COMMISSION OF THE EUROPEAN COMMUNITIES 
Brussels, 12.02.1997 
COM(97) 47 final 
Commission Working Paper 
"TOWARDS THE 5TH FRAMEWORK PROGRAMME: 
SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES" 

CONTENTS 
INTRODUCTION 
THE CRITERIA FOR SELECTING THE OBJECTIVES AND AREAS 
THE PROGRAMMES: CONTENT AND OBJECTIVES 
1. Organisation and content 
2. The scientific and technological objectives 
"Unlocking the resources of the living world and the 
ecosystem" 
"Creating a user-friendly Information Society" 
"Promoting competitive and sustainable growth" 
"Confirming the international role of European research" 
"Innovation and participation of SMEs" 
"Improving human potential" 
THE PROGRAMMES: IMPLEMENTATION AND LEGAL ASPECTS 
1. Implementation 
• Two major objectives: coordination and flexibility 
• Instruments 
2. Legal aspects 
THE PROGRAMMES: MANAGEMENT 
CONCLUSIONS 
l<\ 
INTRODUCTION 
This second Working Paper on the 5th Framework Programme for Research 
and Technological Development is intended to pave the way for a new stage 
in the preparation of the Framework Programme. 
The Communication "Inventing Tomorrow" dated 10 July 1996 set out the 
broad guidelines proposed for the 5th Framework Programme. In this 
document, the Commission underlined its readiness to mark, with this new 
Programme, a distinct break with earlier Framework Programmes, by 
focusing efforts to a greater extent, by improving the consistency of the 
overall approach and by paying greater attention to the exploitation of results 
and the management aspects. 
The first Working Paper dated 20 November clarified and gave more detail 
about the proposed structure and instruments for implementing the 
Programme. The two documents have already been widely discussed, and 
the validity of the proposed guidelines have been broadly endorsed. 
The purpose of this second Working Paper is to give a more detailed idea of 
the possible content of the 5th Framework Programme and the scientific and 
technological objectives of the proposed activities within the various 
programmes. 
These objectives have been formulated on the basis of an analysis of the 
socio-economic and technological situation in Europe, and the conclusions of 
the evaluation of the activities conducted under earlier Framework 
Programmes. 
In support of this Communication, the Commission Sendees have prepared 
separate documents setting out the main socio-economic and technological 
indicators and a summary of the conclusions of the five-year evaluation 
reports on European Union activities. 
This Working Paper also explains the criteria used to select the objectives 
and provides further clarifications about the implementation and legal and 
financial aspects. 
These aspects and the financial aspects will be explained in full in the formal 
proposal concerning the 5th Framework Programme that the Commission 
plans to submit at the end of March 1997, and which will contain the 
Commission's definitive proposals in the light of reactions to this Working 
Paper. 
U 
THE CRITERIA FOR SELECTING THE OBJECTIVES 
AND AREAS 
The basic task of the European Union's research and technological 
development policy is to ensure that advances in knowledge and technologies 
serve the purposes of die Union and its policies. From this perspective, the 
two inseparably linked objectives of this policy are: 
to maintain and enhance, in the context of a genuine "European 
research area", the research potential of European laboratories, 
universities and companies and their ability to produce knowledge of the 
highest level and high-quality technologies; 
to help ensure that European research serves the Union's economic and 
social objectives, in other words European research at the service of 
the citizen and European competitiveness in a global framework. 
Basically, therefore, as provided for in Article 130f of the Treaty on 
European Union, the EU's research and technological development policy is 
based on the twin principles of scientific and technological excellence and 
relevance to the objectives of Union policies. 
On account of these specific features, and in pursuit of a cost-benefit 
approach dictated by concern for optimum allocation of European public 
funding, die choice of objectives and activities under the Framework 
Programme must be made on the basis of a set of clear criteria. 
This requirement is particularly important in the case of the 5th Framework 
Programme where it is expected that its definition should be marked by a 
particular effort of selectivity and concentration on a limited number of areas 
and objectives. The 5th Framework Programme will therefore use for the 
definition of its content, three categories of criteria1: 
1 For clarity, these criteria arc presented separately: however, several of them are highly interrelated 
(eg: growth, competitiveness, employment). 
2 
Criteria related to social objectives 
The scientific and technological objectives selected must help to fiirther major European Union 
social objectives reflecting the expectations and concerns of EU citizens: 
improving employment 
- promoting the quality of life and health; 
- preserving the environment 
Criteria related to economic development and 
scientific and technological prospects 
The scientific and technological objectives selected must correspond to areas: 
which are expanding and which create good growth prospects; 
- in which European firms can and must become more competitive; 
— in which prospects of significant technological progress are opening up. 
Criteria related to the European "value added" and the 
subsidiarity principle 
The scientific and technological objectives selected cannot be achieved through private research 
alone and are more effectively pursued at the European level and can be achieved more easily 
with projects at that level: 
because a "critical mass" in human and financial terms needs to be established, and a 
mixture of complementary expertise found in the various countries is needed; 
because a significant contribution can be made in this way to the implementation o-'one 
or more European Union policies; 
because these objectives concern European problems, aspects of standardisation and 
the development of the European area. 
Table n° 1: The selection criteria 
These criteria have been used for the identification of: 
the six major priority areas set out in the Communication "Inventing 
Tomorrow "; 
scientific and technological objectives for the activities which could be 
conducted under the programmes corresponding to those priorities. 
They will also be used during the subsequent stages of preparing the 
Framework Programme and they will continue to guide the concentration and 
selectivity effort at the stages of the definition of the detailed content of 
specific programmes and of their work programmes, as well as at the 
proposal selection stage, where they will help to identify the relevance of 
proposals to the objectives. They should also subsequently facilitate 
programme evaluation. 
THE PROGRAMMES: CONTENT AND OBJECTIVES 
The Treaty on European Union provides for four types of activities to 
implement research and technological development policy.2 The structure of 
the 5th Framework Programme takes this into account. This section 
describes how the proposed programmes would be organised on the basis of 
these four activities and sets out the scientific and technological objectives 
identified for the activities under the programmes. 
L ORGANISATION AND CONTENT 
In its first Working Paper dated 20 November 1996 the Commission 
proposed organising the 5th Framework Programme on the basis of six 
programmes corresponding to the six priorities identified in the 
Communication "Inventing Tomorrow". The first three programmes 
("thematic" programmes) are the research and technological development 
programmes corresponding to die first activity referred to in the Treaty. The 
last three ("horizontal" programmes) are programmes corresponding to 
activities II, III and IV respectively. 
Three "thematic" programmes: 
"Unlocking the resources of the living world and the ecosystem 
"Creating a user-friendly information society" 
"Promoting competitive and sustainable growth "; 
Three "horizontal" programmes: 
"Confirming the international role of European research" 
"Innovation and participation ofSMEs" 
"Improving human potential ". 
