COUNCIL
DECISION
of 19 December
2006
on
the Specific Programme: "Capacities"
implementing the Seventh Framework Programme
of
the European Community for research,
technological development
and demonstration activities (2007 to 2013)
(Text with
EEA relevance)
(2006/974/EC)
THE COUNCIL
OF THE EUROPEAN UNION,
Having
regard to the Treaty establishing the European Community, and in particular
Article 166(4)
thereof,
Having
regard to the proposal from the Commission,
Having
regard to the opinion of the European Parliament1,
Having
regard to the opinion of the European Economic and Social Committee2,
1 Opinion of 30 November 2006 (not yet
published in the Official Journal).
2 OJ C 185, 8.8.2006, p. 10.
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Whereas:
(1) In accordance with Article 166(3)
of the Treaty, Decision No 967/2006/EC of the
European Parliament and of the
Council of 20 december 2006 concerning
the Seventh
Framework Programme of the European
Community for research, technological
development and demonstration
activities (2007-2013) 1 (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.
(2) The Framework Programme is
structured in four types of activities: trans-national
cooperation on policy-defined
themes ("Cooperation"), investigator-driven research based
on the initiative of the
research community ("Ideas"), support of training and career
development of researchers
("People"), and support of research capacities
("Capacities").
Activities under
"Capacities" as regards indirect actions should be implemented by
this
Specific Programme.
(3) The rules for the participation of
undertakings, research centres and universities and for the
dissemination of research
results, for the Framework Programme (hereinafter referred to as
"the rules for
participation and dissemination") should apply to this Specific Programme.
1 OJ L 391, 30.12.2006.
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(4) The Framework Programme should
complement the activities carried out in the Member
States as well as other Community
actions that are necessary for the overall strategic effort
for the implementation of the Lisbon
objectives, alongside in particular those on structural
funds, agriculture, education,
training, culture, competitiveness and innovation, industry,
health, consumer protection,
employment, energy, transport and environment.
(5) Innovation and SME-related activities supported
under this Framework Programme should
be complementary to those undertaken
under the Framework Programme for
Competitiveness and Innovation which
will contribute to closing the gap between research
and innovation, and promote all forms
of innovation.
(6) Implementation of the Framework
Programme may give rise to supplementary
programmes involving the
participation of certain Member States only, the participation of
the Community in programmes
undertaken by several Member States, or the setting up of
joint undertakings or other
arrangements within the meaning of Articles 168, 169 and 171
of the Treaty.
(7) This Specific Programme should provide a
contribution to the European Investment Bank
(EIB) for the constitution of a
"Risk-Sharing Finance Facility" in order to improve access
to EIB loans.
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(8) As provided for under Article 170
of the Treaty, the Community has concluded a number
of international agreements in
the field of research and efforts should be made to
strengthen international
research cooperation with a view to further integrating the
Community into the world-wide
research community. Therefore, this Specific Programme
should be open to the
participation of countries having concluded agreements to this effect
and should be also open on the
project level, and on the basis of mutual benefit, to the
participation of entities from
third countries and of international organisations for scientific
cooperation.
(9) Research activities carried out
within this programme should respect fundamental ethical
principles, including those
which are reflected in the Charter of Fundamental Rights of the
European Union.
(10) The implementation of the Framework
Programme should contribute towards promoting
sustainable development.
(11) Sound financial management of the
Framework Programme and its implementation should
be ensured in the most effective
and user-friendly manner possible, while ensuring legal
certainty and the accessibility
of the programme for all participants, in compliance with
Council Regulation (EC, Euratom) No 1605/2002 of 25 June
2002 on the Financial
Regulation applicable to the
general budget of the European Communities1 and
Commission Regulation (EC,
Euratom) 2342/20022 laying down detailed rules for the
implementation of that Financial
Regulation and any future amendments.
1 OJ L 248, 16.9.2002, p. 1.
2 OJ L 357, 31.12.2002, p. 1.
Regulation as last amended by Commission Regulation (EC,
Euratom) No 1261/2005 (OJ L 201,
2.8.2005, p. 3).
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(12) Appropriate measures proportionate to the European Communities'
financial interests -
should be taken to monitor both
the effectiveness of the financial support granted and the
effectiveness of the utilisation
of these funds in order to prevent irregularities and fraud
and the necessary steps should
be taken to recover funds lost, wrongly paid or incorrectly
used in accordance with Council
Regulation (EC, Euratom) No 2988/95 of
18 December 1995 on the
protection of the European Communities' financial interests1,
Council Regulation (Euratom, EC)
No 2185/96 of 11 November 1996 concerning
on-the-spot checks and
inspections carried out by the Commission in order to protect the
European Communities' financial
interests against fraud and other irregularities2 and
Regulation (EC) No 1073/1999 of
the European Parliament and of the Council concerning
investigations conducted by the European Anti-Fraud
Office (OLAF)3.
(13) Since the measures necessary for the
implementation of this Decision are essentially
management measures, they should
therefore be adopted by the management procedure
provided for in Article 4 of
Council Decision 1999/468/EC of 28 June 1999, laying down
the procedures for the exercise
of implementing powers conferred on the Commission4. On
the other hand research
involving the use of human embryos and human embryonic stem
cells raises specific ethical
issues, as described in Article 4 of this Decision. Therefore,
measures for the financing of
such projects should be adopted by the regulatory procedure
provided for in Article 5 of
Decision 1999/468/EC.
1 OJ L 312, 23.12.1995, p. 1.
2 OJ L 292, 15.11.1996, p. 2.
3 OJ L 136, 31.5.1999, p. 1.
4 OJ L 184, 17.7.1999, p. 23.
Decision as amended by Decision 2006/512/EC (OJ L 200,
22.7.2006, p. 11).
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(14) The "Capacities" Specific
Programme should have its own budget line in the General
Budget of the European Communities.
(15) In the implementation of this programme
adequate attention needs to be paid to gender
mainstreaming, as well as to, inter
alia, the working conditions, transparency of
recruitment processes, and career
development as regards the researchers recruited on
projects and programmes funded under
the actions of this programme, for which the
Commission Recommendation of 11 March
2005 on the European Charter for Researchers
and on a Code of Conduct for the
Recruitment of Researchers offers a reference
framework, while respecting its
voluntary nature,
HAS ADOPTED
THIS DECISION:
Article 1
The Specific
Programme "Capacities" for Community activities in the area of
research and
technological
development, including demonstration activities, hereinafter the "Specific
Programme"
is hereby adopted for the period from 1 January 2007 to 31 December 2013.
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Article 2
The Specific
Programme shall support the activities for "Capacities", supporting
key aspects of
European
research and innovation capacities as follows:
(a) research
infrastructures;
(b) research for the benefit of small and
medium sized enterprises (SMEs);
(c) regions of knowledge;
(d) research
potential;
(e) science in society;
(f) support for the coherent development of
research policies;
(g) activities of international cooperation.
Implementation
of this Specific Programme may give rise to supplementary programmes involving
the participation
of certain Member States only, the participation of the Community in programmes
undertaken
by several Member States, or the setting up of joint undertakings or other
arrangements
within the
meaning of Articles 168, 169 and 171 of the Treaty.
The
objectives and the broad lines of these activities are set out in Annex I.
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Article 3
In
accordance with Annex II of the Framework Programme, the amount deemed
necessary for the
execution of
the Specific Programme shall be EUR 4 097 million, of which less than 6 % shall
be
for the
Commission's administrative expenditure. An indicative breakdown of this amount
is given
in Annex II.
Article 4
1. All research activities carried
out under the Specific Programme shall be carried out in
compliance with fundamental
ethical principles.
2. The following fields of research
shall not be financed under this programme:
research activity aiming
at human cloning for reproductive purposes,
research activity
intended to modify the genetic heritage of human beings which
could make such changes
heritable1,
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.
1 Research relating to cancer
treatment of the gonads may be financed.
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3. Research on human stem cells, both adult and embryonic, may be
financed, depending
both on the contents of the
scientific proposal and the legal framework of the Member
State(s) involved.
