EUROPEAN RESEARCH AREA
(22236)
6921/01
COM(00) 93
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(a) Draft Decision on the Multi-annual Framework Programme 2002-2006 of the European Community for research, technological development and demonstration activities, aimed at contributing towards the creation of the European Research Area; and
(b) Draft Decision on the Multi-annual Framework Programme 2002-2006 of the European Atomic Energy Community (EURATOM) for research and training activities aimed at contributing towards the creation of the European Research Area.
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| Legal base: |
(a) Article 166 EC; co-decision; qualified majority voting
(b) Article 7 EURATOM; unanimity
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| |
| Document originated:
| 21 February 2001 |
| Forwarded to the Council:
| 5 March 2001 |
| Deposited in Parliament:
| 22 March 2001 |
| Department: |
Trade and Industry |
| Basis of consideration:
| EM of 6 April 2001 |
| Previous Committee Report:
| None; but see (21013) 5643/00: HC 23-xiii (1999-2000), paragraph 12 (5 April 2000) and HC 23-xix (1999-2000), paragraph 4 (24 May 2000)
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| To be discussed in Council:
| June 2001 |
| Committee's assessment:
| Politically important |
| Committee's decision:
| Cleared, but further information requested
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Background
14.1 The fifth Framework Programme of the
European Community for research, technological development and
demonstration activities covers a period from 1998 to 2002 and
is due to be superseded by the sixth Framework Programme (2002-2006).
Similarly, the current Framework Programme for research by the
European Atomic Energy Community (EURATOM) is also due to be replaced
by a new Framework Programme.
14.2 The Commission has produced a series
of initiatives recently that seek to define the Framework Programmes
for the EC and EURATOM with the aim of creating a European Research
Area (ERA). In April and May 2000 we reported on a Commission
Communication, Towards a European Research Area,[19]
in which the Commission analysed the state of European research
and concluded that there was a lack of a European policy on research.
In November 2000 we reported on a follow-up Commission Communication,
Making a reality of the European research area: guidelines
for EU research activities (20022006), and an associated
draft Resolution.[20]
In the Communication, the Commission argued that the realisation
of the European Research Area required the next Framework Programme
to be more closely linked with national activities and European
intergovernmental cooperation initiatives. As regards
funding, the Communication stated that this should be combined
to a greater extent with other public and private sector sources
and that new instruments and methods of intervention needed to
be used for this purpose, specifically designed to help correct
the structural weaknesses it perceived in European research. The
draft Council Resolution underlined the importance of focusing
on areas where Community action provides the greatest possible
"European added value" and supported the Commission's
intention to explore new types of intervention in order to achieve
greater efficiency in research, including new management methods
and simplification of procedures.
The EC Framework Programme
14.3 In February 2001 the Commission published
its proposals for new Framework Programmes for the EC and EURATOM
covering the period 2002-2006. As anticipated in the earlier Communications,
the proposal for the next Framework Programme for research and
technological development (RTD) activities in the EC (proposal
(a)) seeks to make a reality of the European Research Area (ERA).
The proposal is that this will be done by 'Integrating European
research'; 'Structuring the European Research Area', and 'Strengthening
the foundations of the European Research Area'. The proposal sets
out the objective, the justification of effort, the European added-value
and the actions envisaged in each of the three main blocks of
research activity.
— Integrating research
14.4 Support will be provided to a selected
number of priority research areas in which EU action can add the
greatest possible value. The proposal identifies seven thematic
priorities:
- genomics and biotechnology for health;
- information society technologies;
- nanotechnologies, intelligent materials and new
production methods;
- aeronautics and space;
- food safety and health risks;
- sustainable development and global change; and
- citizens and governance in European society.
14.5 It is proposed that European research
in these areas will be integrated by establishing networks of
excellence, designing larger longer-term, public/private integrated
projects, and involving the EU in programmes carried out by several
Member States. The document also includes a proposal to meet the
scientific and technological needs arising from implementation
of Community policies. A specific programme for the Joint Research
Centre (JRC) will focus on providing scientific and technical
support for the formulation and implementation of Community policies.