Table n° 2: The six programmes proposed for the Framework Programme 
The "thematic" and "horizontal" programmes would be both complementary 
and interrelated. With a view to maximum efficiency, and in line with the 
recommendations of the Framework Programme evaluation panel, it is 
proposed that the greatest possible account should be taken of the objectives 
of activities II, III and IV in the "thematic" programmes. One of the main 
2 Activity I: Implementation of research, technological development and demonstration programmes 
by promoting cooperation with and between enterprises, research centres and universities; 
Activity II: Promotion of cooperation in the field of research, technological development and 
demonstration {...J with third countries and international organisations; Activity III: Dissemination 
and optimisation of the results of research, technological development and demonstration activities 
I...J; Activity IV: Stimulation of the training and mobility ofresearchers /.../. 
functions of the "horizontal" programmes would therefore be to ensure 
coordinated implementation of all the activities related to these objectives at 
the level of the Framework Programme as a whole. While having their own 
objectives, the "horizontal" programmes would therefore help in the coherent 
implementation of the "thematic" programmes.3 
1.1 The content of the "thematic" programmes 
These programmes would be organised in such a way as to reconcile the 
desire to focus efforts on a limited number of objectives and the need to 
maintain and strengthen the science and technology base. To this end, these 
three programmes would comprise, firstly, a series of "key actions", 
secondly, general activities for the development of generic technologies and 
basic research, and, thirdly, activities in support of research infrastructures. 
ill Key actions 
The aim of these actions would be to stimulate the implementation, on topics 
connected with priority social and economic objectives for the European 
Union, of comprehensive approaches based on the mobilisation of a wide 
spectrum of disciplines, technologies and knowhow, concentrating on the 
bottlenecks of all types (scientific, technological and socio-economic) which 
are hindering the resolution of the problems involved. The experience built up 
during the first phase of implementation of the 4th Framework Programme 
shows that organising the 5th Framework Programme in a limited number of 
bigger programmes, while creating the conditions for more consistent and 
more effective management, would make it much easier to carry out such 
actions. 
For the implementation of "key actions", lessons would be drawn from the 
pilot experience of "Task Forces" set up in the 4th Framework Programme. 
In particular, their detailed content would be defined and their 
implementation monitored in close conjunction with research players and 
users. In this process, the detailed arrangements of which are being 
examined, efforts will be made to maintain an appropriate balance between 
suppliers and users of knowledge and technology. 
One of the aims pursued would be to stimulate the emergence of a genuinely 
integrated science and technology area in the fields concerned, by mobilising 
public and private European and national resources in a convergent manner. 
Some of the programme activities would be implemented by the Joint Research Centre (JRC). As ihc 
Commission's scientific and technical arm, the JRC provides, through its impartial and independent 
position, the expertise and support needed for the implementation of Union policies. 
As and when implemented, the key actions would give rise to the definition 
and launching of large targeted projects. 
On the basis notably of an analysis of the needs capable of being most 
effectively addressed at European Union level, 16 subjects for key actions to 
be undertaken are proposed.^ 
(ii) General activities for the development of generic technologies 
and basic research 
These activities represent the "traditional" component of EU research 
programmes and would comprise a significant volume of activities, but on 
very selectively defined topics. These activities would complement the key 
actions, covering work either on topics linked to the objectives of the 
programme but distinct from those of the key actions, or on the topics of the 
key actions but addressing other aspects of those topics than those considered 
in those actions, particularly the more fundamental aspects. 
Complementing the key actions, the activities for the development of generic 
technologies and basic research would therefore also provide support for 
such actions. Carrying them out would help to both achieve the objectives of 
the programme and implement the research and technological development 
policy of the Union as a whole: one of their prime functions would be to help 
die Union maintain and develop the flow of ideas and knowledge, as well as 
its technological capability. 
(iii) Support for research infrastructures 
In most of the areas covered by the three programmes it is necessary to use 
different types of infrastructure in order to conduct research activities: large 
facilities, networks, centres of excellence. With a view to making the most 
cost-effective use of them and in order to improve die consistency of the 
European research fabric, greater support would be provided than hitherto 
towards optimizing the utilization of such infrastructure on a European scale. 
Justification based on the identified criteria is provided to support the outlines of key actions in the 
next chapter. The synopsis table in Annex I suggests the extent to which each of these actions 
satisfies the different criteria. 
L2 The content of the "horizontal" programmes 
The "horizontal" programmes are at the crossroads of European Union 
research policy and its external policy, innovation policy, and policy on 
education and training and die promotion of personal mobility. Each of them 
would comprise: 
activities directly linked to those conducted in liaison with their 
respective objectives in the context of the "thematic" programmes. 
They would essentially take the form of coordination, support and 
accompanying activities; 
- activities linked to the general objectives of European Union policy in 
the field of external relations, innovation and human resources which 
cannot be carried out under die "thematic" programmes. 
The two categories of activities would be carried out in close coordination 
between each other and with die corresponding activities under the 
"thematic" programmes. 
1.3 Coordination 
By reducing the number of programmes, some contributors to administrative 
compartmentalisation are eliminated, and they should not be reintroduced. 
The activities under each of the programmes would therefore be conducted, 
much more clearly than before, in close consultation with those of other 
programmes. In some cases they would be implemented in the context of 
actual inter-programme integration. 
This formula is essential for the implementation of multi-disciplinary 
activities of very general interest, based on work carried out in several 
programmes. This would be the case notably in the fields of space 
technologies, the key action on 'The City of Tomorrow' and of course, the 
key action on 'Products, Processes, Organization' which is equally relevant 
to the two programmes 'Creating a User-Friendly Information Society' and 
'Promoting Competitive and Sustainable Growth'. 
Giving a much larger role to the demonstration dimension, as well as to 
pre-normative research aspects, the research activities under the various 
programmes would take more account, from the start, of user and consumer 
requirements in terms of safety and quality. 
The 5 th RTD Framework Programme 
Organization and Content 
"COMPETITIVE 
AND SUSTAINABLE 
GROWTH" 
"Thematic" 
programmes "HUMAN POTENTIAL" 
"Horizontal" 
programmes 
fable 3: Proposed organization of the 5th Framework Programme ("thematic* and "horizontal" 
programmes: key acfisRS artô general activities for the development of generie technologies 
and teasie research). 
2. THE SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES 
2.1 Unlocking the resources of the living world and the ecosystem 
The progress of knowledge and technology in the fields of the living world and the 
environment is essential for the implementation of the policies of the Union, in particular in 
the fields of health, agriculture, and the environment, as well as its industrial policy. 
In this context, a broad range of new markets, bringing growth and employment, should soon 
emerge. 
To ensure the exploitation of these markets and to optimise their impact on the quality of life 
of its citizens, the Union can build on its strong tradition in molecular biology and 
biochemistry, medical and pharmaceutical research, and agronomic and environmental 
sciences, and on its great potential in the corresponding areas of industry. 