Any application for financing for
research on human embryonic stem cells shall include, as
appropriate, details of licensing and
control measures that will be taken by the competent
authorities of the Member States as
well as details of the ethical approval(s) that will be
provided.
As regards the derivation of human
embryonic stem cells, institutions, organisations and
researchers shall be subject to
strict licensing and control in accordance with the legal
framework of the Member State(s)
involved.
4. The fields of research set out above
shall be reviewed for the second phase of this
programme (2010-2013) in the light of
scientific advances.
Article 5
1. The Specific Programme shall be
implemented by means of the funding schemes
established in Annex III to the
Framework Programme.
2. Annex III to this Specific Programme
sets out the arrangements for a grant to the European
Investment Bank for the establishment
of a Risk-Sharing Finance Facility.
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3. Annex IV to this Specific Programme sets out a possible
initiative for the joint
implementation of national research
programmes that could be the subject of a separate
decision on the basis of Article 169
of the Treaty.
4. The rules for participation and dissemination shall apply to
this Specific Programme.
Article 6
1. The Commission shall draw up a work
Programme for the implementation of the Specific
Programme, setting out in greater detail the objectives and scientific
and technological
priorities set out in Annex I, the
funding scheme to be used for the topic which proposals
are invited, and the timetable for
implementation.
2. The Work Programme shall take account
of relevant research activities carried out by the
Member States, associated countries
and European and international organisations, and the
achievement of European added value as
well as the impact on industrial competitiveness
and the relevance for other Community
policies. It shall be updated where appropriate.
3. Proposals for indirect actions under
the funding schemes shall be evaluated and projects
selected considering the criteria set out in Article 15(1a)
of the rules for participation and
dissemination.
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4. The Work Programme may identify:
(a)
organisations that receive subscriptions in the form of a membership
fee;
(b)
support actions for the activities of specific legal entities.
Article 7
1. The Commission shall be responsible for
the implementation of the Specific Programme.
2. The management procedure laid down in
Article 8(2) shall apply for the adoption of the
following measures:
(a)
the work programme referred to in Article 6 including the funding
schemes to be
used, the content of the calls
for proposals and the evaluation and selection criteria to
be applied;
(b)
any adjustment to the indicative breakdown of the amount as set out in
Annex II;
(c)
the approval of the funding of activities referred to in points (a) to
(g) of Article 2,
where the estimated amount of
the Community contribution under this programme is
equal to, or more than, EUR 0,6
million;
(d)
the drawing up of the terms of reference for the evaluations provided
for in
Articles 7(2) and 7(3) of the Framework
Programme.
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3. The regulatory procedure laid down in
Article 8(3) shall apply for the approval of the
funding of activities involving the
use of human embryos and human embryonic stem cells.
Article 8
1. The Commission shall be assisted by a
Committee
2. Where reference is made to this
paragraph, Articles 4 and 7 of Decision 1999/468/EC shall
apply.
The period laid down for in Article
4(3) of Decision 1999/468/EC shall be set at two
months.
3. Where reference is made to this
paragraph, Articles 5 and 7 of Decision 1999/468/EC shall
apply.
The period laid down for in Article
5(6) of Decision 1999/468/EC shall be set at two
months.
4. The Commission shall regularly inform
the Committee of the overall progress of the
implementation of the Specific
Programme, and shall provide it with timely information on
all RTD actions proposed or funded
under this programme as specified in Annex V.
5. The Committee shall adopt its rules of
procedure.
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Article 9
The
Commission shall arrange for the independent monitoring, assessment and review
provided for
in Article 7
of the Framework Programme to be conducted concerning the activities carried
out in
the fields
covered by the Specific Programme.
Article 10
This
Decision shall enter into force on the third day following its publication in
the Official Journal
of the
European Union.
This
Decision is addressed to the Member States.
Done at Brussels,
19 December 2006.
For the Council
The
President
K.
KORKEAOJA
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ANNEX I
SCIENTIFIC AND
TECHNOLOGICAL OBJECTIVES,
BROAD LINES OF THE
THEMES AND ACTIVITIES
INTRODUCTION
This
Specific Programme will enhance research and innovation capacities throughout
Europe and
ensure their
optimal use. This aim will be achieved through:
Optimising the use and development of research infrastructures,
Strengthening innovative capacities of
SMEs and their ability to benefit from research,
Supporting the development of regional
research-driven clusters,
Unlocking the research potential in
the EU's convergence and outermost regions,
Bringing science and society closer
together for the harmonious integration of science and
technology in European society,
Supporting the coherent development of
research policies, and
Actions and measures in support of
international cooperation.
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The
principle of sustainable development and gender equality will be duly taken
into account.
Furthermore,
considerations of the ethical, social, legal and wider cultural aspects of the
research to
be
undertaken and its potential applications, as well as socio-economic impacts of
scientific and
technological
development and foresight, will where relevant form a part of the activities
under this
Specific
Programme.
Actions for
the coordination of non-Community programmes may be undertaken in this Specific
Programme
making use of the ERA-NET scheme and the participation of the Community in
jointly
implemented
national research programmes (Article 169 of the Treaty) as described in the
Cooperation
Specific Programme.
Synergies
and complementarities will be sought with other community policies and
programmes
such as
Community's regional and cohesion policy, the Structural Funds, the
Competitiveness and
Innovation
programme and relevant Education and Training Programmes1.
1 With a view to facilitating the
implementation of the programme, for each meeting of the
programme committee as defined in
the agenda, the Commission will reimburse, in
accordance with its established
guidelines, the expenses of one representative per Member
State, as well as one
expert/adviser per Member State for those agenda items where a
Member State requires specific expertise.
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Ethical
aspects
During the
implementation of this Specific Programme and in the research activities
arising from it,
fundamental
ethical principles are to be respected. These include, inter alia, the
principles reflected
in the
Charter of fundamental Rights of the EU, including the following: protection of
human
dignity and
human life, protection of personal data and privacy, as well as animals and the
environment
in accordance with Community law and the latest versions of relevant
international
conventions,
guidelines and codes of conduct, e.g. the Helsinki Declaration, the Convention
of the
Council of
Europe on Human Rights and Bio-medicine signed in Oviedo on 4 April 1997 and
its
Additional
Protocols, the UN Convention on the Rights of the Child, the Universal
Declaration on
the human
genome and human rights adopted by UNESCO, UN Biological and Toxin Weapons
Convention
(BTWC), International Treaty on Plant Genetic Resources for Food and
Agriculture,
and the
relevant World Health Organisation (WHO) resolutions.
Account will
also be taken of the Opinions of the European Group of Advisers on the Ethical
Implications
of Bio-technology (1991-1997) and the Opinions of the European Group on Ethics
in
Science and
New Technologies (as from 1998).
In
compliance with the principle of subsidiarity and the diversity of approaches
existing in Europe,
participants
in research projects must conform to current legislation, regulations and
ethical rules in
the
countries where the research will be carried out. In any case, national
provisions apply and no
research
forbidden in any given Member State or other country will be supported by
Community
funding to
be carried out in that Member State or country.
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Where
appropriate, those carrying out research projects must seek the approval of the
relevant
national or
local ethics committees prior to the start of the RTD activities. An ethical
review will
also be
implemented systematically by the Commission for proposals dealing with
ethically
sensitive
issues or where ethical aspects have not been adequately addressed. In specific
cases an
ethical
review may take place during the implementation of a project.
No funding will
be granted for research activities that are prohibited in all the Member
States.
The Protocol
on protection and welfare of animals annexed to the Treaty requires the
Community to
pay full
regard to the welfare requirements of animals in formulating and implementing
Community
policies
including research. Council Directive 86/609/EEC of 24 November 1986 on the
approximation
of laws, regulations and administrative provisions of the Member States
regarding
the
protection of animals used for experimental and other scientific purposes1
requires that all
experiments
be designed to avoid distress and unnecessary pain and suffering to the
experimental
animals; use
the minimum number of animals; involve animals with the lowest degree of
neurophysiological
sensitivity; and cause the least pain, suffering, distress or lasting harm.
