ANNEX I

SCIENTIFIC OBJECTIVES AND BROAD LINES OF THE ACTIVITIES

Investigator-driven ‘frontier research’, within the framework of activities commonly understood as ‘basic research’, is a key driver of wealth and social progress, as it opens new opportunities for scientific and technological advance, and is instrumental in producing new knowledge leading to future applications and markets.

Despite many achievements and a high level of performance in a large number of fields, Europe is not making the most of its research potential and resources, and urgently needs a strengthened capacity to generate knowledge and translate such knowledge into economic and social value and growth.

Objectives

The objective of the specific programme ‘Ideas’ is to reinforce excellence, dynamism and creativity in European research and improve the attractiveness of Europe for the best researchers from both European and third countries, as well as for industrial research investment, by providing a Europe-wide competitive funding structure, in addition to and not replacing national funding, for ‘frontier research’ executed by individual teams. Communication and dissemination of research results is an important aspect of this programme.

For its implementation, a European Research Council (ERC), consisting of an independent Scientific Council and a lean and cost-effective dedicated implementation structure, will be created by the Commission under this specific programme. The ERC will operate according to the principles of scientific excellence, autonomy, efficiency, transparency and accountability, and will support investigator-driven projects in ‘frontier research’, carried out by individual teams competing at the European level, within and across all fields of research.

By promoting ‘frontier research’ from across the EU, the specific programme will aim to put European research in a leading position, opening the way to creating new and often unexpected scientific and technological results and new areas for research. It will stimulate the flow of ideas and allow Europe better to exploit its research assets and foster innovation in the drive towards a dynamic knowledge-based society, with long-term benefits for the competitiveness of European economies and well being.

Programme Implementation

For the implementation of this specific programme, the Commission will establish, at the start, the two key structural components of the ERC — an independent Scientific Council and a dedicated implementation structure.

The administrative and staffing costs for the ERC relating to the Scientific Council and dedicated implementation structure will be consistent with lean and cost-effective management; administrative expenditure will be kept to a minimum, consistent with ensuring the resources necessary for high quality implementation, in order to maximise funding for frontier research (17).

The Scientific Council

The tasks of the Scientific Council, as established in Article 5, will be as follows:

1.

Scientific strategy: — establish the overall scientific strategy for the programme, in the light of scientific opportunities and European scientific needs; — on a permanent basis, in accordance with the scientific strategy, ensure the establishment of the work programme and necessary modifications, including calls for proposals and criteria and, as may be required, the definition of specific topics or target groups (e.g. young/emerging teams).

2.

Scientific management, monitoring and quality control of programme implementation: — as appropriate, from a scientific perspective, establish positions on implementation and management of calls for proposals, evaluation criteria, peer review processes including the selection of experts and the methods for peer review and proposal evaluation, on the basis of which the proposal to be funded will be determined under the supervision of the Scientific Council; as well as any other matter affecting the achievements and impact of the specific programme, and the quality of the research carried out; — monitor quality of operations and evaluate programme implementation and achievements and make recommendations for corrective or future actions.

3.	Communication and dissemination: — assure communication with the scientific community and key stakeholders on the activities and achievements of the programme and the deliberations of the ERC; — regularly report to the Commission on its activities.

The Scientific Council will have full authority over decisions on the type of research to be funded and act as guarantor of the quality of the activity from the scientific perspective.

The Scientific Council may independently select a Secretary-General who will act under its authority. The Secretary-General will, inter alia, assist the Scientific Council in ensuring its effective liaison with the dedicated implementation structure and with the Commission, an in monitoring the effective implementation of its strategy and positions as carried by the dedicated implementation structure.

Administrative assistance may be provided for the Chair and vice-chairs of the Scientific Council.

Dedicated implementation structure

The dedicated implementation structure will be responsible for all aspects of administrative implementation and programme execution, as provided for in the annual work programme. It will, in particular, implement the evaluation procedures, peer review and selection process according to the principles established by the Scientific Council and will ensure the financial and scientific management of the grants. The dedicated implementation structure will keep the Scientific Council informed of its activities.

The management of the ERC will be carried out by staff recruited for that purpose, including officials from EU institutions, and will cover only the real administrative needs in order to assure the stability and continuity necessary for an effective administration.