(i) General objectives of the programme 
To acquire knowledge and develop the necessary technologies to: 
maintain and improve the quality of life of the citizens of Europe and the 
quality of the environment in Europe; 
increase the competitiveness of European industry, particularly in the 
fields of biotechnology, health, agro-industry and the environment; 
understand and master the problems and trends affecting the environment 
on the European and worldwide scale. 
(ii) Scientific and technological objectives 
Key actions 
The living world and ecosystem (I): 
health and food 
The quality of food is a subject of major concern for the people of Europe, and they expect the 
Union to provide a permanent framework for its guarantee. With this in mind, this action would 
aim at the development of knowledge, technologies and methods based, for example, on 
biotechnology for the production in Europe of a safe, healthy, balanced and varied fooc supply 
This requires as a priority the development of tests to detect, and methods to eliminate, infectious 
and toxic agents, as well as work in the areas of epidemiology, science and technology of nutrition. 
and public health. 
10 
Aspects of justification:-* The problem of "mad cows" and the controversies surrounding genetically 
modified soya and maize have indicated clearly that the quality of food is a matter of public concern 
which must be addressed as a serious social issue on a European scale. The European Union is the 
world's largest producer of food and drink, which represent 16.5% of its industrial production. The 
impact of food on health can easily and accurately be illustrated by comparing clinical and 
epidemiological data from different European countries. 
The living world and ecosystem (II): 
control of viral and infectious diseases 
Despite the progress achieved by medicine during the 20th century, microbial, viral, parasitic, 
prion', and infectious diseases are still far from being under control. With responsibility for 
ensuring a high level of public health in Europe, the Union has to help fight them. Such would be 
the aim of this action, which would focus particularly on the fight against AIDS, the control of the 
"new plagues" (haemorrhagic fevers, illnesses connected with new or mutant microbial or viral 
strains), and the development of vaccines, especially against viral illnesses. Close attention would 
be paid to prevention strategies and to aspects connected with public health and care provision 
systems. 
Aspects of justification: Infectious diseases kill J 7 million people every year throughout the world and 
30 new epidemics have been observed during the last two decades. The world market for vaccines (3 
billion ECU per annum) is set to grow by 9.7% per annum in the coming years; the world market for 
vaccines for the treatment and prevention of cancer could reach 10 billion ECU in the year 2000. Multi­
centre clinical trials at European level will allow a considerable increase in the speed of development, 
authorisation and marketing of new medicines and facilitate their use throughout Europe. 
The living world and ecosystem (III): 
the "cell factory" 
Progress in the science and technology of the living world opens up considerable opportunities for 
industry. To assist enterprises to exploit these opportunities in the single market in the context of 
the Union's policies on, for example, health and the environment, the aim of this action would be 
the development of multidisciplinary technologies based on the exploitation of the properties of 
living organisms (micro-organisms, plants and animals) at the cellular and sub-cellular levels, in 
order to develop, in particular, new antibiotics and anticancer agents, bio-treatment methods for 
waste, and new biological processes for the agri-food industry. 
A spects of justification : 280 new therapeutic molecules were developed in 1995 through biotechnology. 
The European market for biotechnology-derived products has grown by 30% since 1995 and should 
reach 100 billion ECU by the year 2000. Biotechnology is an activity at the intersection between many 
disciplines and technologies. Progress relies on combining a range of skills and knowhow, and this is 
much easier to achieve at European level. This sector also plays a very important role with respect to 
the Union's industrial policy, and must be considered in the framework of an overall approach which 
covers the industrial, research, environment and ethical aspects together. 
• This justification gives examples, for illustrative purposes, based on the three categories of criteria -
societal demand, economic and technological prospects and European added value. 
11 
The living world and ecosystem (IV): 
management and quality of water 
Now a rare resource whose quality is under threat, water must be managed in the most rational 
way possible. Situated at the intersection of agricultural policy, environmental policy and regional 
policy, this action would aim to produce the knowledge and the technologies necessary to achieve 
this, to satisfy both domestic needs and those of industry and agriculture. Among the priority fields 
concerned are: technologies for treatment and purification; for monitoring the quality of the water 
table and of surface waters; systems for surveillance, warning and communication; technologies 
for the regulation of stocks and technologies for arid and semi-arid regions. 
Aspects of justification: 20% of surface water in the Union is threatened by pollution and more than 60% 
of farmland contains levels of fertilisers and pesticides considered alarming in terms of local water 
quality. Investments in equipment and services for water in the European Union are likely to be more 
than 30 billion ECU in the year 2000. Water is in many cases a shared resource across the Union: 
several member states depend for more than 50% of their water on suppliers from other countries. The 
problem of water quality also plays a central role in the Union's environmental policy. 
The living world and ecosystem (V): 
environment and health 
The deterioration of the environment can have a serious adverse effect on health. The aim of this 
action would be to help reduce this effect, starting with a better understanding of the mechanisms 
involved. It would consist in particular of work on epidemiology and the development of new 
methods of diagnosis and prevention, as well as methods to reduce harmful impacts, and be carried 
out in close coordination with the aims of the Union's environmental policy objectives and would 
concern subjects such as the effects on health of air pollution, heavy metals and toxic substances, 
electromagnetic radiation, the effects of pollution at the workplace, and the impact of climatic 
changes on public health. 
Aspects of justification: 13% of cases of asthma and 15% of respiratory infections affecting the 
European urban population could be related to exposure to urban pollution. Much of the progress made 
in improving our understanding of the effects of heavy metals (such as lead) on health is due to 
comparative epidemiology at the European level. Regulations adopted at European level on nuclear and 
industrial safety and the safety of domestic products depend on the availability of an objective scientific-
information base. 
The living world and ecosystem (VI) 
new rural and coastal areas 
Agriculture and fisheries, essential areas of activity' in rural and coastal areas, are facing profound 
changes. From this perspective, the aim of this action would be to mobilise knowledge and the 
technologies needed to put in place innovative approaches to production and exploitation, adapted 
to recent adjustments in the common agricultural and fisheries policies, whilst also providing the 
scientific basis for Community regulations. Among the priority areas are: new systems of 
production and utilisation in agriculture, forestry and fishing taking into account profitability, the 
sustainable management of resources, product quality and employment; non-food uses; control 
methods; new models of sustainable development of rural and coastal areas based on optimisation 
of the specific potential of each area and the diversification of activities and the use of land, and 
involving the people concerned. 
12 
Aspects of justification: 80% of the Union 's territory can be categorised as rural, and the agricultural 
sector is made up of nearly 7 million holdings which give work to some 14 million people. In the 
fisheries sector, 70,000 enterprises (essentially SMEs) generate a turnover of nearly 20 billion ECU. 
Agriculture and fisheries are fully integrated policies at European level and account for half of the 
Community budget. The European Parliament and the Committee of the Regions recently confirmed their 
desire to give rural areas the means to play their full part in the territory and economy of the Union. 