Altering
the genetic
heritage of animals and cloning of animals may be considered only if the aims
are
ethically
justified and the conditions are such that the animals' welfare is guaranteed
and the
principles
of bio-diversity are respected.
1 OJ L 358, 18.12.1986, p. 1.
Directive as amended by Directive 2003/65/EC of the European
Parliament and of the Council (OJ L
230, 16.9.2003, p. 32).
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During the
implementation of this programme, scientific advances and national and
international
provisions
will be regularly monitored by the Commission so as to take account of any
developments.
Research on
ethics related to scientific and technological developments will be carried out
in the
"Science
in Society" part in this programme.
1. RESEARCH
INFRASTRUCTURES
Objective
Optimising
the use and development of the best research infrastructures existing in
Europe, and
helping to
create in all fields of science and technology new research infrastructures of
pan-European
interest needed by the European scientific community to remain at the forefront
of
the
advancement of research, and able to help industry to strengthen its base of
knowledge and its
technological
know how.
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Approach
For Europe
to become the most competitive and dynamic knowledge based economy in the
world,
modern and
effective research infrastructures are critical in achieving science and
technology
leadership.
Research infrastructures play a key role in the creation of knowledge and
technology
and in their
diffusion, application and exploitation, thus fostering innovation and
contributing to the
development
of the European Research Area. Access to them is more and more indispensable in
all
fields of
science and technology and for evidence-based policy-making. Many Research
Infrastructures
have evolved from large facilities dedicated almost exclusively to a specific
discipline,
into service facilities for a broad variety of scientific communities. Enabled
by
information
and communication technology, recent concepts of infrastructure are also
expanding to
include
distributed systems of hardware, software and contents with an enormous
cumulative value
as
repositories of knowledge in many diverse disciplines.
The proposed
action will in particular contribute to the development, exploitation and
preservation
of
knowledge, through its support to research infrastructures based both on a
bottom-up,
excellence-driven
approach and a targeted approach. The strategic upgrade of information and
communication
based e-Infrastructures and virtual infrastructures is also seen as a driver in
changing the
way science is conducted. Member States will remain central in the development
and
financing of
infrastructures.
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The term
"Research infrastructures" in the context of the Community Framework
Programme for
Research and
Technological Development refers to facilities, resources or services that are
needed
by the
research community to conduct research in all scientific and technological
fields. This
definition
covers, including the associated human resources:
major equipment or set of instruments
used for research purposes,
knowledge-based resources such as
collections, archives, structured information or systems
related to data management, used in
scientific research,
enabling Information and Communication
Technology-based infrastructures such as Grid,
computing, software and
communications,
any other entity of a unique nature
that is used for scientific research.
Only
research infrastructures or networks of research infrastructures with clear
interest for the
European
scientific community (academic, public and industrial), in terms of performance
and
access, can
be considered for support. They must contribute significantly to the
development of
European
research capacities.
Regarding
thematic research infrastructures in the "Cooperation" Specific
Programme, overall
coordination
will be ensured by this programme.
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Activities
The
activities will cover the following lines of action:
optimising the utilisation of existing
research infrastructures and improving their
performance,
foster the development of new research
infrastructures (or major upgrades to existing ones)
of pan-European interest, building
primarily on the work of ESFRI (European Strategy
Forum on Research Infrastructures),
support measures including support to
emerging needs.
1.1. Existing research infrastructures
The research
infrastructure actions will aim at strengthening European capacities and
performance
of specific
research infrastructures, and increasing user communities' involvement in
opportunities
offered by
research infrastructures and their commitment towards investment in top-level
research.
The
activities will consist of the support to an optimisation of the European
Research Infrastructures
through
"Integration" of capacities and efforts, leading to the most
effective use of facilities,
resources
and services in all fields of science and technology and fostering
"Transnational Access"
to existing
infrastructures.
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1.1.1.
Integrating
Activities
World-class
research infrastructures need huge and long-term investments in resources
(human and
financial).
They should be used and exploited by an as large as possible community of
scientist and
customer
industries on a European scale. In addition, the optimisation and reinforcement
of the
Research
Infrastructures capacities and performance at Community level need to be
continuously
promoted and
improved to respond to emerging and growing scientific needs. This can be
better
achieved
through the stimulation of their use and development, including upgrades, in a
coordinated
way.
The
Community should contribute to this objective through the promotion of
Integrating Activities.
They will
ensure that European researchers, including researchers from industry,
including SMEs
and
peripheral and outermost regions, may have access to the best research
infrastructures to
conduct
their research, by supporting the integrated provision of infrastructure
related services to
the research
community at European level and at international level where appropriate.
Integrating
activities
should also aim at structuring better, on a European scale, the way research
infrastructures
operate, and
at fostering their joint development in terms of capacity and performance.
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Integrating
Activities for existing research infrastructures will be implemented through:
"bottom-up" calls to catalyse
the mutual coordination and the pooling of resources among
infrastructures operators with
the aim of fostering a culture of cooperation between them.
Such activities should also aim
at structuring better, on a European scale, the way research
infrastructures operate and the
way they can be accessed by potential users, at fostering
their joint development in terms
of capacity and performance and at promoting their
coherent and cross-disciplinary
use,
"targeted calls" when
such focused actions will be clearly beneficial to support potentially
important research
infrastructures in the long term, and speeding up their emergence at
Community level. They will be implemented in close cooperation
with the activities taking
place in the thematic areas to
ensure that all the actions undertaken at European level in the
Community framework respond to
the needs for research infrastructures in their respective
area. Domains can already be
identified1 for better use and strengthening of existing
European infrastructures,
fulfilling long-term strategic needs of academic, public and
industrial research stakeholders
and the society at large, such as for life sciences and its
applications, information and
communication technologies, the development of industrial
research including metrology,
support for sustainable development and in particular in the
area of environment, and for
social sciences and humanities.
1 Also identified by ESFRI.
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1.1.2. ICT
based
e-Infrastructures
The
deployment of e-Infrastructures provides essential services for the research
communities, based
upon complex
processes designed to bring the power of distributed ICT based resources
(computing,
connectivity, instrumentation) to virtual communities. The reinforcement of a
European
approach and of related European activities in this domain can make a
significant
contribution
to boosting European research potential and its exploitation, consolidating
e-Infrastructures
as a cornerstone of the European Research Area, a "forerunner" of cross
discipline
innovation
and a driver in changing the way science is conducted. It may also contribute
to integrate
research
teams from peripheral and outermost regions.
The
activities proposed for e-Infrastructure, based on targeted calls for proposals,
will aim at
fostering
the further development and evolution of high-capacity and high-performance
communication
(GANT) and grid empowered infrastructures as well as of European high-end
computing
capabilities stressing the need to support the reinforcement of world class
distributed
supercomputing
facilities, data storage and advanced visualisation facilities. The activities
will also
aim at
fostering the adoption by user communities where appropriate, enhancing their
global
relevance
and increasing the level of trust and confidence, building on the achievements
of GANT
and Grid
infrastructures and based on open standards for interoperability.
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It will be
necessary to support in a coordinated way digital libraries, archives, data
storage, data
curation and
the necessary pooling of resources, at European level, to organise the data
repositories
for the
scientific community and future generations of scientists. The aspects of
enhanced trust and
confidence
of the data layer of the e-Infrastructures will be addressed. The activities
proposed will
also aim at
anticipating and integrating new requirements and solutions to facilitate the
emergence
of
large-scale test-beds designed to experiment with new disruptive technologies
and to address
new user
requirements, including e-learning. The eIRG (e-Infrastructure Reflection Group)
will
assist on a
regular basis with strategic recommendations.
1.2. New research infrastructures
This
Specific Programme will help to promote the creation of new research
infrastructures
(including
major upgrades of existing ones) focusing mainly on preparatory phases and on
"unique"
infrastructures
with a crucial and pan-European impact for the development of relevant
scientific
fields in
Europe.
1.2.1. Design Studies for new research
infrastructures
To promote
the creation of new research infrastructures, though a bottom-up approach of
calls for
proposals,
by funding exploratory awards and feasibility studies for new infrastructures.
