

- Marie Curie Conferences and Training Courses - These will enable junior researchers to benefit from the experience of leading researchers. Support will be given to specific training activities (including virtual ones) that highlight particular European achievements and interests. Two categories of measures are foreseen: the first concerns support for a coherent series of high-level conferences and/or training courses (summer schools, laboratory courses etc.) proposed by a single organiser, and covering one or several specific themes ; the second involves support for the participation of junior researchers in large conferences selected for their specific training interest. Such activities would typically be for a few days, but could extend to a few weeks, for example in the case of summer schools.

ii) Individual-driven actions

This second strand of actions concerns the support to individual researchers, in response to their particular needs with a view to complement individual competencies in particular in terms of multidisciplinarity and research management, in the process of reaching a position of professional maturity and independence. It also addresses the linkages between European and third countries' researchers. It involves a number of schemes organised according to the geographical origin and destination of the researcher. Participation in these schemes will be open to researchers with at least 4 years of research experience, including those in possession of a doctorate degree.

- Marie Curie Intra-European Fellowships - these will allow the most promising researchers from EU and Associated countries to undertake training through research in the European organisations most appropriate to their individual needs. The application will be made by the fellow in conjunction with the host organisation. The topic will be freely chosen by the researcher in collaboration with the host, with a view to completing or diversifying his/her expertise. These fellowships will have a duration of 1 to 2 years.

- Marie Curie Outgoing International Fellowships - These will be awarded to researchers from EU and Associated countries to work in established third country research centres, thereby widening their international experience in research. This scheme will require the submission of a coherent individual training programme, involving a first phase abroad, followed by a mandatory second phase in Europe. This support should allow for a sufficently long training period.

- Marie Curie Incoming International Fellowships - These will aim at attracting top-class researchers from third countries to work and undertake research training in Europe, with the view to developing mutually-beneficial research co-operation between Europe and third countries. In the case of emerging economies and developing countries, the scheme may include provision to assist fellows to return to their country of origin.

-

iii) Excellence Promotion and Recognition

This third strand of actions will focus on the promotion and recognition of excellence in European research, thereby increasing its visibility and attractiveness. It will aim at promoting European research teams, especially in new and/or emerging areas of research, and at highlighting personal achievements of European researchers, with a view to supporting their further development and international recognition, while also promoting the diffusion of their work for the benefit of the scientific community.

- Marie Curie Excellence Grants - These aim at providing support for the creation and development of European research teams which are considered to have the potential to reach a high level of excellence , more particularly for leading edge or interdisciplinary research activities. The grant will cover a period of up to 4 years and will be awarded on the basis of a well-defined research programme.

- Marie Curie Excellence Awards - These are scientific prizes to give public recognition to excellence achieved by researchers who have in the past benefited from training and mobility support by the Community. Prize money will be awarded as a grant to be used for professional advancement, with the obligation to report within two years about the use made of the grant. Beneficiaries may propose themselves or be proposed by others.

- Marie Curie Chairs - These will be awarded for the purpose of making top-level appointments, in particular to attract world-class researchers and encourage them to resume their careers in Europe. Awards will normally have a duration of three years. This scheme may be developed in synergy with the host-driven actions.

iv) Return and Reintegration Mechanisms

A further mechanism Marie Curie Return and Reintegration Grants will be directed at researchers from the EU and associated countries who have just completed a Marie Curie fellowship of at least two years. It will consist of a lump sum, in the form of a grant to be used within one year following the term of the Marie Curie action. It will be allocated to the fellows on the basis of a defined project, which will be evaluated on its own merits. The mechanism will assist the professional reintegration of the researcher, the priority being given to reintegration in his or her country or region of origin.

A similar mechanism, but covering a longer period, up to two years, will apply to European researchers who have carried out research outside Europe for at least 5 years, with or without having benefited from a Marie Curie action.

Co-operation with Member States and Associated Countries

The Human Resources and Mobility activity will seek to co-finance initiatives which foster co-operation and create synergies with and within national and regional programmes where these coincide with the specific objectives of the schemes outlined above. Such co-operation will be established on the basis of relevant Community criteria, with a view to creating genuine access to these initiatives for all EU and Associated Country researchers, as well as promoting the adoption of mutually-recognised research training standards.

Initiatives will be undertaken to reinforce co-operation with Member States and Associated Countries in the provision of 'proximity support' to researchers, which is a key element of any mobility scheme for researchers moving within or returning to Europe. In particular, this could be undertaken through the support to the networking of existing and new structures, at national or regional level, with the aim of providing practical assistance to foreign researchers in matters (legal, administrative, familial or cultural) relating to their mobility.

A further aspect of this co-operation might concern a number of tasks associated with the management of the activity, beyond the increased importance of host-driven actions. In that context, envisaging alternative ways of management and follow up of individual fellowship contracts would require prior establishment of a clear demarcation of tasks and responsibilities in accordance with Community financial regulations and rules, and the undertaking of relevant cost/benefit analyses.

Internal, Framework Programme Co-operation

The role of the Human Resources and Mobility activity is to support research training and the development of research competencies. This does not preclude other activities within the new Framework Programme from incorporating similar elements. The Human Resources and Mobility activity will provide assistance with regard to the adoption of consistent criteria in relation to the evaluation, selection and monitoring of such actions, as well as the promotion of common approaches among the activities, with a view to ensuring coherence and developing possible synergies, and an equitable balance in the participation of men and women.

3. Research infrastructures

The ability of Europe's research teams to remain at the forefront of all fields of science and technology depends on their being supported by state-of-the-art infrastructures. The term "research infrastructures" refers to facilities and resources that provide essential services to the research community in both academic and industrial domains. Research infrastructures may be "single-sited" (single resource at a single location), "distributed" (a network of distributed resources, including infrastructures based on Grid-type architectures), or "virtual" (the service being provided electronically).

