DECISION No 182/1999/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 22 December 1998 concerning the fifth framework programme of the European Community for research, technological development and demonstration activities (1998 to 2002)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular Article 130i(1) thereof,
Having regard to the proposal from the Commission (1),
Having regard to the opinion of the Economic and Social Committee (2),
Having regard to the opinion of the Committee of the Regions (3),
Acting in accordance with the procedure laid down in Article 189b of the Treaty (4) and in the light of the joint text approved by the Conciliation Committee on 25 November 1998,
(1) Whereas, in accordance with Articles 130f(3) and 130i(1) of the Treaty, a multiannual framework programme covering all Community activities in the field of research and technological development including demonstration activities, hereinafter referred to as RTD, should be adopted;
(2) Whereas it has been considered appropriate to adopt a new framework programme for the period 1998 to 2002 in order to ensure continuity of Community research;
(3) Whereas, in accordance with Article 4(2) of Decision No 1110/94/EC of the European Parliament and of the Council of 26 April 1994 concerning the fourth framework programme of the European Community activities in the field of research, technological development and demonstration (1994 to 1998) (5), the Commission is required to have an external assessment conducted into the management of and progress with Community activities carried out during the five years preceding the assessment, prior to presenting its proposal for a fifth framework programme; whereas that assessment, the conclusions thereof and the Commission's comments have been communicated to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions;
(4) Whereas, in accordance with Article 130f(1) of the Treaty, the Community's research and technological development policy should address, as a matter of priority, problems of society, improving the international competitiveness of Community industry, sustainable development, job creation, the quality of life and globalisation of knowledge, contributing to the development and implementation of the Community's policies and the role of the Community in the world as a focal point of scientific and technological excellence;
(5) Whereas appropriate steps should be taken to promote cooperation and coordination between Member States;
(6) Whereas the RTD activities undertaken in the context of the first activity referred to in Article 130g of the Treaty should focus on a limited number of topics; whereas those activities, in the context of indirect actions, should be implemented through 'key actions`, which bring together the activities (ranging from basic research through applied and generic research to development and demonstration) in a coherent whole in order to target them strategically on a common European challenge or problem; research and technological development activities of a generic nature; and activities designed to encourage the optimum use of research infrastructures and improve access thereto;
(7) Whereas the activities undertaken in the context of the second (cooperation with third countries and international organisations), third (dissemination and optimisation of RTD results) and fourth (training and mobility of researchers) activities referred to in Article 130g of the Treaty should complement, support and interact with each other and the abovementioned RTD activities;
(8) Whereas this approach presupposes that the potential for scientific and technological excellence existing within the Community is maintained and reinforced, whilst taking full account of the efforts made by its main international partners;
(9) Whereas it is appropriate, in this same context, to place special emphasis on the needs of small and medium-sized enterprises (SMEs), so as to promote their effective participation in Community programmes and their ability to benefit from them; on the dissemination and transfer of results; on innovation; and on the training and mobility of researchers, thereby encouraging the emergence of a new generation of enterprising researchers with innovative ideas;
(10) Whereas research and technological development can stimulate economic growth and, as a result, lead to the creation of lasting employment;
(11) Whereas researchers, industry and users have contributed substantially to the definition of actions to be undertaken in the fifth framework programme and should be involved in its implementation;
(12) Whereas the formulation and implementation of the Community's policies and actions must take into account objectives related to economic and social cohesion; whereas, in accordance with this principle, the framework programme must contribute to the harmonious development of the Community while encouraging RTD activities of high quality; whereas it is therefore necessary to respect the complementary roles of RTD activities and the action undertaken by the Community through other relevant instruments;
(13) Whereas it is necessary to promote and facilitate the participation of ultraperipheral regions in Community RTD actions through appropriate mechanisms adapted to their particular situation;
(14) Whereas, in accordance with the principles of subsidiarity and proportionality as enshrined in Article 3b of the Treaty, the objectives of Community research and technological development policy reflected in the fifth framework programme warrant activities at Community level in so far as the objectives cannot be sufficiently achieved by the Member States; whereas there is a need to establish a 'critical mass` in human and financial terms, in particular through the combination of the complementary expertise and resources available in the various Member States; whereas these objectives can therefore be better achieved at Community level; whereas this Decision does not go beyond what is necessary to achieve these objectives;
(15) Whereas the Community's financial participation in the actions of the framework programme may, in accordance with the principles set out in this framework programme, be varied at the level of the specific programmes according to the nature of the activities concerned and the proximity to the market, in specific and duly justified cases and in compliance with the provisions of the Community framework for State aid for research and development (6), in particular points 5.12 and 5.13 thereof, and with international rules;