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1.2.2. Support to construction of New
Infrastructures
To promote
the creation of new research infrastructures in accordance with the principle
of
"variable
geometry", building primarily upon the work conducted by ESFRI on the
development of
a European
roadmap for new research infrastructures. The Work Programme will identify
priority
projects for
possible Community support.
The activity
related to the construction of new infrastructures will be implemented in a
two-stage
approach on
the basis of a list of criteria established in the Framework Programme.
* Stage 1: Supporting the preparatory phase
This first
stage will involve calls restricted to the priority projects identified by the
Work
Programme.
The preparatory phase would involve the preparation of the detailed
construction plans,
of the legal
organisation, of the management and multi-annual planning of the forecasted
research
infrastructure
and the final agreement between stakeholders. During this preparatory phase the
Commission
will act as a "facilitator", in particular, in facilitating financial
engineering mechanisms
for the
construction phase.
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Stage 2:
Supporting the construction phase
In the
second stage, building on the achieved technical, legal, administrative and financial
agreements,
using notably the complementarity between national and Community instruments
(such
as the
Structural funds or the European Investment bank) and taking into account,
where
appropriate,
the potential for scientific excellence of the convergence regions as well as
the
outermost
regions, the construction plans would be implemented with the possible
involvement of
private
financial institutions. The Framework Programme financial support for the
construction
phase may be
provided to those priority projects for which there is a critical need for such
support.
In these
cases, decisions will be taken through a mechanism that will depend on the
nature and the
level of
funding required (e.g. direct grant; European Investment Bank loans, the access
to which
may be
facilitated through the Risk-Sharing Finance Facility (Annex III); Article 171
of the Treaty).
1.3. Support Measures, including support to
emerging needs
Strong
coordination within the EU in formulating and adopting a European policy on
Research
Infrastructures
is key to the success of this activity. Throughout the whole programme there
will
therefore be
measures to support such coordination, including supporting the development of
international
cooperation.
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These
activities would be carried out mainly following periodic calls for proposals.
They would be
aimed at
stimulating, in particular, the coordination of national programmes through
ERA-NET
actions, at
supporting analysis of emerging needs, at supporting the work of ESFRI and
eIRG, at the
effective
implementation of the programme (e.g. supporting conferences, expert contracts,
impact
studies,
etc.) as well as the international dimension of the activities carried out
under this Specific
Programme.
In the context of international cooperation, the activities carried out under
this specific
part of the
capacity programme will also allow to identify the needs of specific third
countries and
mutual
interests on which specific cooperation actions could be based and, on the
basis of targeted
calls, to
develop cross-links between key research infrastructures in third countries and
those within
the European
Research Area.
2. RESEARCH FOR THE BENEFIT OF SMEs
Objectives
Strengthening
the innovation capacity of European SMEs and their contribution to the
development
of new
technology based products and markets by helping them outsource research,
increase their
research
efforts, extend their networks, better exploit research results and acquire
technological
know how
bridging the gap between research and innovation.
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Approach
SMEs are at
the core of European industry. They should be a key component of the innovation
system and
in the chain of transformation of knowledge into new products, processes and
services.
Faced with
an increasing competition in the internal market and globally, European SMEs
need to
increase
their knowledge and research intensity, enhance the exploitation of research,
expand
geographically
their business activities and internationalise their knowledge networks. Most
Member
States' actions relevant to SMEs do not encourage and support trans-national
research
cooperation
and technology transfer. Actions at EU level are necessary to complement and
enhance
the impact
of actions undertaken at national and regional level.
Specific
actions will be implemented to support SMEs or SME associations in need of
outsourcing
research:
mainly low-to medium-technology SMEs with little or no research capability.
Research-intensive
SMEs may participate as providers of research services or outsource research to
complement
their core research capability. These actions will be carried out in the entire
field of
science and
technology with a bottom-up approach. Actions will include support of
demonstration
and other
activities to facilitate the exploitation of research results, ensuring
complementarity with
the
Competitiveness and Innovation Programme. The evaluation of the project
proposals will take
due account
of the expected economic impact for the SMEs. Financial means will be allocated
through two
schemes: Research for SMEs and Research for SME associations.
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The first
targets mainly low- to medium-technology SMEs with little or no research
capability, but
also research
intensive SMEs who need to outsource research to complement their core research
capability.
The second targets SME associations which are normally best placed to know or
identify
the common
technical problems of their members, to act on their behalf, and to promote the
effective
dissemination and take-up of the results.
Coordination
and support actions under "Research for the benefit of SMEs" will
include the
coordination
of national/regional programmes targeting SMEs and supporting best practice,
dissemination
and exploitation of results, enhancing access of SMEs to the Seventh Framework
Programme
and assessing the impact.
Actions
could also build upon relevant national research programmes, complementing the
research
activities
below1.
In addition
to these specific actions, the participation of SMEs across the Framework
Programme
will be
encouraged and facilitated. The research needs and potential of SMEs are duly
taken into
account in
developing the content of the thematic areas of the "cooperation"
programme, which will
be
implemented through projects of different sizes and scope depending on the
field and topic.
During the
implementation of the Community RTD Framework Programme, complementarity and
synergy will
be ensured with the actions of the Competitiveness and Innovation Framework
Programme to
encourage and facilitate the participation of SMEs in the Community RTD
Framework
Programme.
1 This could include possible joint
implementation of programmes targeting research
performing SMEs, building on
Eureka.
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Activities
The
following two SME specific schemes will be implemented:
* Research for SMEs
This scheme
supports small groups of innovative SMEs to solve common or complementary
technological
problems. Projects, which are relatively short term, must be centred on the
innovation
needs of the
SMEs which outsource research to RTD performers and must demonstrate a clear
exploitation
potential for the SMEs concerned.
* Research for SME associations
This scheme
supports SME associations to develop technical solutions to problems common to
a
large number
of SMEs in specific industrial sectors or segments of the value chain through
research
needed, for
example, to develop or conform to European norms and standards, and to meet
regulatory
requirements in areas such as health, safety and environmental protection.
Projects,
which can
have a duration of several years, must be driven by the SME associations which
outsource
research to RTD performers for the benefit of their members and must involve a
number
of
individual SMEs.
* Common features of the schemes
Other enterprises and end-users can
participate in the schemes if it is in the interest of the
SMEs or the SME associations.
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The projects should include, in
addition to research, activities to promote the take-up and
effective exploitation of the research results, such as,
testing, demonstration, training,
technology transfer, knowledge
management and IPR protection. For Research for SME
associations, projects should also
include activities to disseminate effectively the research
results to the members of the SME
associations, and if appropriate, more widely.
Special rules will apply for ownership
and access rights for the two schemes.
The clear
focus will be to support research projects. In addition, support will be
granted to national
schemes
providing financial means to SMEs or SME associations to prepare proposals for
actions
under
"Research for the benefit of SMEs" with the aim of encouraging the
establishment of new
national
schemes or expansion of the existing ones.
3. REGIONS OF KNOWLEDGE
Objectives
Strengthening
the research potential of European regions, in particular by encouraging and
supporting
the development, across Europe, of regional "research-driven
clusters" associating
universities,
research centres, enterprises and regional authorities.
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Union L 400/331
Approach
Regions are
increasingly recognised as important players in the EU's research and
development
landscape.
At the same time evidence indicates that investment in R&D improves
regional
attractiveness
while increasing competitiveness of local businesses. R&D intensive
clusters rang
among the
best drivers of such investment activity resulting in direct gains in local
competitive
advantage
with beneficial effects in terms of growth and jobs. The 2003 Pilot Action Regions
of
Knowledge1
confirmed the importance of such clusters and the interest to support and
encourage
their
development.
This action
will enable European regions to strengthen their capacity for investing in RTD,
while
maximising
their potential for a successful involvement of their stakeholders in European
research
projects and
facilitating the emergence of clusters, thereby promoting regional development
in
Europe.
Actions will facilitate the creation of regional clusters which contribute to
the development
of the
European Research Area. Increased and more focused use of Structural Funds for
R&D
investment
and activities will be also pursued by improving synergies between Regional and
Research
Policies primarily by producing regional research strategies which regional
authorities can
integrate
into their economic development strategy.