The overall objective of this activity is to promote the development of a fabric of research infrastructures of the highest quality and performance in Europe, and their optimum use on a European scale based on the needs expressed by the research community. Specifically this will aim at:

- ensuring that European researchers may have access to the infrastructures they require to conduct their research, irrespective of the location of the infrastructure;

- providing support for a co-ordinated approach for the development of new research infrastructures, also at the regional and transregional level, and for the operation and enhancement of existing infrastructures, including where appropriate facilities of world-wide relevance not existing in Europe.

Where relevant, support for research infrastructures in this programme will be implemented in association with the thematic priorities of the Framework Programme and with the other available forms of support.

Five schemes for support will be implemented:

- Transnational Access. The objective is to sponsor new opportunities for research teams (including individual researchers) to obtain access to individual major research infrastructures most appropriate for their work. Community financing will cover the necessary operating costs of providing access to such infrastructures for research teams working in Member States and Associated States other than the state where the operator of a given infrastructure is located.

- Integrating Activities. The objective is to support the provision of essential services to the research community at European level. This may cover, in addition to transnational access, the establishment and operation of co-operation networks, and the execution of joint research projects, raising the level of the performance of the infrastructures concerned. The scheme will also encourage the bridging of gaps that may limit the potential for exploitation of research results by industry, including SME's. Integrating activities will be selected on the basis of a wide-scale but flexible scientific and technological programme of European dimension aiming, where appropriate, at the long-term sustainability of the programme. This scheme may be implemented through Integrated Infrastructure Initiatives and Co-ordination Actions.

- Communication Network Development. The objective of this scheme in support of existing research infrastructures is to create, in conjunction with the priority thematic research area on Information Society Technologies, a denser network between related initiatives, in particular by establishing a high-capacity and high-speed communications network for all researchers in Europe (GEANT) and specific high performance Grids and test-beds (GRIDs), as well as electronic publishing services.

- Design studies. The objective is to contribute, on a case-by-case basis, to feasibility studies and technical preparatory work for those new infrastructures to be undertaken by one or a number of Member States, which have a clear European dimension and interest, taking into account the needs of all potential users and systematically exploring the possibilities of contributions from other sources, including the EIB or the Structural Funds for the funding of these infrastructures.

- Development of new infrastructures.Optimising of European infrastructures by providing limited support for the development of a restricted number of projects for new infrastructures in duly justified cases where such support could have a critical catalysing effect in terms of European added value. This support, taking due account of Member States' opinion, may supplement contributions from the EIB or the Structural Funds to the funding of these infrastructures.

In general, funding provided for new or enhanced infrastructures will be limited to the minimum necessary to catalyse the activity; the major part of construction and operation, and the long-term sustainability of the infrastructures in question being assured by national and/or other sources of finance. Such funding would only be provided on the basis of a detailed justification, based on European added value, addressing the scientific, legal and financial dimensions of the proposed development.

Broadband communication networks, which are highly relevant to the political goals set out by the European Research Area and the e-Europe initiative, should also be used as a means to enhance scientific co-operation with third countries.

Support for research infrastructures in this programme should, where relevant, take into account existing or future mechanisms for a co-ordinated approach to research infrastructures in Europe (e.g. National Research and Education Networks - NRENS), as well as the scientific advice of existing European and international organisations (e.g. European Science Foundation - ESF). Accompanying measures under this programme may be implemented, where appropriate, to sustain these mechanisms.

4. Science and Society

Today, and even more in the knowledge-based society of tomorrow, science and technology have a ubiquitous presence throughout the economy and in everyday life. If they are to realise their full potential in securing a continually-increasing quality of life - in the broadest sense - to Europe's citizens, new relations and a more productive dialogue between the scientific community, industrialists, policy-makers and society at large will be needed.

Such a dialogue cannot be confined to the EU alone. It must be international in scope, taking full account of the enlargement perspective and the global context. Given the very broad range of issues and interactions that are implied in the relations between science and technology, on one hand, and the broader community, on the other, these considerations must be integrated within all areas of activity of the framework programme. The role of this specific activity is to develop the structural links between the institutions and activities concerned and provide a central focus, through common reference frameworks and the development of appropriate tools and approaches, to guide activities in this domain covered by the different parts of the framework programme.

It will be implemented by means of networks, benchmarking, exchange of best practices, developing and promoting awareness of methodologies, studies and the bringing together of national efforts. In specific cases, where appropriate, dedicated research will be supported.

i) Bringing research closer to society

The aim is to examine systematically the various components of "science and governance" in order to create conditions under which policy decisions are more effective in meeting society's needs, more soundly based in science and at the same take account of the concerns of civil society. This requires consideration of effective processes of dialogue on emerging scientific and technological issues ultimately having consequences for prospective policy development; developing appropriate means for creating scientific references and channelling scientific advice to policy makers; and equipping the latter with tools to assess and manage scientific uncertainty, risk and precaution.

- Science and governance: analysing and support to best practice; developing new consultation mechanisms to promote more productive involvement of civil society and relevant stakeholders in policy formulation and implementation, including the communication of scientific outputs necessary to decision taking in terms readily understandable to civil society and other stakeholders; monitoring activities concerning the functioning of policy-making processes to assess the interaction between experts, industry, civil society and policy-makers.

- Scientific advice and reference systems: exchange of experience and good practice; monitoring the production of scientific advice world-wide and how this advice is provided as input to decision; developing new and better methodologies for reliable and recognised reference systems; ensuring the smooth operation and effective use of the European Research Advisory Body and its sub-committees in order to provide scientific advice for the development of the European research area.

ii) Responsible research and application of science and technology

The aim is to ensure that rapidly advancing progress in science is in harmony with the ethical values of all Europeans. Activities will promote "responsible research" in Europe, in which the requirements for investigative freedom are better reconciled with social and environmental responsibilities in the development and application of science and technology, as well as the public dialogue, monitoring, and early warning, of ethical and social issues, and risks arising from new technological developments, for the benefit of national and international policy makers and other interested groups.

- Ethics: networking between existing ethics bodies and activities in Europe, and promotion of dialogue on ethics in research with other regions in the global context; awareness raising and training activities in ethics; co-ordination and development of codes of conduct for research activities and technological developments; research on ethics in relation to science, technology developments and their applications, for example, in relation to information society, nanotechnologies, human genetics and biomedical research and in food technologies.