Special emphasis will also be given to openingup European
research to the rest of the world.
— Structuring the European Research Area
14.6 In broad terms, this means supporting
the research infrastructure at a national, regional and European
level. This objective accounts for 19% of the indicative budget.
The new Framework Programme comprises four categories of activities
which are intended to underpin European research efforts. These
include:
- promotion of research and innovation, including
the transfer of knowledge and exploitation of research results;
- promotion of the mobility of human resources
and researchers, including a proposal to double the proportion
of the total research budget allocated to mobility from 5% in
the current Framework Programme to 11%, and to extend funding
to European research teams as well as individuals;[21]
- supporting the use of European research infrastructures,
including broadband communication networks for research; and
- development of harmonious relations between science
and society, for example through awarenessraising initiatives
such as prizes and competitions.
— Strengthening the foundations of the European
Research Area
14.7 The arrangements for research will
simplified and streamlined. For example, there will be closer
coordination of research and innovation activities in Europe,
including measures to support networking, co-operation and collaboration
among researchers in Europe. There will also be support for specialised
working groups, forums and bench-marking of research and innovation
policies. This objective accounts for 3% of the indicative budget.
— Budget and Programme Management
14.8 A budget of 16, 270 million euros is
proposed for the new EC Framework Programme. An indicative breakdown
of the budget is given in table 1. Although the amount of financial
support to individual projects will vary, support is likely to
be provided by means of a grant of up to a maximum of 50% of a
project's total costs and will generally be decided by open calls
for proposals or invitation to tender procedures.
14.9 The Commission is proposing a more
decentralised and flexible system of control than exists under
the current framework. It proposes that the networks of excellence
and integrated projects will generally be administered autonomously
by the participants. The Commission also proposes to contract
out the management of certain research activities for small and
medium-sized enterprises and activities aimed at supporting researcher
mobility. One beneficial effect of this decentralised approach
is that it should reduce the overall cost to the Commission of
administering the programme. However, in order to ensure efficiency,
the Commission proposes to specify the measurable objectives of
individual projects.
14.10 As regards evaluation, the Commission
will rely upon annual monitoring of individual projects. Progress
in implementing the Framework Programme will be described in an
annual report. On a longer-term basis, the Commission will publish
a five-year assessment before submitting proposals for the next
(seventh) Framework Programme.
14.11 The document notes, in passing, that
antifraud arrangements will be described when the specific
research programmes for the main blocks of activity are published.
The EURATOM Framework Programme
14.12 Proposal (b) relates to the separate
Commission proposal for a Council Decision on the Framework Programme
of 20022006 for EURATOM. This proposal covers research,
demonstration and training activities in the field of nuclear
energy. The priority thematic areas in research will include:
- treatment and storage of waste;
- controlled thermonuclear fusion;
- other activities in the field of nuclear safety
and safeguards; and
- the Joint Research Centre's EURATOM activities.
14.13 A budget of 1,230 million euros is
proposed for the EURATOM Framework Programme. Many features of
the management of the EC's Framework Programme will also apply
to the EURATOM Programme.
The Government's view
14.14 In his Explanatory Memorandum of 6
April 2001, the Minister for Science and Innovation at the Department
of Trade and Industry (Lord Sainsbury) says:
"The Government broadly
welcomes the Commission's proposal for the next Framework Programme.
In particular, it supports the intention to focus resources on
a limited number of thematic priority areas, where the scale of
research requires cooperation at European level. It also
supports the proposed doubling in funding for researcher mobility
and training, which is essential for the development of a genuine
European research community.
"The Government welcomes provision for research
to underpin the needs of EU policymakers but is concerned at the
lack of detail in the section 'Anticipating the scientific and
technological needs of the Union'. It is also concerned at the
lack of detail on the provision for international cooperation
activities, especially with developing countries, and on the innovation
aspects of the proposal.