Attention
will be paid specifically to cooperation between adjacent regions in different
Member
States.
1 A pilot action on "Regions of
Knowledge" was introduced into the 2003 Community budget
at the initiative of the European
Parliament. This was followed by another Call for proposals
under the 6th Community FP for RTD (2004) under the
"Coherent development of policies"
programme.
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"Regions
of Knowledge" aims at supporting the definition and implementation of
optimal policies
and
strategies for the development of R&D driven clusters. In particular it
will improve the
relevance
and effectiveness of regional research agendas through mutual learning; promote
and
strengthen
cooperation between clusters; and contribute to strengthening the sustainable
development
of existing R&D driven clusters as well as foster seed-beds to create new
ones, in
particular
in emerging Regions of Knowledge. Support will be provided in particular for
demand-driven
and problem-oriented projects addressing specific technological areas or
sectors1.
This action
will apply to all regions, including Convergence2 ones.
Activities
Projects
would normally involve regional authorities, regional development agencies,
universities,
research
centres, and industry as well as where appropriate technology transfer,
financial or civil
society
organisations. Regions of Knowledge projects will cover the following activities:
1 This does not exclude the
combination of different technological areas where relevant.
2 Convergence regions are those set
out in Article 5 of Council Regulation (EC)
No 1083/2006 of 11 July 2006 laying
down general provisions on the European Regional
Development Fund, the European
Social Fund and the Cohesion Fund (OJ L
239,
1.9.2006, p. 248). This includes
"convergence" objective regions, regions eligible for
funding from the Cohesion fund,
and outermost regions.
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* Analysis, development and implementation of
research agendas of regional or cross-border
clusters and cooperation between them.
These will include analysis as well as an implementation
plan focusing on R&D capacity and
priorities. Projects will use foresight, benchmarking or other
methods, demonstrating expected benefits,
such as strengthened links between clusters involved,
optimised involvement in European
research projects and higher impacts on regional
development. They could also prepare for
interregional pilot actions. These activities aim in
particular at encouraging improved
complementarity between Community regional funds and
other Community and national funds.
* "Mentoring" of regions with a less
developed research profile by highly developed ones based
on R&D focused cluster building.
Transnational regional consortia will mobilise and associate
research actors in academia, industry and
government to deliver "guidance" solutions with and
for technologically less developed
regions.
* Initiatives to improve integration of
research actors and institutions in regional economies,
through their interactions at cluster
level. These will include transnational activities to improve
links between research stakeholders and
the local business communities as well as relevant
activities between clusters. With the aim
of demonstrating benefits of integration, these activities
could contribute to the identification of
RTD complementarities.
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Support will
also be provided for activities to promote systematic mutual information
exchange as
well as
interactions between similar projects and where appropriate, with actions of
other relevant
Community
programmes (e.g. analysis and synthesis workshops, round-tables, publications),
emphasising
the involvement notably of candidate and Associated Countries as well as Member
States which
joined the EU after 1 May 2004.
4. RESEARCH
POTENTIAL
Objective
Stimulating
the realisation of the full research potential of the enlarged Union by
unlocking and
developing
existing or emerging excellence in the EUs convergence regions and outermost
regions,
and helping
to strengthen the capacities of their researchers to successfully participate
in research
activities
at Community level.
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Approach
In order to
support the realisation of the full research potential of the enlarged Union, a
dedicated
action will
seek to unlock the potential of research groups, in particular in the
convergence regions
and
outermost regions of the European Union, that are currently not using their
possibilities to the
full or that
are in need of new knowledge and support to exploit their potential. The
actions will
very much
build on past and existing measures such as the European Centres of Excellence
in the
then
Acceding and Candidate Countries in the 5th FP and Marie Curie Host fellowships
for
Transfer of
Knowledge. They will also complement efforts to be undertaken by the European
Social
Fund under
the new Cohesion Policy (2007-2013) focusing on developing human potential for
research at
national level in the eligible areas.
By focusing
on the strengthening and expansion of the collaborations of such research
groups with
research
centres in other EU Member States or associated countries, an important
contribution will
be made to
unlocking their potential and with that to their long-term sustained
development.
Through
optimising their international exposure and recognition, leadership potential
and quality of
their
scientists, the visibility of these research groups will be increased and their
participation in the
European
Research Area facilitated.
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Activities
The action
will favour in particular strategic partnerships, including twinning, between
research
groups both
from public and private sector, in the convergence regions or outermost regions
of the
EU, selected
on the basis of quality and high potential, with well established research
groups
elsewhere in
Europe. Particular emphasis will be put on the expected longer-term effects of
the
partnership
both at EU and regional level. With a view to realising their full potential
(i.e. to
strengthen
their knowledge, to develop additional competence including in research
management,
or to gain
visibility), the action will comprise support to the selected research groups
in the
qualifying
regions in the frame of the research programmes developed within the strategic
partnerships
for:
* exchange know-how and experience through
trans-national two-way secondments of research
staff between the selected centres in the
qualifying regions and one or more partner organisations
in another EU Member State or associated
country, with in-built obligatory return mechanisms
for seconded staff originating from the
selected centres in the qualifying regions;
* the recruitment by the selected centres, of
existing or emerging excellence, of incoming
experienced researchers, including managers, for involvement in
transfer of knowledge and/or in
the training of researchers, including as
a means to particularly encourage the return of nationals
having left the country;
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* the acquisition and development of certain
research equipment and the development of a material
environment for the selected centres of
existing or emerging excellence in support of the
research programmes developed within the
strategic partnership;
* the organisation of workshops and
conferences to facilitate knowledge transfer at regional,
national and international level involving both the selected
centres' own research staff and
invited researchers, from other countries
in the frame of the development of the selected centres'
international training capacity and
reputation; participation of the research staff of the centres
selected under the scheme at
international conferences or short term training events, for
knowledge sharing, network building and
to expose them to a more international environment;
* dissemination and promotional activities to
ensure increased visibility of the selected centres and
their activities.
In addition,
and independently of this support measures, the action will provide evaluation
facilities
through
which any research centre in the qualifying regions, whether or not applying
for funding,
can obtain
an international independent expert evaluation of the level of their overall
research
quality and
infrastructures. This evaluation would be carried out by high-level,
independent
international
experts nominated by the Commission.
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5. SCIENCE IN SOCIETY
Objective
With a view
to building an open, effective and democratic European Knowledge society, the
aim is
to stimulate
the harmonious integration of scientific and technological endeavour and
associated
research
policies in the European social web, by encouraging at European scale
reflection and
debate on
science and technology, and their relation with the whole spectrum of society
and culture.
Approach
"Science
in society" represents a significant expansion and extension of the pilot
work undertaken
in the Sixth
Framework Programme, commensurate with the raised ambition of the European
research
policy.
The
development of European societies largely depends on their capacity to create,
exploit and
disseminate
knowledge and, from there, continuously to innovate. Scientific research, as
part of the
"knowledge
triangle" of research, education and innovation, plays a major role in
this regard, and
should
remain one of the driving forces in promoting growth, welfare and sustainable
development.
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To achieve
this aim, it is imperative that a social and cultural environment conducive to
successful
and
exploitable research be created. This means that legitimate societal concerns
and needs are
taken on
board, entailing an enhanced democratic debate with a more engaged and informed
public,
and better
conditions for collective choices on scientific issues, and the possibility for
civil society
organisations
to outsource research in relation to their concerns. It should also establish a
climate
favourable
to scientific vocations, a new surge of research investments and the subsequent
dissemination
of knowledge upon which the Lisbon strategy is built. This activity will also
aim at
the full
integration of women into the scientific world.
This section
of the Capacities programme will then focus on the development of a set of
conditions
by which
such a conducive environment becomes the norm rather than the exception in
Europe.