- Uncertainty, risk, and implementing the precautionary principle: analysis and support to best practice in the application of the precautionary principle in different areas of policy making and in the assessment, management and communication of uncertainty and risk.

iii) Stepping up the science/society dialogue and women in science

Support for the responsible development of science and technology requires not only a continued dialogue between the relevant stakeholder, but also better public awareness of scientific and technological advances and their possible implications, and a wider understanding of scientific and innovation culture. There are also particular needs to stimulate young peoples' interest in science, to increase the attractiveness of scientific careers, and to make progress towards gender equality in research, which will also enhance human resources and improve levels of excellence in European research

- Public understanding: supporting awareness-raising events and the recognition of achievements in European research; analysis of the factors influencing public opinion, including the role of the media and science communicators; developing new ways of raising public awareness and knowledge; encourage comprehensive "stakeholder" debates and stimulate awareness for innovation in society.

- Young peoples' interest in scientific careers: initiatives to attract the younger generation to participate in the discussion on science and technology and their societal impact and to raise the S&T awareness among youth; support for the development of better approaches to science for girls and boys within and outside the formal education system, and for actions concerning a better understanding of the relative attractiveness and social aspects of taking science as a career.

- Women and Science: actions to stimulate the policy debate at national and regional level to mobilise woman scientists and boost the participation of the private sector; promoting the enhancement of the Gender Watch System and associated activities to promote gender equality throughout the framework programme; specific actions to develop a better understanding of the gender issue in science.

ANNEX II

INDICATIVE BREAKDOWN OF THE AMOUNT

Types of activities // Amount (EUR million)

//

Research and Innovation

Human Resources

Research infrastructures

Science / society // 300

1 630

665 [17]

[17] Including up to EUR 200 million for the further development of Géant and GRID.

Total // 2 655

ANNEX III - MEANS FOR IMPLEMENTING THE PROGRAMME

In order to implement the specific programme, and in accordance with the Decisions of the European Parliament and of the Council concerning the multiannual Framework Programme 2002-2006 of the European Community for research, technological development and demonstration activities aimed at contributing towards the creation of the European Research Area (2002/.../EC) and with the rules for the participation of undertakings, research centres and universities and for the dissemination of research results (2002/.../EC), the Commission may use, across the whole field of science and technology:

- Specific targeted innovation projects implemented in the area of "Research and innovation". They are designed to test, validate and disseminate new innovation concepts and methods at the European level.

- Specific targeted research projects implemented in the area of "Science and society". They shall be sharply focussed and will take either of the following two forms, or a combination of the two:

(a) a research and technological development project designed to gain new knowledge either to improve considerably or to develop new products, processes or services or to meet other needs of society and Community policies;

(b) a demonstration project designed to prove the viability of new technologies offering potential economic advantage but which cannot be commercialised directly.

- Integrated infrastructure initiatives implemented in the area of "Research infrastructure". They shall combine in a single action several activities essential to reinforce and develop research infrastructures, in order to provide services at the European level. To this end, they shall combine networking activities with a support activity (such as relating to transnational access) or research activities needed to improve infrastructure performance, excluding, however, the financing of investment for new infrastructures, which can only be financed as specific support actions. They will include a component of dissemination of knowledge to potential users, including industry and in particular to SMEs.

- Actions to promote and develop human resources and mobility implemented in the area of "Human resources and mobility". They will be targeted at training, development of expertise or transfer of knowledge. They will involve support to actions carried out by natural persons, host structures, including training networks, and also by European research teams.

- Coordination actions implemented in all the areas of the programme. They are intended to promote and support the coordinated initiatives of a range of research and innovation operators aiming at improved integration. They will cover activities such as the organisation of conferences, meetings, the performance of studies, exchanges of personnel, the exchange and dissemination of good practices, setting up information systems and expert groups, and may, if necessary, include support for the definition, organisation and management of joint or common initiatives.

- Specific support actions implemented in all the areas of the programme. They will complement the implementation of the Framework Programme and may be used to help in preparations for future Community research and technological development policy activities including monitoring and assessment activities. In particular, they will involve conferences, seminars, studies and analyses, high level scientific awards and competitions, working groups and expert groups, operational support and dissemination, information and communication activities, or a combination of these, as appropriate in each case. They may also include actions in support of research infrastructure relating to, for instance, transnational access or preparatory technical work (including feasibility studies) and the development of new infrastructure.

The Commission will evaluate the proposals in accordance with the evaluation criteria set out in the above mentioned Decisions.

The Community contribution will be granted in accordance with the above mentioned decisions and in compliance with the Community framework for state aid for research. In the case of participation of bodies from regions lagging in development, when a project receives the maximum intensity of co-financing authorised under the framework programme or an overall grant, an additional contribution from the Structural Funds, pursuant to Council Regulation (EC) No 1260/99, could be granted.

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.

In the case of participation of organisations from Mediterranean or developing countries, a contribution of the MEDA programme and of the financial instruments of the Community's aid to development could be envisaged.

Actions under Articles 169 and 171 of the Treaty which contribute to the scientific and technological objectives set out in Annex I may be supported financially by the specific programme, in accordance with the relevant decisions under Article 172 of the Treaty.

In carrying out the programme, the Commission may have recourse to technical assistance.

LEGISLATIVE FINANCIAL STATEMENT

Policy area(s): Research

Activity(ies): Research actions under the EC Treaty.

Title of action

Proposal for a Council Decision adopting a specific programme for research, technological development and demonstration activities aimed at "Structuring the European Research Area"

1. BUDGET LINE(S) + HEADING(S)

Subsection B6 6 Indirect Actions: these lines will be specified at the beginning of the 2003 budget procedure, taking into account the ABB nomenclature, which is being drawn up.