• General activities for the development of generic technologies and basic 
research 
Work would concentrate on the following priorities: 
research in support of the fight against age-related diseases and health problems 
(e.g. Alzheimer's disease), degenerative illnesses (e.g. cancer and diabetes), 
illnesses of genetic origin and rare diseases; genome research and the 
neurosciences; 
research in support of the improvement of health systems, the improvement of 
safety at work, and the fight against drug-related public health problems; 
bioethics; 
research to support the fight against major natural and technological risks (in 
particular "global change"): forecasting, prevention, evaluation of impacts and 
mitigation of consequences, research on the impact of environmental changes on 
the economy, society and employment within a perspective of sustainable 
development; 
work to support the development of generic earth observation technologies, 
notably satellite technologies, for environmental monitoring and resources 
management. 
• Support for research infrastructure 
support for optimum use at European level of infrastructure such as databases and 
collections of biological material; clinical testing centres; marine research facilities 
and computer centres for climate studies. 
(iii) Consideration of the recommendations of the evaluation exercise 
Recommendations of the programmes' evaluation panels in the areas concerned include. 
a stronger involvement of user sectors and the industrial sphere should be sought 
(Biotechnology); 
greater account should be taken of "sustainability" aspects and the concerns of consumers 
(Agriculture and Fisheries); 
actions should be directed more strongly towards the needs of users and should be designed 
with more attention to short- and medium-term policy objectives (Environment). 
13 
2.2 Creating a user-friendly information society 
The creation of the information society can make a significant contribution to renewed growth and 
the development of new forms of jobs in the Union: the development of information and 
communications technologies and their application will lead to the creation of several million jobs in 
Europe 
The Union is faced with intense international competition yet concerned to preserve the cultural 
diversity which constitutes its wealth. It must therefore develop those technologies which will make 
it possible to create an original and user-friendly kind of information society. 
The information society means fundamental industrial and social change: its establishment is 
opening up multiple possibilities for new activities, both for individuals and for companies, in the 
fields of trade, work, transport, education, health, and culture The technologies associated with the 
information society at the same time penetrate every kind of industrial activity and all areas of 
society. Their economic and social impact by far exceeds that of the industries which directly 
produce information and communications equipment and services. In sum, these technologies 
provide a vital contribution to the key actions of the other two thematic programmes. 
(i) General objectives of the programme 
It will not be possible to achieve fully the potential of the information society on 
the basis of the systems and technologies of today. Continual progress is being, 
made in the essential technologies such as micro-electronics and this determines 
all the new applications. A continuous effort of research, technological 
development, and technology adoption is therefore necessary, which requires a 
single, integrated programme to be put into effect in conjunction with the policies 
of the Union. The aim of this programme should be to help the goods, services 
and methods made possible by the technologies of the information society to 
contribute to die achievement of the political goals of the Union in: 
creating new jobs and strengtliening the competitiveness of companies; 
stimulating the development of new markets and services of general 
interest and strengthening the role of the general public in society; 
improving the attractiveness of Europe as a place for investment, research, 
and innovation, and strengthening the scientific and technological base of 
the Union, with the goal of reinforcing global competitiveness. 
To fully achieve its potential, such a programme must take into account, on a 
cost/benefit basis, the need for accessibility and interoperability, at all levels, 
from technologies and tools to systems and applications. 
14 
In determining the structure of the programme, account must be taken of: 
the links between applications and technologies, so as to reflect the 
complex dynamics of innovation, pulled by demand and driven by 
technology, as well as the role played by apphcations to guide and 
validate research and to stimulate the adoption of technologies, through 
encouraging the user-producer link which is at the heart of innovation. 
the need for transdisciplinarity. 
In this context, the best structure will be obtained by grouping together those 
apphcations and technologies which are most alike or most interdependent and 
integrating research with technology take-up in order to maximise effectiveness 
and minimise the need for coordination. These considerations lead to a 
programme of 4 closely coordinated key actions, supported by a group of basic 
research activities. 
(ii) Scientific and technological objectives 
• Key actions 
Information society (I): 
services for the citizen 
Information society technologies must meet users' and consumers' expectations and 
requirements and the need to provide them with access, at the lowest cost, to quality general-
purpose services. This key action would emphasise interoperability of applications and focus on 
the following five priority fields: education and training, health and the elderly, public 
authorities, the environment and transport. Particular attention would be given to the integration 
of these applications and their validation in digital sites, towns or regions. In education and 
training, the emphasis would be on multimedia applications and new teaching methods using 
simulation and virtual reality and, lastly, the development of applications using broadband 
communications. On the subject of health and the elderly, priority would be on developing 
computerised medical systems, secure high capacity health networks, and advanced interfaces 
and tele-systems for the integration of the elderly and the disabled into social life. The tasks of 
the public authorities could be made easier by giving the public and businesses better access to 
public services through applications giving access to "on-line government". As regards 
environmental protection, priority would go to the development of telematic systems for 
environmental managers and for the public for the purposes of surveillance, analysis and 
issuing warnings. Finally, transport would benefit from the development of the advanced 
telematic systems needed for management and teleservices. 
Aspects of justification: the countries of the European Union are all faced with the challenge of 
improving the quality of their public sendees while containing costs. Furthermore, the emergence of 
the information society in these sectors provides major opportunities for industry and employment. 
Indeed, the number of households connected to electronic information networks is set to triple 
worldwide between 1996 and the year 2000 to a total of 100 million, including SO million in Europe. 
Within 10 years, the market for applications connected with the Information Society could be worth 
several billion ECU annually; for example, ECU 15 billion for health applications, ECU 10 billion 
for education and training, ECU 8 billion for transport-related telematics alone, and ECU 5 billion 
for the environment. The applications involved in the information society (health, transport, education, 
and the environment) are transnational by nature and constitute several of ihe European Union 's 
15 
policy areas. Performing activities in this area at a European level will help with the required 
modernisation of the sectors concerned, ensure the interoperability of services and compatibility of 
equipment, and help to preserve Europe's linguistic and cultural diversity 
Information society (II): electronic trade and new 
methods of work 
The completion of the single market and Economic and Monetary Union are two major 
priorities of the European Union. This action would aim to help European enterprises operate 
efficiently and enable them to become more fully part of the global economy, amongst other 
things by means of modern statistical systems. It would focus in particular on improving the 
efficiently of trade in goods and services. Among the topics concerned are: management systems 
for suppliers and consumers; the security of information and networks; the technical means for 
authentication and protection of ownership and the integrity of contents, as well as interoperable 
payment systems; flexible, mobile and remote working methods both for individuals, and for 
cooperative- and group-working. 
Aspects of justification: by the year 2005, one third of all banking transactions worldwide could be 
completed electronically; by the year 2000, it is expected that there will be more than 10 million tele-
workers in the European Union and nearly 40% of businesses will be trading electronically. By 2004, the 
European market for commercial telematic services should amount to some ECU 11 billion. The changes 
in working methods and trade resulting from information and communication technologies mostly go far 
beyond the level of the individual firm, the industrial or service sector, or even the national economies. 