The risk of
a scientific divide within our societies needs to be addressed in the first
place. It
separates
those who do not have access to relevant knowledge from the few who do; those
who are
not able to
influence policy-making in research from those who are. This leads to the
ambiguous
feelings
expressed by citizens regarding the potential benefits from science and
technology, and
their
effective subordination to public scrutiny. On the one hand, they readily
invite more research
to address
the outstanding problems of the present time (diseases, pollution, epidemics,
unemployment,
etc) and to better anticipate their possible impacts in the future. On the
other hand,
they cannot
help showing distrust for certain uses of science and possible interferences of
vested
interests in
decision-making processes.
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Among the
causes for an often less than satisfactory integration of science in society
are the
following:
* insufficient public participation in
priority-setting and in establishing science policy directions,
which would allow a wider debate on
possible associated risks and consequences;
* growing reservations with regard to certain
scientific developments, the feeling of lack of
control, and open questions concerning
the respect of fundamental values;
* the perceived isolation of the world of
science from the everyday realities of economic and social
life;
* questioning the objectivity of scientific
evidence made available to public policy-making;
* insufficient quality of scientific
information available to the public.
The chosen
approach aims to:
render more inclusive and
transparent the mechanisms for access to, and validation of the
expertise necessary to underpin more robust policies,
set landmarks for an ethically
sound research endeavour in the light of fundamental rights,
allow Europe to play a more
active role on the world stage, in the debate and promotion of
shared values, equal
opportunities and societal dialogue,
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bridge the gap between those who have
a scientific education and those who do not,
promote a taste for scientific
culture in the direct neighbourhood of all citizens (calling
upon cities, regions, foundations,
science centres, museums, civil society
organisations, etc.),
encourage a societal dialogue on
research policy, and stimulate civil society organisations
to become more involved in research
activities,
explore ways to improve governance of
the European research and innovation system,
provide an image of science and
researchers which is meaningful to all, especially to
young people,
promote the progress of women in
scientific careers and better use their professional and
scientific talents for the benefit of
all,
renew science communication, favouring
modern means to achieve higher impact, helping
scientists to work closely with media
professionals.
"Science
in Society" will be implemented through:
* policy-related actions and research
supported directly from this theme;
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* cooperation between Member States,
identifying common goals, and reinforcing national
practices, in the spirit of the open
method of coordination;
* promoting, supporting and monitoring the
uptake and impact of "Science in Society" issues in
other parts of the Framework Programme1.
The overall coordination of issues related to Science
in Society both across the Framework
Programme and within other relevant Community
activities (e.g. relating to education
and culture) will be ensured by this theme.
Three action
lines will be pursued.
First action
line: A more dynamic governance of the science and society relationship
* Strengthening and improving the European
science system
There is
such an expectation placed upon the European science system to sustain our
innovation
potential
that society must gain a deeper insight into its constituents, its own economy,
its
regulations
and its habits. Three aspects of broad significance, focusing on the actors and
dynamics
of the
European Research Area, will be tackled:
improving the use, and monitoring
the impact, of scientific advice and expertise for
policy-making in Europe
(including risk management), and developing practical tools and
schemes (e.g. electronic
networks),
promoting trust and
self-regulation in the scientific community,
1 Include the running of the ethical
review procedures for proposals addressing sensitive
issues under the 'Cooperation'
specific programme.
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encouraging the debate on information
dissemination, including access to scientific results
and the future of scientific
publications, taking also into account measures to improve
access by the public.
* Broader engagement to anticipate and clarify
political, societal and ethical issues
Society's
aspirations and concerns, and fundamental ethical principles, need to be better
integrated
throughout
the research process, creating a more secure and constructive environment for
researchers
and for society as a whole. Three aspects come into play, as follows:
broader engagement on science-related
questions,
conditions for an informed debate on
ethics and science,
greater emphasis on discussion within
the research community of the social aspects of
research.
* Better understanding of the place of science
and technology (S&T) in society
In order to
address the relationship between science and society through sound policies,
the
knowledge
accumulated in the history, S&T heritage, sociology and philosophy of
sciences needs to
be expanded,
consolidated and spread at European level. To this end, scholars from these
disciplines
should form networks to structure research and debates capable of revealing the
real
participation
of science in building a European society and identity, stressing in
particular:
relationships between science,
democracy and law,
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research on ethics in science and
technology,
the reciprocal influence of science
and culture,
the role and the image of scientists,
public understanding of science and
promotion of public debate.
* The evolving role of universities
Work will
aim at supporting the appropriate reforms enabling universities to fully play
their role in
the
creation, dissemination and sharing of knowledge, together with industry and
society at large (in
line with
Community initiatives on university-based research). The emphasis will be on:
defining better framework conditions
for more efficient university research,
promoting the establishment of
structured partnerships with the business sector, having
regard to universities' research
management capacities,
reinforcing knowledge-sharing between
universities and society at large.
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Second
action line: Strengthening potential, broadening horizons
* Gender and research
Based on
policy orientations contained in the Commission staff working paper and Council
conclusions1
and other relevant Community policy orientations, a framework for positive
actions
will be
implemented to reinforce the role of women in scientific research, and to
enhance the gender
dimension of
research. This framework will provide the context for policy debate,
monitoring,
coordination
and underpinning research. It will comprise:
strengthening the role of women
in scientific research and in scientific decision-making
bodies,
gender dimension of research,
mainstreaming gender in Community
research policy and programmes.
1 "Women and science: excellence
and innovation gender equality in
science"
SEC(2005) 370; Council conclusions
of 18 April 2005.
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* Young people and science
Activities
will be designed to attract more people from all backgrounds into scientific
careers, foster
links across
generations, and raise the level of scientific literacy generally. European
exchanges and
cooperation
will concentrate on science teaching methods adapted to young audiences,
support for
science
teachers (concepts, materials), developing the linkages between schools and
professional
life. In
addition, events with a broad European scope may be supported which bring
together
distinguished
scientists as "role
models" and aspiring young
scientists. Underpinning research
will be
addressed, taking into account social contexts and cultural values. Three
aspects have been
retained:
supporting formal and informal science
education in schools as well as through science
centres and museums and other
relevant means,
reinforcing links between science
education and science careers,
research and coordination actions on
new methods in science education.
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Third action
line: Science and society communicate
Activities
will promote effective two-way communication channels that enable the public
and
policy-makers
to engage with science, and scientists to engage with the public. The approach
will
favour
closer cooperation and exchange of best practice between scientists and media
professionals,
but also a
greater involvement of target groups, namely children and young people,
researchers
going to the
public, and the specialised press. The effort will focus on:
the provision of reliable and timely
scientific information for the press and other media,
training actions to bridge the gap
between the media and the scientific community,
encouraging a European dimension at science events targeting the public,
promoting science by audio-visual
means via European co-productions and the circulation
of science programmes,
promoting excellent trans-national
research and science communication by the means of
popular prizes,
research aimed at enhancing
inter-communication concerning science, both in its methods
and its products, to raise mutual
understanding between the scientific world, and the wider
audience of policy-makers, the media
and the general public.
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6. SUPPORT FOR THE COHERENT DEVELOPMENT OF
RESEARCH POLICIES
Objective
Enhancing
the effectiveness and coherence of national and Community research policies and
their
articulation
with other policies, improving the impact of public research and its links with
industry,
and
strengthening public support and its leverage effect on investment by private
actors.
Approach
The
activities undertaken in this part will support the coherent development of
research policies,
complementing
the coordination activities under the Cooperation programme, and contributing
to
Community
policies and initiatives (e.g. legislation, recommendations and guidelines)
that aim to
improve the
coherence and impact of Member States policies.
These
activities will contribute to the implementation of the Lisbon strategy, in
particular to the 3 %
investment
in research objective, by assisting Member States and the Community in
developing
more
effective research and development policies. The aim is to improve public
research and its
links with
industry and foster private investment in research by strengthening public
support and its
leverage
effect on private investment. This calls for adaptability of research policies,
the
mobilisation
of a broader range of instruments, coordination of efforts across national
boundaries
and the
mobilisation of other policies to create better framework conditions for
research.