2. OVERALL FIGURES

2.1. Total allocation for action (Part B): EUR2 655 million for commitments

2.2. Period of application:

2002-2006

2.3. Overall multiannual estimate of expenditure:

a) Schedule of commitment appropriations/payment appropriations (financial intervention) (see point 6.1.1)

EUR million (to 3rd decimal place)

>TABLE POSITION>

b) Technical and administrative assistance and support expenditure (see point 6.1.2)

This budget category does not apply in this field.

c) Overall financial impact of human resources and other administrative expenditure (see points 7.2 and 7.3)

>TABLE POSITION>

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2.4. Compatibility with the financial programming and the financial perspective

|X| Proposal compatible with the existing financial programming

| | This proposal will entail reprogramming of the relevant heading in the financial perspective.

| | This may entail application of the provisions of the Interinstitutional Agreement.

2.5 Financial impact on revenue

| | No financial implications (involves technical aspects regarding implementation of a measure)

|X| Financial impact - the effect on revenue is as follows:

Certain Associated States will contribute to the funding of the Specific Programme.

These association agreements are linked to a Framework Programme. Their renewal will be renegotiated following adoption of the new Framework Programme and it is therefore impossible to forecast the amount of revenue in question.

In accordance with Article 27 of the Financial Regulation, certain revenue may be reused.

3. BUDGET CHARACTERISTICS

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4. LEGAL BASIS

Article 166 of the EC Treaty.

Proposal for a Decision of the European Parliament and of the Council adopting the framework programme 2002-2006 of the European Community for research, technological development and demonstration activities aimed at contributing towards the creation of the European Research Area.

5. DESCRIPTION AND GROUNDS

5.1. Need for Community intervention

5.1.1 Objectives pursued

As recognised at the highest political level by the European Council in Lisbon, Feira, Nice and again recently in Stockholm, research is a central component of the knowledge-based economy and society developing worldwide. The objective set for the EU in Lisbon was "to become the most competitive and dynamic knowledge-based economy in the world, capable of sustainable economic growth, more and better jobs and greater social cohesion" over the next decade. More than ever, research is proving to be one of the main driving forces for economic and social progress, a key factor in business competitiveness, employment and the quality of life. In addition, science and technology are key elements in the policy-making process at both EU and national level.

However, Europe still has structural weaknesses where research is concerned. These can be summed up in four main points:

I. Insufficient and dispersed investment in research and technological development and more generally in knowledge (RTD, education and software), with the result that we are lagging behind our competitors. In 1999, the EU invested EUR 76 billion less than the US in research and development. It is now lagging behind its competitors in terms of research spending as a proportion of GDP (in 1999, the figure was 1.9% for the EU compared with 2.6% for the US and 2.9% for Japan [18]). In 1999, the US invested some 9% in knowledge, ahead of the EU (7.6%) and Japan (6.9%). And the gap is continuing to widen.

[18] 1998 figure.

II. Insufficient human resources in research. Researchers represent 5.3/1000 of the workforce in the EU (1998), 7.4/1000 in the US (1993) and 8.9/1000 in Japan (1998) where there are twice as many researchers in industry. Direct public spending on higher education corresponds to 0.9% of GDP in the EU, 1.4% in the US and 0.5% in Japan (1997).

III. A limited capacity to translate scientific breakthroughs into innovative and competitive products and services, despite high-quality scientific production. The figures for the number of patents granted by the European, American and Japanese patents offices per million inhabitants are 32 in the EU, 49 in the US and 88 in Japan. In 1998, the trade balance for high-tech products was a EUR28 billion deficit for the EU (a trend confirmed throughout the decade), compared with a EUR8 billion deficits for the US and an EUR 39 billion surplus for Japan. Risk capital investment in the advanced sectors corresponds to 80% in the US and, while it is on the increase, only 26 % in the EU and 23% in Japan.

IV. A fragmentation of research policies in Europe. The EU has not yet adopted a fully-fledged research policy. The 15 national policies co-exist side by side and alongside the Community framework programme without adequate coordination between them to achieve efficient organisation and exploitation. This lack of coordination also affects the establishment and efficient exploitation of research infrastructures.

To alleviate this situation, the Commission has proposed and Council and Parliament have endorsed the creation of a "European Research Area". Bringing it about will necessarily be the product of a joint effort by the Community, the Member States and research stakeholders. The Community research framework programmes (2002-2006) and the specific programmes will make a contribution to this in particular through the significant leverage effect that they can have for integrating, coordinating and structuring research in the EU and strengthening the foundations of the European Research Area.

A structural change in the EU's S&T fabric to remedy the above mentioned weaknesses will need resources commensurate with the objective. The Commission has proposed funding for the framework programme totalling EUR 17.5 billion, corresponding to the previous level of funding plus inflation and growth (but still representing only 5 to 6% of public spending on RTD). The Commission takes the view that this sort of amount could have a significant effect on the research system as such, improve at least some of the overall research indicators, and have a significant effect in the priority areas of the framework programme which will generate growth in the EU. In overall terms, this level of funding will make it possible to maintain the Community's RTD effort expressed as percentage of GDP at its present level during the period 2003-2006.

The plan is to implement the framework programmes by five specific programmes, three of which come under the European Community Treaty and two under the European Atomic Energy (Euratom) Treaty. Each specific programme is identified according to the nature of the instruments deployed, reflecting the objectives and organisation of the framework programme:

- A programme on "Integrating and strengthening the European Research Area" comprising the indirect actions proposed under the heading "Integrating research" and under the heading "Strengthening the foundations of the European Research Area", thus bring together research and coordination activities.

- A programme on "Structuring the European Research Area", comprising horizontal, support and structuring activities.

- Two "Joint Research Centre (JRC)" programmes comprising the direct actions carried out by the JRC in the non-nuclear and nuclear fields respectively.

- A "Nuclear energy" programme comprising the indirect actions carried out in the field of nuclear energy.

The objectives of the specific programme "Structuring the European Research Area" are set out below by action areas, together with their justification and the European added value that they can provide.

1. Research and innovation

The objective of these actions is to promote technological innovation, the exploitation of research results, the transfer of knowledge and technologies and the setting-up of technology businesses within the Community and all its regions.