They affect the whole world and necessitate action at a European level, if we wish the Union to fulfil its 
potential as the primary world market. 
Information society (III): multimedia contents 1 
Developing creativity in, and increased use of, multimedia contents are two major elements in 
fully establishing the information society, and helping to promote linguistic and cultural 
diversity. The objective of this key action would be the development of innovative forms of 
multimedia contents as well as tools for structuring and processing them. The action would be 
focused on three main lines: interactive electronic publishing, with new methods for creating 
and structuring publications, and for personalised dissemination of information and accessing 
cultural items, for example through electronic libraries and virtual museums; new language 
technologies which help to make information and communications systems more user-friendly: 
advanced technologies for accessing, filtering and analysing information which help to manage 
the explosion of information and facilitate the use of multimedia contents, notably will respect 
to geographical and statistical information systems. 
Aspects of justification: the turnover of industries in the European Union connected with the content of 
information and communication systems and networks amounts to ECU 150 billion per annum. They 
employ 2.1 million people full time, and within the next 10 years are expected to create one million 
additional jobs. Even if almost all the information on the Internet is in English, 50% of current Internet 
users do not have English as their mother tongue. Highlighting Europe s cultural and linguistic diversity 
forms an important part of the European Union 's education, audiovisual and culture policies. 
Information society (IV): essential technologies and 
infrastructures 
To foster the spread of die information society throughout Europe, excellence in the 
technologies constituting its key elements should be promoted, their introduction speeded up. 
and their field of application broadened. These technologies include: computing, communication 
16 
and network technologies, the latter comprising architectures, protocols and methodologies, as 
well as their introduction and use; software and systems technologies and engineering; mobile 
and personal communications, in particular satellite-based services; interfaces making use of 
multiple human senses; peripherals, e.g. flat screens, microsystems; micro-electronics 
(technologies, skills, equipment and hardware necessary for the design of circuits and the 
development of applications). 
Aspects of justification: from 1994 to 1995, the worldwide market in information society technologies 
grew by 11% - more than any other economic sector. In 1995, this market was worth ECU 304 billion. 
Approximately 40-50% of the cost of a modern aircraft is for avionics hardware and software More than 
15% of the cost of a car lies in its electronics. 
• General activities for the development of generic technologies and basic 
research 
Work undertaken from a 'Visionary" perspective, connected with all the key actions and intended 
to ensure a continuous flow of ideas from laboratories to industry. 
This would be focused on the following priorities: 
technologies for the representation, creation and handling of knowledge; 
simulation and visualisation technologies in real time and on a large scale, and virtual 
presence technologies; 
quantum, photonic, bio-electronic technologies for very large scale integration; ultra-high 
performance computers and super-intelligent networks. 
• Support for research infrastructure 
support for advanced high-flow electronic networks for research. These networks would be 
particularly useful for all programmes. 
(iii) Consideration of recommendations from evaluation exercises 
Recommendations of the programmes' evaluation panels in the areas concerned include: 
the three programmes dealing with telematic applications, advanced communications 
technologies and information technologies should be grouped together in a single programme 
(common conclusion of the evaluation panels of the three programmes); 
work on telematics should be concentrated on emerging sectors and those sectors with a 
particular economic and social relevance, such as those linked to the information society 
(Telematics Applications); 
support for the development of interactive multimedia services should be increased (Advanced 
communications technologies). 
17 
2.3 Promoting competitive and sustainable growth 
Strengthening the competitiveness of firms and moving towards sustainable 
development are two complementary and inseparable objectives for the Union: the 
products and processes which will be competitive on tomorrow's markets will also be 
"clean", intelligent products and processes. 
The development, distribution and application of knowledge and technologies 
necessary to reach these goals are crucial for the implementation of the Union's 
industrial policy, and its policies in numerous other fields, especially transport and 
energy. 
The objective of competitive and sustainable growth should also be extended to urban 
areas, in which most European citizens live and work. 
(i) General objectives of the programme 
To produce the knowledge and technologies which may help to increase 
growth and create new jobs in Europe, by helping to develop: 
"clean" and "intelligent" industrial products and processes to boost 
European industrial competitiveness, which will give businesses the 
opportunity to make the necessary adjustments to their activities; 
economic, safe and environmentally-friendly transport systems; 
energy systems and services guaranteeing security of supply and 
sustainable exploitation. 
(ii) Scientific and technological objectives 
• Key actions 
Competitive and sustainable growth (I): 
products, processes, organisation 
To improve their position in the face of increasingly harsh world competition, European 
industry and enterprises must be able to put innovative products and services on the market 
and develop new production and fabrication methods. The research would cover the 
elaboration, development and integration of new technologies for design, manufacturing, 
control and production: micro-engineering and micro-systems; information society 
technologies for "intelligent" manufacturing, including systems of flexible workshops and 
flexible management of supply chains, embedded systems and remote services for operation 
18 
and maintenance and simulation and shared-work technologies; technologies to reduce resource 
utilisation and effluents, for waste recycling and for the development of clean products, based 
on the concept of "life cycle analysis"; new methods of organisation of work and production, 
and for using skills . 
Aspects of justification: The European Union market for industrial goods and associated services 
amounts to an estimated 4500 billion ECU per annum. 2 million enterprises (99 % with fewer than 500 
employees) are involved, employing some 40 million people. The market for environmental protection 
products is forecast to grow by 50-100 % between now and the year 2000. Use of flexible systems of 
production and clean production processes should bring about, in time, a reduction of 50 % in both 
industrial energy consumption and time to market of products. In addition to cost-sharing, cooperative 
research will facilitate the elaboration and adoption of standards which will be essential in the operation 
of the internal market. 
Competitive and sustainable growth (II): 
sustainable mobility and intermodalit 
In an integrated Europe, the mobility of people and goods will considerably increase. This 
must be able to take place effectively and without damage to the environment, while reducing 
the costs in particular of traffic congestion and accidents. This action is intended to assist in 
this process, at the point at which transport, environment and regional policies intersect, by 
helping to set up a safe, intelligent and interoperable land, air and maritime transport system 
for passengers and freight on a broadly intermodal basis at the European level. This requires, 
among other things, the development of systems for the rational management of transport, 
including second-generation satellite navigation and positioning systems: research on 
infrastructures, accessibility and the integration of regional planning and transport policies; 
and the development of socio-economic scenarios. 
Aspects of justification: Demand for internal transport of goods within the Union doubled between 1975 
and 1995 and will probably double again between now and 2025. The costs of road congestion in the 
Union amount to 120 billion ECU per annum and the total cost of transport "exteriuilities" is estimated 
at 250 billion ECU per annum. As it is closely related to the Trans-European Networks policy being 
implemented by the Union, following on to the White Paper on Growth, Competitiveness, Employment, 
and will involve the very large number of SMEs operating in this sector, the development of an 
intermodal transport system can by definition only be conceived from a European perspective. 