Role of the Commission

The Commission will act as the guarantor of the ERC's full autonomy and integrity. It will ensure that the ERC acts in accordance with the principles of scientific excellence, autonomy, efficiency and transparency, and that it follows precisely the strategy and implementation methodology established by the Scientific Council. In particular the Commission will:

—	ensure the establishment of a dedicated implementation structure and the delegation of tasks and responsibilities to it,

—	appoint the Director and the Senior Staff of the dedicated implementation structure taking into account the views of the Scientific Council,

—	adopt the work programme and the positions regarding implementing methodology, as defined by the Scientific Council,

—	ensure that proposals are retained, and projects financed, solely on the basis of their ranking order resulting from the peer review; any change in the rank order of peer review must be explicitly endorsed by the Scientific Council,

—	regularly inform the programme committee on the implementation of the programme,

—	draw up, in cooperation with the Scientific Council, an annual report on the ERC's operations and realisation of the objectives set out in the specific programme and submit it to the Council and the Parliament.

Activities

This programme will promote world class ‘frontier research’. The term ‘frontier research’ reflects a new understanding of basic research. On one hand it denotes that basic research in science and technology is of critical importance to economic and social welfare, and on the other that research at and beyond the frontiers of current understanding is an intrinsically risky venture, progressing on new and most challenging research areas and is characterised by an absence of disciplinary boundaries.

The programme will support individual projects, which may be carried out in any field of basic scientific and technological research which falls within the scope of Community research under this Framework Programme, including engineering, socioeconomic sciences and the humanities. As appropriate, specific research topics or target groups (e.g. new generation researchers/emerging teams) may be taken into account, following the objectives of the programme and needs for efficient implementation. Particular attention will be paid to emerging and fast-growing areas at the frontier of knowledge, and at the interface between disciplines.

An ‘investigator-driven’ approach will be followed. This means that the programme will support projects carried out by researchers on subjects of their choice within the scope of calls for proposals. Proposals will be evaluated on the sole criterion of excellence as judged by peer review, taking account of excellence in new groups, new generation researchers, as well as established teams, and paying particular attention to proposals which are highly pioneering and involve correspondingly high scientific risks.

The programme will support projects carried out by individual teams which may be of national or transnational character. An individual team consists of an individual principal investigator and, as appropriate, other individuals, members of the team (18).

Review

The implementation and management of the activity will be reviewed and evaluated on an on-going basis to assess its achievements and to adjust and improve procedures on the basis of experience. In the context of the interim evaluation referred to in Article 7(2) of the Framework Programme, an independent review will also be carried out of the ERC's structures and mechanisms, against the criteria of scientific excellence, autonomy, efficiency and transparency and with the full involvement of the Scientific Council. This will include the process and criteria for the selection of the members of the Scientific Council. The review will explicitly look at the advantages and disadvantages of a structure based on an Executive Agency, and a structure based on Article 171 of the Treaty. On the basis of this review, these structures and mechanisms should be modified as appropriate. The Commission will ensure that all the necessary preparatory work, including any legislative proposals which it considers necessary, is undertaken and presented to the European Parliament and the Council, as required by the Treaty, with a view to a transition to any modified structure required, as soon as possible. To this end the Framework Programme will be adapted or supplemented in co-decision pursuant to Article 166(2) of the Treaty. The progress report referred to in Article 7(2) of the Framework Programme, preceding the interim evaluation, will give initial findings on the functioning of the ERC.

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 of animals and the environment in accordance with Community law and relevant international conventions, guidelines and codes of conduct, such as the Helsinki Declaration, the Convention of the Council of Europe on Human Rights and Bio-medicine signed in Oviedo on 4 April 1997 and its Additional Protocols, the UN Convention on the Rights of the Child, the Universal Declaration on the human genome and human rights adopted by UNESCO, UN Biological and Toxin Weapons Convention (BTWC), International Treaty on Plant Genetic Resources for Food and Agriculture, and the relevant World Health Organisation (WHO) resolutions.

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

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

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 that the Community pays full regard to the welfare requirements of animals in formulating and implementing Community policies including research. Council Directive 86/609/EEC of 24 November 1986 on the approximation of laws, regulations and administrative provisions of the Member States regarding the protection of animals used for experimental and other scientific purposes (19) requires that all experiments be designed to avoid distress and unnecessary pain and suffering to the experimental animals; use the minimum number of animals; involve animals with the lowest degree of neurophysiological sensitivity; and cause the least pain, suffering, distress or lasting harm. Altering the genetic heritage of animals and cloning of animals may be considered only if the aims are ethically justified and the conditions are such that the animals' welfare is guaranteed and the principles of biodiversity are respected.

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

ANNEX II

Information to be provided by the Commission in accordance with Article 8(5)

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