Justification and European added value

- Need to reduce performance gaps between European regions

- Need to promote policies and development strategies for innovation

- Need for participants in Community research actions to have information and specialised services on a European scale

- At present, information about economic and technological trends is lacking or does not have a sufficiently high profile

- Need to promote cooperation between players with additional know-how in order to innovate.

2. Human resources and mobility

The objective of the activities carried out under this heading is to provide support for the development of abundant and world-class human resources in all the regions of the Community, by promoting trans-national mobility for training purposes, the development of expertise or the transfer of knowledge in particular between different sectors; support for the development of scientific excellence; and helping to make Europe more attractive to third-country researchers. This should be achieved by attempting to make the most of the potential of all components of the population, and more particularly women, by taking appropriate measures to this end.

Justification and European added value

- Low proportion of European workforce in R&D (5.3 in every thousand in 1998) compared to US (7.4 in 1993) and Japan (8.9 in 1998).

- Brain drain to the US of European scientists, with stay rates of up to 50 % (in 1998) after completion of a doctoral degree in the US.

- Low take up in 1998 of scientific studies and academic research assignments, with 23% of people aged 20 to 29 years in the EU in higher education, compared to 39% in the USA and 21% in Japan.

- Rigidity of academic careers and more attractive career prospects in industry.

- Differing national and regional laws and practices affecting the mobility of researchers.

3. Research infrastructures

The objective of the activities carried out under this heading is to help establish a fabric of research infrastructures at the highest level in Europe and to promote their optimum use on a European scale.

Justification and European added value

- Obstacles remain to transnational access to facilities.

- The potential of electronic communications networks is not yet fully exploited.

- Multinational funding agreements are difficult to establish.

- Technological development related to infrastructures is handicapped by a lack of critical mass.

4. Science and society

The objective of the actions carried out under this heading is to encourage the development in Europe of harmonious relations between science and society and openness to innovation as a result of establishing new relationships and an informed dialogue between researchers, industrialists, policy makers and citizens.

Justification and European added value

- Recent events in Europe, such as BSE, GMOs, have resulted in a loss of public confidence in science and technology

- Policy-makers have required rapid and precise answers to complex scientific issues, usually transcending geographical boundaries

- Traditional methods of education appear to be failing

- Women are widely underrepresented in scientific research (for instance, women represent 50% of the graduates in Europe, but account for only 10% of the full professors).

5.1.2 Measures taken in connection with ex ante evaluation

An ex-ante evaluation was carried out by the Commission services when preparing the specific programme proposals. Its results reflect in particular:

- the recommendations of the five-year assessment of the framework programmes and specific programmes carried out by independent experts in the course of the year 2000;

- the Commission's mid-term review of the fifth framework programme (1998-2002) presented in COM(2000)612 of 4 October 2000 and detailed in Commission staff paper SEC(2000)1780 of 23 October 2000;

- wide-ranging consultations among the protagonists relating to the two communications on the European Research Area in the course of the year 2000 [19] and the framework programme proposal at the beginning of 2001;

[19] COM (2000) 612 of 4 October 2000 COM (2000) 6 of 18 January 2000

- a series of internal and external Commission studies relating to economic, political and foresight areas and the impact of RTD activities.

The results of the ex-ante evaluation carried out are reflected in particular in the choices made with regard to the structure of the programmes, the objectives and priorities and the implementing instruments.

The objectives and priorities were selected in accordance with the rigorous application of the criterion of European added value.

This covers the following aspects applied to the priority themes and activities selected, the justification and European added value of which are described in greater detail in point 5.1. and the expected results in point 5.2.

- Importance of collaboration in economic terms (economies of scale) and as a result of its beneficial effects on the private research effort and industrial competitiveness

- Maintenance or development of the position of the EU in RTD areas strategic for the EU

- Need to combine the complementary expertise present in the different countries, more particularly in the face of interdisciplinary problems and the need to have recourse to comparative studies on a European scale

- Links with the priority interests of the EU as well as with Community legislation and policies

- The necessarily transnational nature of the research as the result of the scale on which the problems arise or for scientific reasons.

With regard to the implementing instruments, new instruments, which by their nature can only be implemented at Community level, have been designed to contribute at EU level to:

- promoting the interaction between research and innovation

- developing human resources and reinforcing mobility

- supporting research infrastructures

- developing harmonious relations between science and society.

These instruments and the corresponding objectives are described in point 5.2.

5.1.3 Measures taken following ex post evaluation

The recommendations of the five-year assessment of the framework programmes and the specific programmes carried out in 2000 have been taken into account in preparing the specific programme proposals, in particular those concerning:

- the need to make up for Europe's trailing position in the field of RTD compared with its competitors;

- the need for complementarity and coherence between national and Community RTD policies and the essential role of the Commission in achieving this objective;

- the beneficial impact of the framework programme which "fills a gap in Europe by enabling researchers in universities and in industry to carry out applied work together";

- the need to lighten the procedures of the 1998-2002 programme and the need to "rethink the structures and procedures for managing the framework programme";

- placing Community research activities in the broader context of a genuine European research policy;

- reinforcing the concentration of the programmes;

- continuing with the research needed to achieve the objectives of Community policies;

- the desired move towards an adapted range of instruments that are more flexible, taking account of all the possibilities offered by the Treaty.

In addition, the mid-term review of the fifth framework programme has resulted in particular in adjustments to the annual work programmes for the specific programmes, aimed at concentrating efforts to a greater extent and launching pilot projects for the measures envisaged for the next framework programme (networks, clusters, industrial platforms, larger-scale projects, etc.).

5.2. Actions envisaged and means of budget intervention

The actions envisaged for the specific programme on "Structuring the European Research Area" are set out below presented by detailed action areas. This presentation makes it possible to highlight the estimated results expected, the contributions to the overall objectives of the framework programme or of the Community or potential performance parameters associated with these. These indications are intended as yardsticks and not definitively adopted goals.

A correspondence between the action areas and the types of instruments used is given further on in the form of a table.