Competitive and sustainable growth (III):new 
perspectives in aeronautics 
Aeronautics is one of the most successful sectors of European industry and is one of the 
Union's main export industries. This action would aim at helping the Union to maintain and 
consolidate its position in this field by improving its mastery of advanced technologies. It 
would cover, more especially, new integrated design and manufacturing technologies, as well 
as the reduction of energy consumption, emissions and noise for various designs of aircraft, 
and include demonstration activities on these topics; technological and economic feasibility of 
new generation aircraft concepts. 
Aspects of justification: Air traffic is forecast to double in volume between now and 2000 and 15000 
new aircraft need to be produced before then. The European aeronautics industry exports 2/3 of its 
production and its performance depends directly on the quality and competitiveness of its products. 
European companies started gaining new markets when they got together to create the Airbus 25 years 
ago. The growing links now visible among US aeronautics companies, to which the US Government pays 
large amount of state aid, could mean the Union might be facing a de facto monopoly controlling 70 % 
of the world market and should encourage Europeans to invest further in the field. 
19 
Competitive and sustainable growth (IV): 
marine technologies 
The sea, which surrounds Europe on every side and has played such an important part in 
European history, is a major economic, social and technological challenge for the Union. The 
objective of this action would be to boost the development and integration of specific 
knowledge and technologies which would enable the Union to fully utilize the sea's potential, 
in support of a true European policy of the sea. The emphasis would be on technologies 
needed to boost the competitiveness of Europe in the range of areas concerned: technologies 
for the design of advanced ships which would be safe, efficient and environmentally-friendly; 
for the use of the sea as an economical means of transporting goods and people (advanced port 
infrastructure; regional maritime transport systems); and for the rational and sustainable 
exploitation of the sea as a source of energy and mineral resources (offshore and subsea 
technologies). 
Aspects of justification: The Union has 90.000 km of coastline and 47 % of its inhabitants live less than 
50 km from the sea. 90 % of the Union's foreign trade is transported by sea. Between 3 and 5 % of the 
Union's GDP relates directly to marine industries and services and marine industries employ mere than 
2.5 million people throughout the Union. The sea is central to the Union's industrial, environment, 
fisheries, research arui energy policies and is the subject of several international agreements to which the 
Union is a party. 
ICompetitive and sustainable'growth (V): 
advanced energy systems and services 
The expected growth in the demand for energy and the need to meet this demand without 
endangering the environment are a major challenge for the Union. This action, based on 
market needs, would aim to help meet this demand, through the development and improvement 
of advanced energy systems that are efficient as regards both production and consumption, so 
as to achieve a substantial reduction of CO2 emissions and other greenhouse gases. The work 
would cover new and renewable sources of energy and their integration into decentralised 
systems; technologies for energy storage and transmission; technologies for clean use of fossil 
energies and the rational use of energy; technologies for exploiting controlled thermonuclear 
fusion (in the context, notably, of the ITER experimental international reactor project); study 
of economy/environment/energy interactions. 
Aspects of justification: Total energy consumption in Europe is forecast to grow by 20 % between now 
and 2020, and the related production of C02 should rise by 14 % unless specific measures are adopted. 
The world market for energy technologies should grow over the next few years to more than 800 billion 
ECU per annum. In its Green Book on Renewable Energies, the Commission proposed as an objective 
the doubling of the share of these technologies in the Union's total energy supply, to rise to 12 % by 
2005. Vie Union 's energy policy is based on the diversification of sources of supply and the maintenance 
of a diversified technological capability which is easier to achieve through European co-operation. 
Competitive and sustainable growth (VI): 
the city of tomorrow 
Most Europeans live and works in towns and cities. The urban environment is the focus ot 
most new developments in the economy and society but it also exacerbates the resulting 
problems. Their harmonious development must be approached from a global, innovative 
viewpoint based on advanced models of urban organisation blending together the heritage ot" 
the past, e.g. the cultural heritage, the restoration of social equilibrium, e.g. making city life 
safer, and the development towards a "value-added" economy. The action would focus as a 
priority on technologies for the integrated management of transport (see the key action on 
20 
sustainable mobility and intermodality), energy (notably in buildings) (see the key action on 
advanced energy systems and services) and technologies for economic and sustainable 
construction; and technologies necessary for the development and demonstration in urban 
contexts of economic, clean, safe and intelligent motor vehicles, e.g. zero-emission vehicles. 
Aspects of justification: 80 % of Europeans live today in towns and cities, which are the focus of most 
economic activity in Member States. The costs of the decay of the European cultural heritage are 
estimated at more than 14 billion ECU per annum. Towns and cities have played a key role in European 
history and today contribute substantially to European integration through the creation of networks of 
co-operation and trade between big regional métropoles (Euro-metropoles: Euro-cities etc.). 
• General activities for the development of generic technologies and basic 
research 
The effort would concentrate in particular on the following priorities : 
research to support the development of new materials for industry and the 
processes for their manufacture; materials resistant to high temperatures (for 
example for energy generation and engines); light materials (for transport and 
construction); functional materials (opto-electronics, biomaterials, sensors) 
designed and developed with ease of recycling in mind; new materials and 
technologies for the production of coal and steel"; 
precompetitive research in support of standardisation and the fight against 
fraud as well as on product and service quality (including the development of 
high-precision measuring instruments); 
research in support of nuclear safety and security: work on the nuclear fuel 
cycle, storage and waste processing; control of fissile material; the effects of 
radiation; and to support the development of new designs of inherently safe 
systems; 
• Support for research infrastructures 
support for optimum use, at European level, of computing centres for 
industrial research; high power wind tunnels; specialized databases; test 
laboratories. 
6 Under the framework programme, it is proposed increasingly to expand the activities currently being 
carried ma on tfce ba^is of the ECSC Treaty, wbkh expires in 2002. 
21 
(iii) Consideration of recommendations from evaluation exercises 
Recommendations of the programmes' evaluation panels in the areas concerned include: 
implement an approach combining a "vertical" concentration on a limited number of 
application topics and "horizontal" support for generic technologies (Industrial 
Technologies); 
guide activities in a more definite way towards users' needs and applications (Non-
nuclear energy); 
keep an appropriate balance between technological research and policy research in 
transport (Transport). 
22 
2.4 Confirming the international role of European research 
In a world characterized by increasing globalization of economies, problems and issues, 
international cooperation has become an important dimension of the research policy of the 
European Union. 
It should contribute significantly to the implementation of the Union's external policy, 
especially the policy towards Central and Eastern European adhesion candidate countries, 
and promote its role on the international stage 
Scientific and technological cooperation should also help the Union establish industrial 
cooperation and conquer new markets. 
(Î1 General objectives of the programme 
Operating in the context of the implementation of the Union's foreign policy, and 
with the accession of new Member States in mind, the general objectives of the 
programme would be: 
to promote scientific and technological cooperation between entities and 
researchers from third countries and from the Union, likely to produce 
significant and balanced benefits for both sides (cooperation for "mutual 
benefit"); 
to facilitate access for European laboratories and firms to scientific skills 
and know-how available outside the Union, useful to the interests of the 
Union; 
to strengthen the competitiveness of European industry and its presence 
in new markets and help those involved in European research obtain 
information on research capabilities, activities and priorities outside 
the Union. 