"In relation to the three new funding mechanisms
proposed, the Government shares the Commission's belief in the
need for improved Framework Programme management, and is sympathetic
to the proposal to move from project to programmescale
management. However, more detail is required, particularly on
the new contractual mechanisms and on means of ensuring the participation
of smaller organisations. More detail is also required on the
means by which the essential criteria of excellence and peer review
will be preserved. The Government has reservations at this stage
regarding the application of Article 169, in view of the onerous
legislative procedure involved.
"The Government welcomes Commission plans to
streamline and simplify procedures for managing the programme.
On externalisation, it favours this where it meets the criteria
of economy and value for money, but will want to be assured that
any measures introduced are fully transparent and that the appropriate
contractual mechanisms are in place.
"The Government welcomes the Commission's proposals
to involve Commission policymaking Directorates General
in planning the JRC's work programme, and to focus the JRC's activities.
It will seek assurances that the Commission is actively taking
forward the process of JRC reform."
Conclusion
14.15 Like the Government, we broadly
support the approach set out in the documents. We welcome the
focusing of resources in the new Framework Programme on a few
thematic priority areas and also welcome the more decentralised
and flexible manner in which research will be promoted. We look
forward to considering the detailed programmes when they are available.
However, two aspects concern us. First, some potentially fruitful
areas of research may be excluded from the priority areas. Of
course, to some extent this is inevitable when scarce resources
are targeted. Nevertheless, we understand that, for example, the
hydrocarbon sector feels aggrieved that its research efforts are
not supported by the Framework Programme. We would like to know
to what extent such concerns are justified and whether the Government
intends to monitor the research effort of sectors outside the
priority areas to ensure that potentially valuable research is
not lost.
14.16 Secondly, we are concerned about
the absence of any detail on anti-fraud arrangements. Apparently,
these details are to be set out in the specific programmes implementing
the Framework, which have not yet been published. When they are
published, we would like the Minister to comment on the anti-fraud
arrangements when submitting the Explanatory Memorandum.
Meanwhile, we clear the document.
ANNEX I: MAXIMUM OVERALL AMOUNT, RESPECTIVE
SHARES AND
INDICATIVE BREAKDOWN
| Indicative breakdown
| million euros |
| 1) Integrating research[22] [23]
| 12,770 |
| — Genomics and biotechnology for health
| 2,000 |
| — Information society technologies
| 3,600 |
| — Nanotechnologies, intelligent materials, new production processes
| 1,300 |
| — Aeronautics and space
| 1,000 |
| — Food safety and health risks
| 600 |
| — Sustainable development and global change
| 1,700 |
| — Citizens and governance in the European knowledge-based society
| 225 |
| — Anticipating the EU's scientific and technological needs[24]
| 2,345 |
| 2) Structuring the European Research Area
| 3,050 |
| — Research and innovation
| 300 |
| — Human resources
| 1,800 |
| — Research infrastructures
| 900 |
| — Science/society
| 50 |
| 3) Strengthening the foundations of the European Research Area
| 450 |
| — Support for the co-ordination of activities
| 400 |
| — Support for the coherent development of policies
| 50 |
| Total | 16,270[25]
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19 (21013)
5643/00; see headnote to this paragraph. Back
20 (21698)
12214/00 (21696) - ; see HC 23-xxix (1999-2000), paragraph 40
(15 November 2000). Back
21
The 1998-2002 Programme had a total budget of 14,960 million euros,
of which some 800 million euros was allocated to mobility. The
comparable figures in the sixth framework are 16,270 million euros
and 1,800 million euros respectively. Back
22 The
aim is to allocate at least 15% of the financial resources assigned
to this heading to SMEs. Back
23 Including
600 million euros in total for international co-operation activities. Back
24 Including
715 million euros for JRC activities. Back
25 To
which should be added the 1,230 million euros under the Euratom
Framework Programme, broken down indicatively as follows: Treatment
and storage of nuclear waste 150 million euros; Controlled thermonuclear
fusion 700 million euros [of which 200 million euros is foreseen
for participation in the ITER project]; other activities 50 million
euros; and JRC activities 330 million euros [of which 110 million
euros are for the treatment and storage of waste]. Back
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