Explanatory Memorandum to COM(2001)279-1 - Specific programme 2002-2006 for research, technological development and demonstration aimed at integrating and strengthening the European Research Area - Main contents
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| dossier | COM(2001)279-1 - Specific programme 2002-2006 for research, technological development and demonstration aimed at integrating and ... |
|---|---|
| source | COM(2001)279  |
| date | 30-05-2001 |
In doing so, it stressed in particular that, in the context of a set of well defined priorities, full benefit should be derived from the new instruments designed to give this new Framework Programme the means to help bring about the European Research Area, in accordance with its objective.
The Commission submitted its Framework Programme proposal on 21 February 2001 i. Since then, Council and Parliament have had the opportunity to begin examining and discussing the proposal. On 2 and 3 March, at their informal meeting in Uppsala, the Research Ministers held a first exchange of views on it, and the Council bodies have started to examine it.
For its part, the European Parliament has had three opportunities to debate this proposal, the last time on the basis of answers given by the Commission to a detailed questionnaire.
By presenting its proposals concerning the specific programmes through which the Framework Programme is to be implemented at this point in time, the Commission intends to facilitate the debate that has begun within the institutions, thus enabling it to take place in the best possible conditions of information.
With the same aim in mind, the Commission is at the same time presenting a communication on the possible ways of implementing Article 169 of the Treaty to enable participation by the Community in programmes implemented jointly by several Member States, within the general context of the networking of national research programmes.
The Commission will also be submitting proposals shortly concerning the 'rules for participation and dissemination' applying to the Framework Programme.
The following main elements of these proposals, in particular, will help to give a better picture of the organisation, content and implementation arrangements proposed for the new Framework Programme:
- the structure in terms of specific programmes;
- the new instruments and the way they will operate;
- the scientific and technological content that is envisaged;
- the activities foreseen in the EURATOM area.
Contents
For the implementation of the Framework Programme, a structure based on five specific programmes is proposed:
- For the EC Framework Programme:
- A specific programme on 'Integrating and strengthening the European Research Area' for the two blocks of activities 'Integrating research' and 'Strengthening the foundations of the European Research Area' of the Framework Programme proposal.
- A specific programme on 'Structuring the European Research Area'.
- A specific programme for JRC activities.
- For the EURATOM Framework Programme:
- A specific programme for all the indirect actions in the fields of nuclear fission and fusion.
- A specific programme for JRC activities.
This structure derives directly from that of the Framework Programme and is a faithful reflection of the underlying policy objectives. Simple and easy to follow, it will make it possible to ensure the coherent implementation of the different categories of actions proposed, while respecting the overall objective of making a reality of the European Research Area and taking account of the specific features of these actions.
It brings together, on the one hand, all research and research-coordination activities and, on the other, activities aimed at structuring several key aspects of research activity on a European scale.
In each case, coherent implementation can be ensured in particular by means of a single programme committee with a composition varying according to the fields concerned.
In addition, the particular nature of the JRC's activities justifies a separate specific programme both for the EC and for EURATOM.
On the basis of the indications given in Annex II to the Framework Programme proposal, and thanks to them, correspondence is ensured with the various activities foreseen in the Treaty both in terms of content and budget.
The contribution of the new Framework Programme to bringing about the European Research Area is based mainly on the means of intervention envisaged for implementing it, in particular the three new instruments, namely the networks of excellence, integrated projects and participation by the Community in jointly implemented national programmes.
The introduction of these new instruments, which was favourably received by the Council and the European Parliament in their resolutions on the European Research Area, is in response to the need for a change in the ways in which the Community intervenes in the research field, as stressed in various reports on Community research policy, and in particular the recent five-year assessment of the Framework Programme.
Work on the development of these instruments started as soon as the Framework Programme proposal was presented. Many contacts and detailed discussions about the way in which they will operate in practice have taken place between the Commission Services, the national authorities and the relevant programme users within research organisations, universities and businesses.
Two seminars were specifically organised on this topic on 19 and 20 April 2001 i.