(ii) Specific objectives 
The Union pursues its international scientific and technological cooperation 
policy with both cooperation and competition in mind. Rooted in the principle of 
mutual benefit, cooperation with different groups of countries would also be 
geared towards specific objectives: 
23 
Associated countries of Central and Eastern Europe, to prepare their accession to the 
Union by helping them to preserve and develop their research capabilities and apply them to 
their economic and social needs; 
Mediterranean third countries: to assist the development of scientific and technological 
cooperation in support of the Euro-Mediterranean Partnership; to help economic take-off, 
social development and the development of new markets in these countries; 
Non-associated countries of Central and Eastern Europe: to help these countries stabilize 
their human resources in research and mobilize their scientific and technological capacity in 
support of economic and social development; 
Newly Independent States of the former Soviet Union: to stabilize their human resources in 
research and to help them apply their research capabilities to the modernization of their 
economics and to the resolution of the environmental, health, transport, communications and 
nuclear safety problems they must confront; 
Industrialized countries: to obtain access for European researchers to the knowledge and 
know-how existing in these countries, in order to increase the level of their activities; 
"Emerging economies": to develop scientific and technological cooperation so as to 
facilitate access for European companies to these fast-growing markets; 
Developing countries: to associate researchers in these countries with the production of 
specific scientific knowledge and appropriate technologies which can help solve their 
development problems. 
International scientific and technological cooperation activities would be 
implemented in two ways, in line with cooperation agreements where these 
exist: on the one hand, participation of third country entities in the other 
programmes; on the other, activities specific to the international cooperation 
programme. Within each of these big categories, various cooperation 
formulas would be used according to the countries involved, the nature of the 
activities and the sources of financing. 
• Participation of third country entities in programmes: 
Four instances are envisaged: 
Full association with the Framework Programme (certain accession candidate countries 
choosing this formula,7 notably Central and Eastern European; third countries of the 
European Economic Area; Israel8): participation under similar conditions as for Member 
States, detailed arrangements tor Central and Eastern European countries still to be 
determined. The technical assistance fund for Central and Eastern European countries, 
Phare, could be used to support this participation, in accordance with its own operating 
rules; 
7 An alternative formula being participation on a programmc-by-programine basis. 
x If the association agreement to the 4lh Framework Programme is extended to the 5th. as envisaged. 
24 
Participation in programmes open to third countries on the basis of bilateral or multilateral 
cooperation agreements (certain industrialized third countries and "emerging economy" 
countries). "Project-hy-project" participation (with no financing from the Framework 
Programme for the third country partner). Measures would be taken to enhance access to 
the Framework Programme tor "emerging economy" countries; 
Participation in programmes open to third countries without specific cooperation 
agreements (principally Central and Eastern European countries not associated with the 
Framework Programme; European N1S; Mediterranean third countries). Justified by the 
intensity of the political dialogue, participation on a "project-by-project" basis would in 
principle be financed by the third countries themselves. The use of the technical assistance 
funds Phare, Tacis (for NIS) and MEDA (for Mediterranean third countries) could also be 
studied here. 
Participation in projects in which it is in the Union's interest to have third country 
participants involved (all third countries). This would be financed by the third country or, 
in certain duly justified cases, by the thematic programme concerned. 
• Activities specific to the international cooperation programme: 
Three categories of activities would be implemented: 
Specific cooperation activities with certain categories of countries (Central and Eastern 
European countries not associated with the Framework Programme; NIS; Mediterranean 
third countries; developing countries; "emerging economy" countries). These activities, 
related to very specific problems faced by these countries (e.g. in health and environment) 
and therefore outside the scope of the other programmes, would be financed by the 
international cooperation programme; 
Training of researchers: a system of grants would be established whereby young 
researchers from third countries could be given a chance to spend time in European 
laboratories and participate in Framework Programme projects. This would be financed 
by the international cooperation programme, just like the grant system for young 
European researchers in Japan and South Korea. 
Coordination with COST and with the EUREKA initiative, and with other European 
science and technology cooperation organizations (e.g. CERN, ESA, EMBL. ESF). 
(iii) Consideration of recommendations from the evaluation exercises 
The evaluauon panel's recommendations in this field (international cooperation) included the following: 
by the combined use of the international cooperation programme and the PHARE and 
TACIS assistance funds, to reinforce measures taken to help the Central and Eastern 
European countries and the Newly Independent States restructure their research systems 
and apply them to their economic and social needs; 
to attach greater priority to technological cooperation with the "emerging economies". 
25 
2.5 Innovation and participation of SMEs 
Innovation is the key factor in industrial competitiveness To enable European research to 
inyact fully on growth and employment, and to help it achieve concrete outcomes and 
economically beneficial and socially desirable results, mechanisms need to be set up to 
promote innovation, exploit the results of scientific work and stimulate the creation of 
innovative companies. 
Important vectors and actors in innovation, SMEs, which provide 66% of employment in the 
European Union, should be able to benefit from easy access to the advanced technologies 
which they need, and to the possibilities offered by the Union's research programmes. 
(i) General objectives of the programme 
The general objectives of the programme would be: 
to improve the economic and social impact of the Union's research 
projects by reinforcing the mechanisms designed to ensure the best 
possible exploitation of their results, as well as the dissemination and 
transfer of the technologies produced; 
to facilitate the access of participants, particularly SMEs, to die 
instruments which finance innovation and support the creation of 
innovative enterprises (financial engineering; venture capital); 
to stimulate the participation of SMEs in the Union's research 
programmes, both SMEs active in research and high technologies and 
those widi little or no research capabilities but with substantial 
technological needs; to help SMEs, notably in the least favoured regions, 
to develop their technological capabilities. 
The fact is that the real bottle-neck in the European research-development-
innovation system is in the transfer of research results to market exploitation. 
Venture capital exists in Europe, but, in contrast to what happens in the 
United States, for example, there is not enough of it, and, above all, it is 
seldom used to finance technological innovation. The problem far exceeds the 
scope of the Framework Programme. In the context of its activities to 
promote innovation, the Commission will be working to promote the creation 
of instruments to remedy this weakness. 