1. Research and innovation

i) Networking the players and encouraging interaction between them

ii) Encouraging transregional cooperation

iii) Experimenting with new tools and approaches

iv) Putting services in place and consolidating them

v) Stepping up economic and technological intelligence

vi) Analysing and evaluating innovation in the Community research projects

Expected results, contributions to overall objectives or potential performance parameters

- Increasing the number of business "start-ups"

- Increasing the amount of risk capital invested in innovative businesses

- Increasing the number of collaborations established between regions and with the associated countries

- Increasing the number of users and the number of transactions involving specifically European information services

- Doubling the number of members of networks working with SMEs.

2. Human resources and mobility

i) Host-driven actions

(Marie Curie Research Training Networks, Marie Curie Host Fellowships for Early Stage Research Training, Marie Curie Host Fellowships for the Transfer of Knowledge, Marie Curie Conferences and Training Courses)

ii) Individual-driven actions

(Marie Curie Intra-European Fellowships, Marie Curie Outgoing International Fellowships, Marie Curie Incoming International Fellowships, Marie Curie Re-integration Grants)

iii) Excellence Promotion and Recognition

(Marie Curie Excellence Grants, Marie Curie Excellence Awards, Marie Curie Chairs)

(Cooperation with Member States and Associated Countries, Internal Framework Programme Co-operation)

Expected results, contributions to overall objectives or potential performance parameters

- Evaluation of the number of international collaborative projects and individual moves, countries involved, length of stays, age of the researchers.

- Evaluation of the number of researchers/researcher-months, age profile, disciplines and types of training.

- Increase in the number of permanent positions following mobility

- Promotion of the return to Europe of European scientists

- Increase in the number of researchers/teams awarded.

3. Research infrastructures

Integrating activities,

Communication network development,

Transnational Access,

Design studies,

Development of new infrastructures.

Expected results, contributions to overall objectives or potential performance parameters

- Provision of access to, or services from, around 100 infrastructures for on average about 8,000 researchers per EUR 100 million of financing

- Promotion of co-operation among on average about 100 participants in 10 networks or research projects per EUR 100 million of financing.

- Increase of the number of new techniques, technologies or electronic networks, which will significantly enhance the provision of services by relevant infrastructures in their fields.

4. Science and society

i) Bringing research closer to society

(Science and governance, Scientific advice and reference systems)

ii) Responsible development and application of science and technology

(Ethics, Uncertainty, risk and implementing the precautionary principle)

iii) Stepping up the science/society dialogue and women in science

(Public understanding, Young peoples' interest in scientific careers, Women and Science)

Expected results, contributions to overall objectives or potential performance parameters

- Guidelines for science and governance, and scientific reference systems, aimed at better connection between the scientific community, policy-makers and civil society.

- Mapping of the scientific advice structures in the EU and world-wide

- Carrying out ethical reviews in order to ensure the adherence to ethical principals in Community research activities, and developing codes of conduct

- To reach the objective of 40% for women's participation in assemblies and panels.

The means of intervention and financial participation under the framework programme will be as follows, according to the objectives:

>TABLE POSITION>

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(1) Specific support actions can also be implemented throughout the specific programme.

(2) As a general principle, the Community financial contribution cannot cover 100% of the expenditure of an indirect action with the exception of proposals covering a purchase price governed by the terms applicable to public procurement procedures or taking the form of a pre-defined lump sum pre-set by the Commission.

However, the Community financial contribution may bear up to 100% of the expenditure of an indirect action if they complement those otherwise borne by the participants. Also, in the specific case of coordination actions, it covers up to 100% of the budget necessary for the coordination of activities funded by the participants themselves.

(3) Subject to specific conditions specific legal entities, particularly public bodies, will receive funding of up to 100% of their marginal/additional costs.

(4) The rates of assistance may be differentiated in accordance with the rules of the Community framework for State aid for research and development depending on whether activities relate to research (maximum 50 %) or demonstration (maximum 35 %) or to other activities implemented, such as training of researchers (maximum 100 %) or the management of the consortium (maximum 100 %)

(5) The activities of an integrated initiative relating to infrastructure must include one networking activity (co-ordination action: maximum 100 % of the budget) and at least one of the following activities: research activities (maximum 50 % of the budget) or service specific activities (specific support action, for example, transnational access to research infrastructures: maximum 100 % of the budget)

(6) For actions in support of research infrastructure relating to preparatory technical work (including feasibility studies) and the development of new infrastructure, 6th Framework Programme participation is restricted to maximum of 50 % and 10 % of the budget respectively.

The Community's budgetary intervention is aimed at businesses (and in particular SMEs), research centres, universities and national or European organisations, that fund research activities. The latter may also act as intermediaries for the Community's budgetary intervention.

5.3. Means of implementation

The Commission will ensure the implementation of the actions. In certain duly justified cases, it may call upon external bodies for assistance.

6. FINANCIAL IMPACT

6.1. Total financial impact on Part B - (over the entire programming period)

For the record, the reference allocation for the Framework Programme of the European Community is EUR 16.270 million. The total amount for the Framework Programmes 2002-2006 is EUR 17 500 million.

6.1.1 Financial intervention: Commitments in EURmilllion (to the third decimal place)

Breakdown by objective

// Total

Structuring the European research area // 2 655

1) Research and innovation // 300

2) Human resources // 1 630

3) Research infrastructure // 665 [20]

[20] Including up to 200 million for the further development of Géant and GRID.

4) Science and society // 60

TOTAL // 2 655

An annual schedule for each of these objectives is not significant at this level. It could only be defined as being strictly proportional to that for the entire specific programme, itself in line with that of the framework programme. The annual internal breakdown will be established subsequently within the work programmes.

6.1.2 Technical and administrative assistance, support expenditure and IT expenditure (Commitment appropriations)

This budget category does not apply in this field.

6.2. Calculation of costs by measure envisaged in Part B (over the entire programming period)

For the indirect actions of the Fifth RTD Framework Programme of the European Community (1998-2002), the annual volume is in the order of 3500 new contracts signed (all categories included), for an annual budget of EUR 3000 million.

For the indirect actions of the Framework Programme 2002-2006, the annual budget will be in the order of EUR 3700 million, an increase in real terms by 13 %.