(16) Whereas the maximum overall amount of the fifth framework programme would need to be revised should new Member States accede before the framework programme expires;
(17) Whereas Community participation in the framework programme should correspond to the financial perspective in force for the whole period of the programme; whereas account should be taken of the fact that a new financial perspective will be negotiated during the course of the fifth framework programme; whereas, if the maximum overall amount were inconsistent with the amount available for research within the financial perspective then in force, or if there were no financial perspective in force, it would be necessary to decide on a new amount under the conditions provided for in the Treaty; whereas there should be equivalent arrangements for the specific programmes; whereas, in the absence of such arrangements, the specific programmes could not be implemented since they would have been deprived of a legal base for the expenditures which they foresee;
(18) Whereas the administrative expenditure arising from research activities has to be financed within the general amount allocated to the framework programme and should be included in the budget in a transparent fashion;
(19) Whereas the criteria which have been laid down to choose the topics covered by the fifth framework programme and the related scientific and technological objectives take into account the abovementioned principles; whereas those criteria should also be applied when the fifth framework programme is implemented, in order to ensure consistency;
(20) Whereas the Joint Research Centre (JRC) will implement direct RTD actions through research and scientific and technical support activities of an institutional character where it has special or even unique expertise and facilities in the Community or where it is entrusted with activities necessary for the framing and implementation of Community policies and tasks incumbent on the Commission pursuant to the Treaty which require the JRC's impartiality; whereas in addition, it will participate progressively in a competitive approach, as a member of consortia, in carrying out research activities foreseen by way of indirect actions;
(21) Whereas it is necessary to take into account the ethical aspects of advances in knowledge and technologies and their application and to conduct research activities in compliance with fundamental ethical principles and with the protection of privacy;
(22) Whereas the Community equal opportunities policy must be taken into account in implementing the fifth framework programme whereas, therefore, participation of women in the field of RTD should be encouraged;
(23) Whereas, in addition to the annual report to be submitted to the European Parliament and the Council pursuant to Article 130p of the Treaty, arrangements should be adopted, in accordance with recommendations to be implemented in respect of transparency and sound and efficient management, for the systematic examination of the progress of the fifth framework programme and its evaluation;
(24) Whereas the European Parliament, as one of the decision-making bodies for future research programmes, intends to follow the progress of the framework programme during its implementation by the Commission, while not impinging on or constraining the Commission's implementation role;
(25) Whereas a modus vivendi between the European Parliament, the Council and the Commission concerning the implementing measures for acts adopted in accordance with the procedure laid down in Article 189b of the Treaty (7) was concluded on 20 December 1994;
(26) Whereas it is necessary to reinforce the phasing-in within the framework Programme, in accordance with the eligibility criteria, of certain coal and steel research activities currently being carried out on the basis of the Treaty establishing the European Coal and Steel Community, which expires in 2002;
(27) Whereas, in order to ensure consistency between research activities undertaken under the Treaty establishing the European Community and those carried out under the Treaty establishing the European Atomic Energy Community, the Decision concerning the framework programme for nuclear research and training activities should be adopted at the same time and for the same period as this framework programme;
(28) Whereas the Scientific and Technical Research Committee (CREST) has been consulted,
HAVE DECIDED AS FOLLOWS:
Article 1
1. A multiannual framework programme for all Community activities, including demonstration activities, in the field of research and technological development, hereinafter referred to as the 'fifth framework programme`, is hereby adopted for the period 1998 to 2002.
2. The fifth framework programme shall, in accordance with Article 130g of the Treaty, comprise four Community activities:
(a) implementation of research, technological development and demonstration programmes;
(b) promotion of cooperation in the field of Community research, technological development and demonstration with third countries and international organisations;
(c) dissemination and optimisation of the results of activities in Community research, technological development and demonstration;
(d) stimulation of the training and mobility of researchers in the Community.
The first Community activity shall relate to the following four themes:
1. quality of life and management of living resources;
2. user-friendly information society;
3. competitive and sustainable growth;
4. energy, environment and sustainable development.
The second, third and fourth Community activities shall relate to the following three themes respectively:
1. confirming the international role of Community research;
2. promotion of innovation and encouragement of participation of SMEs;
3. improving human research potential and the socioeconomic knowledge base.
Activities undertaken within the thematic programmes of the first Community activity will also contribute, in coordination and interaction with the horizontal programmes, to the achievement of the objectives of those three themes.
Complementarity with relevant initiatives of the Member States, and initiatives such as COST and Eureka, will be sought.
3. The criteria for selecting the themes referred to in paragraph 2 and the related objectives are set out in Annex I. They shall apply for the purposes of the implementation of the fifth framework programme.
4. The general outlines of the Community activities, their scientific and technological objectives and the related priorities are set out in Annex II.