On the basis of the results of this detailed work and discussions, the basic principles and the general conditions governing the operation of these new instruments have been established. They are presented in Annex III to the specific programme proposals and concern in particular:
- the objectives specifically pursued with each of the instruments;
- the type of activities involved;
- the general conditions governing the formation, operation and development of partnerships;
- the general conditions governing support by the Community.
These principles and conditions are designed to ensure that the new instruments will make an effective contribution towards attaining the objectives set, namely the deep integration of research and innovation activities in Europe under conditions of operational autonomy and flexibility, characteristics of the means of intervention foreseen for the new Framework Programme.
Their application will be accompanied by measures designed to derive full benefit from all the research and innovation potential present in Europe, in particular by encouraging SME participation in the activities concerned.
These remarks apply essentially to the networks of excellence and the integrated projects. Community participation in jointly implemented national programmes under Article 169 of the Treaty is of a different nature, necessitating and justifying separate treatment. The objective of the communication which the Commission is presenting on this subject, in parallel with these proposals, is to launch the political debate that needs to take place on this means of implementation within the Framework Programme.
Alongside its organisation as a structuring instrument designed to integrate research efforts, a basic feature of the new Framework Programme underlined by the Stockholm European Council is the concentration of resources on a limited number of well defined priorities.
This is reflected in the specific programme proposals which explain in more detail, expand upon and clarify the indications given in the Framework Programme proposal as regards objectives, fields covered and, within each field, the particular themes taken into consideration.
The precise subjects of research that will be carried out will be determined when the work programmes are drawn up and the programmes of activities for the networks of excellence and integrated projects are formulated.
The objectives, content and implementation arrangements for activities to be carried out under the specific programmes have been the subject of an ex ante evaluation. In this context, a special effort has been made to define, in accordance with the indications given in the Framework Programme proposal, verifiable, measurable objectives where this is possible and useful.
Alongside the activities carried out in the context of the major priority themes, the specific programme on 'Integrating and strengthening the European Research Area' will comprise several categories of activities that are new or carried out in new ways.
These are:
- Activities carried out under the heading "Anticipating the EU's scientific and technological needs" in response to the needs of Community policies, research at the frontiers of knowledge and new unforeseen requirements.
They will be conducted on the basis of a procedure for the multiannual programming of activities, carried out partly by means of an annual exercise of evaluation and selection of research themes.
- Activities in support of the networking of national research programmes and the coordination of research and innovation activities and policies. Light and flexible mechanisms will be used to this end.
International cooperation represents an important dimension of the Framework Programme. Activities will be carried out in this field in various forms: in the specific programme on 'Integrating and strengthening the European Research Area' on the one hand by opening up the networks of excellence and integrated projects to third country researchers and entities and, on the other hand, through certain specific activities; in the programme 'Structuring the European Research Area' by means of support for the international mobility of European researchers and third country researchers.
Under the heading of strengthening the foundations of the European Research Area, activities will be carried out in support of cooperation with and between the organisations concerned with European science and technology cooperation. These organisations will in fact have full access to all the activities under the programmes.
The description of the content of the programme on 'structuring the European Research Area' specifies the implementation conditions and the possible themes for structuring activities, including a strengthening of the networking of innovation stakeholders; the various new forms of support for mobility; the integrated initiatives with regard to infrastructures and the themes and arrangements for activities in the field of relations between science and society.
In the implementation of the specific programmes, the regional dimension of European research will be fully taken into account in its different aspects, as well as the recognised role of regions in the process of innovation.
By their nature and on account of their different legal basis, the activities carried out in the EURATOM field have a particular character. In addition, in the nuclear field the issue of the European Research Area takes a specific form.
It might seem easier to make a reality of the European Research Area in the field of nuclear fission than in the rest of science and technology, given the limited size of the scientific and industrial community concerned and the existence within it of long-standing collaboration links.
The European Research Area is already to a large extent a reality in the field of controlled nuclear fusion thanks to the existence of an integrated European programme on research into magnetic fusion.
The proposal for a specific programme for indirect nuclear research activities substantially expands upon and clarifies the indications given in the corresponding part of the EURATOM Framework Programme proposal.