Nevertheless, as set out in point 5.1.2, new instruments have been designed for the implementation of this new Framework Programme

Compared to previous Framework Programmes, these instruments go beyond merely scientific projects and introduce the concept of integration and structuring of research, in particular by critical mass and networking of competences and resources in identified areas.

7. IMPACT ON STAFF AND ADMINISTRATIVE EXPENDITURE

Currently in the parts of the 5th Framework Programme related to indirect, non-nuclear research, the overall ceiling for human resources and other administrative expenditure is 7.0%.

Assuming there were to be no change in the methods of implementing the Framework Programme, and given the need to allow for some margin in this category of expenditure, the Commission would have no reason to depart from this overall ceiling of 7%. Given that the budget for the Sixth Framework Programme is 17% higher than the Fifth Framework Programme, this would have implied a net increase of around 250 permanent posts on top of the 1654 posts allowed in 2002.

The Commission is however committed to achieving significant gains in productivity in the implementation of the Sixth Framework Programme. This commitment will lead to an important reduction of the share linked to personnel and administration costs in relation to the previous framework programme.

In the initial Commission proposal, this would have allowed administrative and personnel costs to be reduced to 5.5% of the programme budget, and statutory posts to be frozen at the 2002 levels. The main factor that would allow this to be achieved is the productivity gains arising from the introduction of the new instruments proposed in the next Framework Programme, namely integrated projects, networks of excellence and joint execution of national research programmes under Article 169 of the Treaty. In the Commission's original proposal, these instruments would have been used exclusively in the implementation of the thematic priorities, which constitute the largest part of the framework programme.

However, as a result of the Council Common Position on the framework programme, taking into account the amendments of the European Parliament, the use of the new instruments will not be exclusive. , In consequence, the instruments of the Fifth Framework programme will continue to be used alongside the new instruments to a greater extent than originally envisaged. These instruments generally involve small-scale contracts to be concluded directly with the Commission. The direct consequence of this decision is a much larger number of contracts to be managed by the Commission compared to the initial proposal. The exact number of additional projects to be managed cannot be known; on reasonable scenarios, it could be of the order of 25% to 33% higher than the original number envisaged.

This substantial expected increase in the number of contracts to be managed represents effectively additional tasks for the Commission. In line with the Commission decision following the Peer Group exercise not to accept additional tasks if the corresponding resources are not available, an increase in the administrative and personnel resources of the framework programme is therefore required.

In order to identify the potential sources for such additional resources, the Commission has examined various options:

- redeployment of human resources: As part of the Peer group exercise, a detailed activity-by-activity review was carried out of the management of the Framework Programme. Significant economies were identified in the indirect non-nuclear research area (98 posts in DG Research representing around 10 % of statutory personnel). These economies have now been achieved through redeployment and other measures. There appears to be no scope for further redeployment in the short to medium term.

- restructuring of the "tableau des effectifs" by converting C to A and B staff: The scope for this option was examined, however it cannot effectively be used, due to the fact that support staff in the research sector accounts for 26% of the total, which is well below the Commission average of 32%. Any further reduction in this percentage would cause difficulties in the management of research contracts.

- vacancy rate: although the current vacancy rate of 8% is higher than the Commission average of 4%, it is accounted for by the circumstances applying to one specific category of staff, i.e. support staff in category C. It reflects historical structural difficulties in recruiting such staff to the research sector, where the possibilities have up to now been strictly limited. These difficulties are addressed in the Commission's Communication of 27 December 2001 for the Reform of Research Personnel Policy and are expected to diminish in the medium-term bringing the average vacancy rate in the research sector down to the overall average of the Commission.

- externalisation: the Commission initial proposal was based largely on the exclusive use of the new instruments, whose implementation implies the externalisation of a number of management tasks to the organisations actually participating in the projects. The Common Position of the Council on the Sixth Framework Programme reintroduces into the programme the old instruments, effectively requiring the Commission to "internalise" again some of these tasks. In addition to the externalisation implied by the use of the new instruments, the Commission is examining further externalisation of specific parts of the programme, but this assumption was already built into the initial proposal for 5.5% of administrative costs. This matter will be reviewed after the Council regulation laying down the statute for executive agencies to be entrusted with certain tasks in the management of Community programmes [21] comes into effect.

[21] (COM(2000) 788 - C5-0036/2001 - 2000/0337(CNS))

The Commission has also examined the scope for further increases in productivity. Although the total number of contracts will increase significantly as compared with the original proposal, the Commission believes that, with increases in productivity and efficiency, the increase in staff resources required to manage these projects can be kept less than proportional to the increase in the workload.

In conclusion, the initial 5.5% of administrative and personnel expenses needs to be increased to cover the additional tasks which the Commission has to carry out as a result of the Common Position. This increase will primarily cover 50 additional statutory posts (28A, 15 B, 7C) of a temporary nature. Reflecting additional productivity gains, this increase represents some 3% of total statutory staff. It will also provide for an additional important investment in the development of an adequate IT system - as recommended by a recent report of the Court of Auditors.. The 50 additional temporary posts are those covered by Article 2a of the RAA and will therefore not increase the current total number of permanent posts in the Commission.

It would be possible to provide for this additional expenditure within an overall ceiling of 6.0% of the budget. The Commission therefore proposes to lower the overall ceiling for human resources and other administrative expenditure for the two indirect, non-nuclear programmes from 7.0% in the 5th Framework Programme to 6.0% in the Sixth Framework-programme. This ceiling of 6.0% still expresses the Commission's determination to rethink and improve the implementation of the Framework Programme, within the constraints of the Common Position. It is conditional on being able to achieve the degree of simplification in management proposed in the Rules of Participation proposed by the Commission in September 2001.

The Commission has the intention of reviewing this ceiling of 6% for 2006, and making recommendations, before proposing the next framework programme, in the light of the experience in implementing the 6th framework programme and of the use of the new instruments. This review will examine the scope for additional gains in efficiency in the management of the programme, including the possibility for further reductions in administrative costs.