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Activities
Two action
lines will be pursued1:
First action
line: Monitoring and analysis of research-related public policies and
industrial
strategies,
including their impact
The
objective is to provide information, evidence and analyses in support of the
design,
implementation,
evaluation and trans-national coordination of public policies. This will
include:
* An information and intelligence service
(ERAWATCH) to support evidence-based research
policy making and to contribute to the
realisation of the European Research Area (ERA) by
providing a better understanding of the
nature, constituent elements and evolution of national
and regional research policies,
initiatives and systems. This will include regular analyses, from a
European perspective, of issues relevant
to research policy making, notably: factors driving the
evolution of research systems and their
implications for policies and governance structures;
emerging issues/challenges and policy
options; and a review at the European level of Member
States' progress towards ERA and the 3 %
objective.
1 The activities related to
strengthening and improving the European science system, such as
questions of scientific advice and
expertise and contributing to "better regulation", are
addressed by the Science in Society
part of this Specific Programme.
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* An industrial research investment monitoring
activity to provide a self-consistent and
complementary source of information to
help steer public policy and to allow firms to
benchmark their R&D investment
strategies, inter alia in sectors of key interest to the EU
economy. This will include periodic
scoreboards of firm-and sector-level R&D investment,
surveys of private R&D investment
trends, analysis of factors affecting R&D investment
decisions and practices of firms,
analysis of economic impacts, and assessment of policy
implications.
* Development and analysis of indicators on
research activity and its impact on the economy.
This will include the preparation and
publication of national and regional science and technology
key figures and scoreboards using official
statistical indicators wherever appropriate; the
assessment of the strengths and
weaknesses of Member States' R&D systems; and the analysis of
EU's position and performance in
scientific and technological research.
These
activities will be carried out in collaboration with the Joint Research Centre
as well as
through
studies and expert groups.
Second
action line: Coordination of research policies
The aim is
to strengthen, on a voluntary basis, the coordination of research policies via:
* actions to support the implementation of the
open method of coordination; and
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* trans-national cooperation initiatives
undertaken at national or regional level on issues of
common interest, involving where
appropriate other stakeholders (including industry, European
organisations and civil society
organisations).
These
activities will address issues of common interest related to research and other
relevant
policies
that should be mobilised for the realisation of the ERA and the attaining of
the EU 3 %
research
investment goal. They will: contribute to the development of more effective
national and
regional
policies through mutual learning and peer-review; encourage concerted or joint
initiatives
between
groups of countries and regions interested in areas involving a strong
trans-national
dimension or
spill-over; and where appropriate, identify issues requiring complementary and
mutually
reinforcing action at Community and Member States' level.
Initiatives
undertaken by several countries and regions may cover activities such as
peer-review of
national and
regional policies, exchange of experience and personnel, joint evaluations and
impact
assessments,
and the development and implementation of joint initiatives.
7. ACTIVITIES OF INTERNATIONAL
COOPERATION
Objective
To become
competitive and play a leading role at world level, the European Community
needs a
strong and
coherent international science and technology policy. The international actions
carried
out under
the different programmes within the Framework programme will be implemented in
the
context of
an overall international cooperation strategy.
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This
international policy has three interdependent objectives:
to support European competitiveness
through strategic partnerships with third countries in
selected fields of science and by
engaging the best third country scientists to work in and
with Europe,
to facilitate contacts with partners
in third countries with the aim of providing better access
to research carried out elsewhere in
the world,
to address specific problems that
third countries face or that have a global character, on the
basis of mutual interest and mutual
benefit.
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Approach
In order to
identify and establish the priority areas of research of mutual interest and
mutual benefit
with
targeted third countries (International Cooperation Partner Countries1) for the
specific
international
cooperation actions of the Cooperation Specific Programme ongoing policy
dialogues
and
partnership networks will be enhanced with the different regions in these third
countries to
provide
input to help implement these actions. Coherence of national activities on
international
scientific
cooperation will be enhanced by supporting the coordination of national
programmes (of
Member
States and Associated countries) through multilateral coordination of national
RTD
policies and
activities. Cooperation with third countries in the Framework Programme will be
targeted in
particular at the following groups of countries2:
Candidate countries3,
Mediterranean partner countries
(MPC), Western Balkans countries (WBC)4 as well as the
Eastern European and Central
Asian countries5 (EECA),
Developing countries, focusing on
the particular needs of each country or region
concerned6,
Emerging economie6.
1 See Rules for participation.
2 At present 9 Mediterranean Partner
Countries and 6 countries of Eastern Europe and Central
Asia are part of the European
Neighbouring Policy.
3 Other than associated Candidate
Countries.
4 Other than associated potential
Candidate Countries.
5 Armenia, Azerbaijan, Belarus,
Georgia, Kazakhstan, Kyrgyz Republic, Moldova, Russia,
Tajikistan, Turkmenistan, Ukraine
and Uzbekistan.
6 Noting that Latin America includes
both developing countries and emerging economies.
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The
theme-oriented international cooperation research actions are carried out under
the Cooperation
Specific
Programme. The international actions in the area of human potential are carried
out under
the People
Specific Programme. Horizontal support actions and measures with a focus other
than a
specific
thematic or interdisciplinary area covered in the "Cooperation"
programme will be
implemented,
and could be supplemented, in a limited number of cases, by specific
cooperation
actions of
mutual interest. The overall coordination of the international cooperation
actions under
the
different programmes will be strengthened with a view to ensuring a coherent
approach and
developing
synergies with other Community instruments (e.g. IPA, European Neighbouring
Policy
Instrument,
ALA regulation, and Development Aid schemes). Taking into account the
experience
gained
through INTAS and building on its work in the framework of cooperation with the
Eastern
European and
Central Asian countries, activities providing continuity will be undertaken
through
this
programme and the "Cooperation" and "People" programmes.
The
Commission will ensure the coordination of international cooperation activities
throughout the
entire
Framework Programme including policy dialogue with partner countries, regions
and
international
fora.
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Activities
The main
activities to develop jointly agreed international scientific cooperation
policies are:
* Bi-Regional coordination of S&T
cooperation including priority setting and definition of
S&T Cooperation policies
Community
S&T cooperation for priority setting will be based on a comprehensive
policy dialogue
with partner
countries and regions in recognition of their socio-cultural conditions and
research
capacities.
This dialogue for S&T cooperation is carried out at multiple levels, such
as through
international
fora (the various UN conventions), institutionalised bi-regional dialogues1
including:
Asia-Europe
Meetings (ASEM); Latin America, Caribbean and EU (EU-LAC); the Mediterranean
and Western
Balkan Partnerships; the EU-ACP (African, Caribbean and Pacific) States and
Eastern
Europe and
Central Asia2, and bilateral and multilateral agreements as well as through
informal
trans-regional
meetings of scientists and other societal partners.
1 Bi-regional dialogue in this context
means the dialogue between the Member States, the EC
and the third countries concerned.
2 Which also could involve the
International Science and Technology Centre (ISTC) and the
Science and Technology Centre
(STCU).
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The highest
priority will be given to the strengthening of bi-regional/bilateral dialogues
to guide and
set the
framework for international S&T cooperation and joint identification of
research areas for
mutual
interest and benefit. Such dialogue and partnership in S&T constitutes the
most effective
way of
achieving globally and mutually agreed objectives, with respect to regional and
country
level
specific needs. Consequently, international S&T cooperation in the
Framework Programme
will be
governed in a coherent way through integrated research policy formulation
resulting from
these
dialogues and from S&T agreements1.
These
initiatives will be implemented through specific international cooperation
activities that will
develop the
bi-regional dialogue in close consultation with Member States, Associated
Countries
and
International Cooperation Partner Countries.
This
priority setting and the definition of S&T Cooperation policies will have
direct and measurable
impacts on
the other activities foreseen for International S&T Cooperation under the
Capacities
Specific
Programme, namely: enhancement and development of S&T Agreements, S&T
Cooperation
Partnerships and a positive synergistic effect on the coordination of national
policies
and
activities on international S&T cooperation.
Within the
framework of S&T Agreements, in accordance with the defined priorities, the
identification
of new, emerging elements deserving actions and endorsement at political level
to be
implemented
by the themes will be given priority.
1 Considering the Community's
interests, agreements have been concluded with all major
industrialised or emerging economy
partners, and with almost all countries included in the
European Neighbourhood Policy.