In the field of fission, the Framework Programme proposal identifies a thematic area: waste treatment and storage. Activities could be carried out in this area by means of two of the new instruments for the priority thematic areas of the programme on 'Integrating and strengthening the European Research Area' of the EC Framework programme, namely the networks of excellence and integrated projects.
The rest of the activities relating to fission concern other aspects of nuclear safety: radiation protection, the study of innovative concepts and training concerning nuclear matters. These activities could be carried out in the form of projects of limited size and the networking of national activities, with the possibility of making use of the new instruments where necessary.
In the field of thermonuclear fusion, the specific programme proposal expands upon and clarifies the guidelines given in the EURATOM Framework Programme proposal following on from the results of the Ministerial Meeting held on 19 January 2001 on the basis in particular of a Commission staff working document i.
It specifies the priorities proposed and the activities to be carried out during the period 2002-2006 in accordance with the 'reactor' orientation of Community activities in this field which it is thought desirable to maintain: participation in the Next Step and use of the JET facilities.
Choices will need to be made in order to put this orientation into practice. In order to increase the impact of Community efforts in this area, and in accordance with the spirit of the European Research Area, it is proposed that resources should be concentrated on multilateral activities bringing together European research players on joint projects such as JET today, and ITER in due course if a decision is taken to build this new machine.
Overall coordination at European level, the usefulness of which has been demonstrated, would be maintained, but the Member States would take responsibility for a larger proportion than at present of the activities where the 'reactor' orientation and the link with the Next Step are less marked.
The period 2002-2006 should be a period of transition towards a programme dominated by commitments connected with the Next Step. Of the EUR 700 million proposed for the whole of fusion research, EUR 200 million are foreseen as a contribution to the construction of ITER which could commence during the second half of the period of implementation of the Framework Programme, i.e. 2005-2006, and which necessitates a specific decision.
The bulk of the Community fusion research activities for 2002-2006 are therefore intended to ensure the transition between the activities at present carried out in the associations and what should become a fusion physics and technology accompanying programme once the ITER project has reached 'cruising speed' after 2006 if a decision is taken to go ahead and start building the machine.
Designed to help bring about the European Research Area, the Framework Programme 2002-2006 is based on three fundamental principles: concentration on a selected number of priorities; structuring effect by means of close liaison with the national efforts; simplification and streamlining of implementation conditions.
The need for this sort of improvement in the conditions governing the implementation of the Framework Programme and the specific programmes has been stressed repeatedly: by the Council and the European Parliament, by the Framework Programme five-year assessment panel, and by the Court of Auditors, in particular.
For the most part, the improvement in implementation conditions will be brought about by adopting the new means of intervention and the new instruments designed to help achieve the twin objectives of concentration and of strengthening the links between efforts at the various levels.
The networks of excellence and the integrated projects have been designed with this in mind, based on a more decentralised approach enabling the participants to have a large measure of operational autonomy as well as the requisite degree of flexibility in implementation. The partnerships, more particularly, are designed to be able to evolve so that new participants can join, and the initial participants can withdraw, throughout their duration.
The basic principles applying to the new instruments are described in Annex III to the specific programme proposals. The detailed rules for implementing them will be set out in the 'Rules for participation and dissemination' taking account of the objectives of protecting the Communities' financial interests.
Other aspects of the management of the activities under the programmes will also be 'externalised', more particularly certain aspects of the management of research activities for SMEs and activities in support of mobility.
When the Commission submits a proposal for a new EU Research Framework Programme there is always a wide-ranging and intense debate.
This debate, which is already under way, should go beyond a discussion of the priorities and areas to which it is often reduced:
- because the Framework Programme 2002-2006 is essentially characterised by the introduction of new means of intervention with considerable potential to have positive effects on the European research fabric, which should be put into effect under the best possible conditions;
- because implementing the Framework Programme for this reason requires greater involvement on the part of those responsible for research in Europe, at a high level of decision taking, in the national research organisations, universities and industry, and greater initiative and the assumption of greater responsibility on the part of the participants.