The proposed ceiling for administrative and personnel costs requires also efficient programme and budget structures, and this reduced 6.0 % ceiling should apply for the total of the two indirect, non-nuclear research programmes. It requires equitable efforts in productivity gains in all research activities. In implementing these programmes, the Commission will ensure an appropriate share of administrative expenditure between the services responsible for managing research activities. This share will take account of the overall budget to be managed, the intensity of the use of the three new instruments, the labour-intensiveness and the latest technological developments of the activities at the various stages of their life-cycle, including their length, and the need to ensure effective management of the contracts committed under previous Framework Programmes.

7.1. Impact on human resources

>TABLE POSITION>

There is a specific establishment plan in 2001 for the indirect research actions comprising a total of 954 A posts, 273 B posts and 427 C posts, giving a total of 1654 posts (EC and EURATOM, including SAB 3/2001).

To this establishment plan should be added 156 operating budget posts with no financial impact on the budget for these programmes, under the heading of participation in the formulation and implementation of research policy.

The estimated reinforcement of 50 posts is now to be added to these figures giving a total of 1704 posts (EC and EURATOM), of which 50 are temporary, and 156 operating budget posts (see point 7).

7.2 Overall financial impact of human resource

>TABLE POSITION>

The amounts correspond to total expenditure for the duration of the programme.

7.3 Other administrative expenditure deriving from the action

>TABLE POSITION>

The amounts correspond to total expenditure for the action for the four years of implementation of this specific programme, i.e. total annual expenditure of EUR40.000 million.

I. Total (7.2 + 7.3) (EURmillion)

II. Duration of action (years)

III. Indicative annual cost (EURmillion) // 159.300

40.000

8. FOLLOW-UP AND EVALUATION

8.1 Follow-up arrangements

The specific programmes are designed to help bring about the European Research Area and they will be implemented in parallel with and in close collaboration with other Community and national activities in pursuit of the same objectives. The very nature of research and the different types of actions at different levels make it difficult to determine causes and effects, and monitoring and evaluating the result and impact are complex.

Based on the experience of the earlier programmes and methodological studies in progress, a series of instruments has already been or is being finalised in order to develop the objectives and monitor and evaluate the results and impact of the framework programme and programmes implementing it, as well as the activities relating to bringing about the ERA. The Commission will take stock of the development of these instruments in good time before the programmes are implemented.

By these means, a structured system for collection of information and statistics will be progressively put in place.

Within this context general indicators specifically adapted to the framework programme will be developed, to make it possible to evaluate in particular the contributions of the programmes in relation to the challenges facing the EU identified in point 5.1 (Investment in RTD and in knowledge, overall and in the priority fields for the EU, human RTD resources, exploitation of RTD results, coherence of national and Community research policies and with regard to research infrastructures).

In addition, more specific indicators will be identified for the different objectives of the programmes; relating in particular to the production, management and networking, exploitation and impact of the knowledge arising from the activities carried out under the programmes. First thoughts in this connection are already indicated in point 5.2 under the heading of results expected, contributions to overall objectives or potential performance parameters.

8.2 Arrangements and schedule for the planned evaluation

- Annual monitoring: The Commission will, where appropriate by calling upon suitable expertise, continuously monitor the implementation of the Framework Programme and the specific programmes in the light of the objectives set. It will assess, in particular, whether the objectives, priorities, instruments, financial resources and management are still appropriate to the changing situation.

The objective is to step up and improve the systematic collection, coherence and quality of the basic information, in order to allow efficient analysis and monitoring as well as a substantial contribution to the five-year assessment. In order to make Community research managers more aware of issues relating to the monitoring of the implementation and the results and the impact of the programmes, it is also planned to draw up a joint self-assessment format. In addition, measures will be taken to ensure greater coherence between the monitoring of the framework programme, the specific programmes and progress with the European Research Area.

- Annual report: Progress with implementing the Framework Programme and the specific programmes will be published in the annual report submitted to the European Parliament and the Council pursuant to Article 173 of the Treaty. It will set out in particular the results of the annual monitoring, a description of the activities carried out in the field of research and technological development, realisation of the European Research Area and dissemination of results during the preceding year, and the work programme for the current year.

- Five-year assessment: Before submitting its proposal for the next Framework Programme and the specific programmes, the Commission will have an assessment carried out by independent high-level experts of the implementation of Community activities during the five years preceding that assessment, the achievement of the objectives and the impact of the activities in the light of the objectives applicable to the periods in question. The Commission will communicate the conclusions of this assessment, accompanied by its observations, to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions.

9. ANTI-FRAUD MEASURES

By submitting reports which may give rise to the consolidation of revenue in the participants' accounts, the financial coordinator should make all the financial documentation available to the Commission to enable it to carry out its financial audits, indicating the timetable and the consolidation of the participants' accounts.

Where appropriate, the Commission will carry out such financial audits, in particular if it has reasons to doubt the realistic nature of the accounts vis-à-vis the progress of work described in the activity reports.

The Community's financial audits will be carried out either by its own staff or by accounting experts approved according to the law of the participant audited. The Community will chose the latter freely, while avoiding any risks of conflicts of interest which might be indicated to it by the participant subject to the audit.

In addition, the Commission will make sure in carrying out the research activities, that the financial interests of the European Communities are protected by effective checks and, in case of detected irregularities, measures as well as deterrent and proportionate sanctions.

In order to achieve this aim, rules on checks, measures and sanctions, with references to the Regulations No 2988/95,02185/96, 1073/99 and 1074/99 will be taken up in all legal instruments used in the implementation of the programmes, including the specific contracts and the model contracts.

In particular, the following points will have to be provided for in the contracts :

- the introduction of specific contractual clauses to protect the financial interests of the EC in carrying out checks and controls in relation to the awards ;

- the participation of administrative checks in the field of fraud-fighting, in accordance with Regulations Nos 2185/96, 1073/99 and 1074/99 ;

- the application of administrative sanctions for all intentional or negligent irregularities in the implementation of the contracts, in accordance with the framework Regulation No 2988/95, including a black listing mechanism ;

- the fact that possible recovery orders in case of irregularities and fraud be enforceable according to Article 256 of the EC Treaty.