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In addition,
the participation of scientists in national research programmes of third
countries will
allow the
full exploitation of the possibilities of the S&T Agreements and will allow
the scientists to
acquire
knowledge of third country research systems and their cultures in a reciprocal
way. For this,
the
Framework Programme will cover the cost of research participation of scientists
from Member
States and
associated countries in the national research programmes of the third countries
where
there is
mutual interest and benefit. Such collaboration will take place on a
competitive basis.
The joint
projects developed within above dialogues and S&T cooperation Agreements
will be
needs-driven
and will have significant size in terms of partnerships, competences and
financing as
well as
having an important socio-economic impact. The projects will be targeted
specifically on
the
priorities identified through the policy dialogue of S&T cooperation within
the regional fora,
and there
will be specific calls per region or groups of International Cooperation
Partner Countries.
The output
of these dialogues will contribute to the determination of the priorities and
needs for the
specific
international cooperation actions in the different themes in the Cooperation
Specific
Programme.
* Bilateral coordination for the enhancement
and development of S&T partnerships
The
realisation of identified priorities will be further elaborated and turned into
actions by setting
up equitable
S&T Cooperation Partnerships regrouping multiple stakeholders (partners
from
research,
industry, government and civil society) for research capacity building and
research
actions.
These have proved to be the most suitable mechanism to mobilise the strengths
of these
partners
synergistically. These Partnerships will require pluridisciplinary approaches
to tackle
diverse
needs on a global, regional and/or country level.
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The
development of S&T Partnerships will be based on bi-regional leadership and
coordination of
political
initiatives in defined priority areas. These will be operated by steering
groups composed by
a limited
number of representatives from each region, open to all partners in the regions
concerned,
taking into
account their interests and research capacities. These partnerships will
promote joint
research
activities and permanent policy dialogue on the efficiency and effectiveness of
the
cooperation
implemented as well as on identification of future needs.
* Supporting coordination of national policies
and activities of Member States and associated
countries on international S&T
cooperation
In order to
promote/encourage an effective and efficient international scientific Community
cooperation
strategy at EU level, a continuous coordination of national policies is
essential to
realise
commitments undertaken through the S&T bi-regional and bilateral dialogues.
This
coordination will reinforce the efficiency and impact of the ongoing bilateral
S&T cooperation
initiatives
between Member States and International Cooperation Partner Countries and
enhance the
positive
synergies between them. It will also enhance complementarities between
Community and
Member
States S&T cooperation activities.
Furthermore
it will support the implementation of a "shared vision" by
facilitating innovative
programmatic
approaches and working more closely among and with Member States in developing
and
implementing a coherent cooperation in EU science and technology.
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ANNEX II
INDICATIVE BREAKDOWN
OF THE AMOUNT (in EUR million)
Research Infrastructures1 1
715
Research for the benefit of SMEs 1 336
Regions of Knowledge 126
Research Potential
340
Science in Society
330
Coherent development of research policies
70
Activities of International
Cooperation 180
TOTAL 4 097
1 Including a contribution of up to
EUR 200 million to the European Investment Bank for its
Risk-Sharing Finance Facility, as
referred to in Annex III. An amount in the order of
EUR 100 million will be committed
in annual instalments for the period 2007-2010.
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ANNEX III
Risk-Sharing Finance Facility
In
accordance with Annex II, the Community will provide a contribution
(coordination and support
action) to
the European Investment Bank (EIB) which will be a risk-sharing partner for the
Risk-Sharing
Finance Facility (RSFF). RSFF, which will be co-funded by the Community and the
EIB, is
aimed at fostering private sector investment across Europe in research,
technological
development
and demonstration (RTD) as well as innovation.
The
Community contribution will increase the capacity of the Bank to manage risk,
thus allowing
for (i) a
larger volume of EIB lending and guarantee operations for a certain level of
risk, and (ii)
the
financing of riskier European RTD actions that would not be possible without
such Community
support, thus
helping overcome market deficiencies. It will aim at:
* adding value in areas where the market
cannot provide the required funding; and
* providing catalytic effect in leveraging
private investment.
The
Community contribution will be committed to RSFF in line with the provisions
set out in
Annex II.
The EIB will
lend funds raised from international financial markets and provide guarantees
to its
financing
partners in accordance with its standard rules, regulations and procedures.
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It will use
this contribution on a "first come, first served basis", as
provisions and capital allocation
within the
Bank to cover part of the risks associated with its operations supporting
eligible
European RTD
actions.
Based on its
financial evaluation, the EIB will assess the level of financial risks and
decide the
value of the
provision and capital allocation.
The risk
assessment and grading, and the resulting decisions on provisioning and capital
allocation,
will follow
standard procedures of the Bank, under its Structured Finance Facility,
approved and
monitored by
its shareholders and as updated and modified from time to time. They will not
be
altered as a
result of the Community contribution.
The risk to
the Community budget is limited to the amounts paid or committed to be paid.
There
will be no
contingent liability for the Community budget, as any remaining risk is borne
by the EIB.
The
Community contribution will be disbursed annually based on a multi-annual plan
and taking
into account
the evolution of demand. The annual amount will be established in the Work
Programme,
on the basis of the activity report and forecasts presented by the EIB.
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The
agreement to be concluded with the EIB, following close consultations with
Member States,
will
establish terms and conditions under which the Community funds can be used as
provisions
and capital
allocation. It will include the following terms and conditions:
* The eligibility of Community RTD actions. By
default, the development of research
infrastructures funded by the Community
under this Specific programme shall be automatically
eligible. Legal entities established in
third countries other than Associated Countries are also
eligible if they participate in FP7
indirect actions and their costs are eligible for Community
funding. Other research infrastructures
of European interest could also be considered.
RSFF will be offered in all Member States and Associated Countries in
order to ensure that all
legal entities, irrespective of size
(including SMEs and research organisations, including
universities) in all Member States, may
benefit from this facility for the funding of their
activities in eligible actions.
Innovation activities of a commercial
nature are eligible for RSFF only via the use of the EIB's
own contribution.
* In accordance with the regulation on Rules
for Participation adopted pursuant to Article 167 of
the Treaty, the agreement will also
establish procedures for the Community to object, in duly
justified cases, to the use of the
Community contribution by the EIB.
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* The rules for defining the share of the
financial risk that will be covered by the Community
contribution and the risk threshold
beyond which the EIB can use the Community contribution as
well as sharing of corresponding income.
The level of the Community contribution
for each operation shall depend on the financial risk
evaluation carried out by the EIB. The
level of total provisioning and capital allocation for the
majority of RSFF operations is expected
to fall within the range of 15 %-25 % of the nominal
value of such operations. In no case
shall the level of total provisioning and capital allocation
amounts of the Community contribution
exceed 50 % of the nominal loan or guarantee value.
There will be risk sharing under each
operation.
* The arrangements by which the Community will
monitor the EIB lending and guarantee
operations related to the Community
contribution, including operations through the
EIB financing partners.
The EIB may
use the Community contribution only for operations approved between the date of
entry into
force of this Specific Programme and 31 December 2013.
Interests
and incomes generated by the Community contribution during this period shall be
reported
annually by
the EIB to the Commission, which shall inform the European Parliament and the
Council. In
accordance with Article 18(2) of the financial regulation, they shall be
considered as
assigned
revenues to the RSFF and entered into the budget.
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When
adopting the Work Programme, the Commission may decide to reallocate, for the
purpose of
any other
indirect actions of the "Research Infrastructure" of this Specific
Programme, any amount
not used by
RSFF and, therefore, recovered from the EIB, after mid-term evaluation referred
to in
Annex II of
the Framework Programme. The mid-term evaluation will include an external
assessment
of the impact of the RSFF.
The
Commission will closely monitor the effective use of the Community
Contribution, including
ex-post
assessments of the successful features of the action, and regularly report to
the Programme
Committee.
In addition, the Commission will include main findings in this respect to the
annual
report on
research and technological development activities which it will send to the
European
Parliament
and the Council pursuant to Article 173 of the Treaty.