Article 2
1. (a) The maximum overall amount for Community participation in the fifth framework programme shall be ECU 13 700 million.
Of this amount:
to ECU 3 140 million is for the period 1998 to 1999,
to ECU 10 560 million is for the period 2000 to 2002.
(b) The figure of ECU 10 560 million shall be deemed to be confirmed if it is consistent with the financial perspective in force in the period 2000 to 2002. In the case of any new financial perspective in force, this condition shall be met only if:
- the financial perspective indicates the share of expenditure available for research, and
- that share permits Community participation of ECU 10 560 million in the period 2000 to 2002.
(c) If the figure of ECU 10 560 million is not consistent with the financial perspective in force in the period 2000 to 2002, or if there is no financial perspective in force in those years,
- the European Parliament and the Council, acting under the conditions provided for in Article 130i(1) of the Treaty, shall set a new maximum overall amount and adjust the amounts in Annex III accordingly,
- the Council, acting under the conditions provided for in Article 130i(4) of the Treaty, shall adapt the amounts deemed necessary for the specific programmes referred to in Article 3, so as to ensure their consistency with the new maximum overall amount.
Pending the decisions provided for in the first and second indents above, the specific programmes shall not be implemented beyond the provision in the first indent of subparagraph (a) of this paragraph.
2. The amount referred to in paragraph 1 shall be subject to revision should new Member States accede before this framework programme expires.
3. Annex III fixes the respective amounts earmarked for each of the Community activities envisaged in Article 1 and indicates the breakdown between the themes of the first Community activity defined in Article 1(2).
4. All administrative expenditure arising from the research activities shall be paid from the overall amount of the programme. It shall be dealt with in the general budget of the European Communities according to the usual procedures applicable to other comparable administrative expenditure.
Article 3
1. The fifth framework programme shall be implemented through eight specific programmes, four of which correspond to the four themes of the first Community activity, three are linked to the second, third and fourth Community activities respectively, and the eighth is a programme specific to the Joint Research Centre. The scientific, industrial and user communities will be closely involved throughout this implementation process.
Each specific programme shall specify its precise objectives having regard to the scientific and technological objectives set forth in Annex II, define the detailed rules for its implementation, fix its duration and provide for the means deemed necessary.
The Commission will establish and publish under its own responsibility a detailed manual of operational procedures and guidelines for the selection of research and technological development actions.
2. Implementation of the fifth framework programme may give rise, where necessary, to supplementary programmes within the meaning of Article 130k of the Treaty, to Community participation in research and development programmes undertaken by several Member States within the meaning of Article 130l or to the setting-up of joint undertakings or any other structure within the meaning of Article 130n. It may also give rise to cooperation with third countries or international organisations within the meaning of Article 130m.
Article 4
The detailed rules for financial participation by the Community in the fifth framework programme shall be those laid down in accordance with the special provisions concerning research and technological development appropriations set out in the Financial Regulation applicable to the general budget of the European Communities (8), as supplemented by Annex IV to this Decision.
Article 5
1. The Commission shall continually and systematically monitor each year, with the help of independent qualified experts, the implementation of the fifth framework programme and its specific programmes in the light of the criteria set out in Annex I and the scientific and technological objectives set out in Annex II. It shall assess, in particular, whether the objectives, priorities and financial resources are still appropriate to the changing situation. Where appropriate, it shall submit proposals to adapt or supplement the framework programme and/or the specific programmes, taking account of the results of this assessment.
2. Before submitting its proposal for a sixth framework programme, the Commission shall have an external assessment conducted by independent highly qualified experts into the implementation and achievements of Community activities carried out during the five years preceding that assessment in the light of the criteria set out in Annex I, the scientific and technological objectives set out in Annex II and the implementation of this Decision via the specific programmes based thereon. The Commission shall communicate the conclusions thereof, accompanied by its comments, to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions.
3. The independent qualified experts referred to in paragraphs 1 and 2 shall be drawn in particular from scientific, industrial and user communities and chosen by the Commission, which shall take account, in a balanced fashion, of the various research players.
The Commission shall make known the full list of experts and their individual qualifications following their appointment.
4. The Commission shall regularly inform the European Parliament and the Council of the overall progress of the implementation of the framework programme and the specific programmes.
Article 6
Halfway through the term of the fifth framework programme, the Commission shall review progress with the programme and shall submit to the European Parliament and tho the Council, on the basis of the assessments of the various specific programmes, a communication accompanied, if appropriate, by a proposal for the adaptation of this Decision.
Article 7
All research activities conducted pursuant to the fifth framework programme shall be carried out in compliance with fundamental ethical principles, including animal welfare requirements, in conformity with Community law.
Done at Brussels, 22 December 1998.