26 
(ii) Specific objectives 
Union action to promote innovation and support the participation of SMEs in the 
programmes should be undertaken in the double framework of the tliematic 
programmes and the "Innovation and Participation of SMEs" programme. The 
objectives and methods of this action would be principally as follows: 
for innovation 
in the various programmes: 
integration of mechanisms (e.g. value analyses, market research, training) into 
the "life-cycle" of projects, so as to facilitate the exploitation, private financing, 
and transfer of technologies and results produced, while guaranteeing protection 
of the knowledge acquired; creation, to this end, of "innovation units" in the 
programmes; 
management of structured interfaces with the entities which finance innovation 
and help create innovative start-ups, principally via European organisations and 
funds (European Investment Fund, European Investment Bank, Eurotech 
Capital); 
management of innovation support networks specific to the research programmes 
concerned and the setting-up of networks of cooperation and exchange between 
innovating companies in the fields of the research programmes. 
in the programme "Innovation and Participation of SMEs": 
rationalisation and coordination of networks providing information and 
assistance on the research and innovation activities of the Union, particularly in 
relation to the identification and dissemination of best practices in the area of 
technology transfer (joint action: innovation/SMEs); coordination of studies and 
analyses, particularly in the area of innovation policy; 
coordination of the operation of the "innovation units" in the programmes, of the 
structured interfaces with the entities which finance innovation and help create 
innovative start-ups; conception and definition of new methodologies for 
technology transfer projects, integrating the technological, economic and social 
aspects of innovation; 
creation and development of a service giving assistance in the area of Intellectual 
Property Rights and access to private finance, notably the Venture Capital 
Funds (joint action innovation/SMEs). 
for SMEs 
in the various programmes: 
'cooperative research'' activities enabling groups of SMEs without suitable 
research capabilities to entrust the resolution of their common technological 
problem to third parties; 
activities to support and encourage the participation of SMEs in collaborative 
and cooperative research projects (e.g. "exploratory awards") as well as the 
27 
implementation and coordination of national and European information and 
assistance networks. 
in the programme "Innovation and Participation of SMEs ": 
management of a "one-stop shop" - for all the research programmes - within the 
Commission services (for project proposals to be implemented specifically by 
SMEs). 
(iii) Consideration of the recommendations of the evaluation exercises 
The evaluation panel's recommendations for this area (dissemination and exploitation of results) 
included the following: 
to reinforce die role of innovation policy in the implementation of the Union's research 
activities; 
to give greater prominence to innovation even in diematic programmes; die innovation 
programme should help optimise the work done by the individual programmes; 
to improve coordination with the other policies and services of the Commission where these 
concern innovation. 
28 
2.6 Improving human potential 
In the field of science and technology, as in many others, Europe's prime asset is its human 
resources: the quality of its researchers, engineers and technicians. 
In view of foreseeable needs, this human potential must be preserved, must grow in 
quantitative terms and must be used to the full At the same time, the Union should help to 
promote European scientific and technological excellence 
To better identify current and future trends in Europe and economic and societal needs, it is 
also necessary to mobilize the strong European research tradition in econonùc and social 
sciences around a limited number of relevant topics. 
(i) General objectives of the programme 
The general objectives of the programme would be: 
to help to maintain and develop human resources of quality in Europe, 
particularly by supporting training and by promoting researcher mobility 
(including towards industry), as well as innovation (methods and 
technologies) in education and training with a view to creating new jobs; 
to help Europe become a location which can attract researchers and 
investment in research, and to promote European research in the 
international arena; 
to develop the knowledge needed for a better understanding of key 
aspects of die development of European society, and the implementation 
of science and technology policy and the odier Union policies. 
(ii) Specific objectives 
The programme would be structured in 5 main lines: 
• Reinforcement of the European human research capital 
The objective would be to establish: 
research training networks, created in advanced and emerging fields of research, 
on topics freely chosen by the researchers. The accent would be placed on the 
training of young researchers at pre and post-doctoral level; 
29 
a European grant system comprising "Marie Curie" grants for young 
researchers, awarded for topics chosen by the researchers themselves, in addition 
to the grants awarded under the research programmes; industrial grants awarded 
to companies to assist young or established researchers; development grants 
intended to help develop a high-level research capacity in the less favoured 
regions of the Union. 
Optimized utilization of major research infrastructures 
The aim is to promote the optimum use of research infrastructures (large facilities, 
networks, centres of excellence) in those areas (including economic, legal and social 
science) not covered by the thematic programmes, or for categories of installations not 
considered by those programmes. To this end, measures are being envisaged to help 
researchers with access and to set up networks, as well as to support research projects. 
Promoting scientific and technological excellence in Europe 
The aim here would be to stimulate European scientific and technological excellence 
through exchange and to make the most of the achievements of European research. This 
would be promoted by support for high-level scientific conferences, die networking of 
European researchers active outside Europe, distinctions for high-level research work, 
and action to raise public awareness and make information available on research activity 
at European level via electronic networks. 
Harnessing socio-economic research to the needs of European society 
This activity would complement and support the attention given in the "thematic" 
programmes to socio-economic aspects. It would cover a limited number of topics linked 
to the objectives of the Framework Programme. Work would focus primarily on study of 
the socio-economic impact, in Europe, of the development of services and of the "non-
tangible" economy, analysis of the interplay between technological progress, training, 
work, the legal environment and economic competitiveness, and the production and 
validation of new development models fostering growth, employment and quality of life. 
Support for the development of scientific and technological policies in Europe 
This would be achieved by setting up an exchange forum, the ETAN network 
("European Technology Assessment Network"), bringing together political 
decision-makers and researchers specialized in the study of science and technology 
policies, technology watch activities, forecasting, evaluation of scientific and 
technological choices, also the development of a system of statistics and scientific. 
technological and innovation indicators. 
30 
(iii) Consideration of the recommendations of the evaluation exercises 
The evaluation panel's recommendations for these areas included the following: 
to introduce a special measure to support industrial training of researchers (training 
and mobility); 
to encourage the creation of interdisciplinary projects and industrial participation in 
networks (training and mobility); 
to orientate socio-economic research work towards the study of a coherent set of j 
challenges facing Europe, considered from a political perspective (socio-economic 
research). 
31 
THE PROGRAMMES: IMPLEMENTATION AND LEGAL 
ASPECTS 
Implementation and legal aspects will be set out in detail in the formal proposal 
for the 5th Framework Programme. However, some additional information to 
that contained in the first working paper can already be provided. 
L IMPLEMENTATION 
LI. Two major objectives: coordination and flexibility 
An essential feature of die 5th Framework Programme should be a substantial 
improvement in the coordination of programmes and in the flow of infonnation 
and results between their dififerent activities, as well as in the flexibility and 
response capacity of Union action. 
(i) Coordination 
At die dififerent levels, coordination would be achieved through mechanisms 
incorporated into the programmes: 
Coordination between programmes. This would be achieved in particular through the key 
actions, as well as through coordination activities carried out in the "horizontal" 
programmes; 
Coordination between the research programmes and other activities of the Union. As part 
of the implementation of the external relations policy, this coordination would be achieved, 
as far as international cooperation is concerned, by establishing closer links with the 
technical and economic assistance programmes PHARE, TACIS, MEDA, the European 
Development Fund and the PVD-ALA activity. As regards coordination with the 
Structural Funds, common regional frameworks of reflection and action would be put in 
place, as would mechanisms for closer linkage between the two types of activity, in line 
with the conclusions of the Communication on "Research and cohesion" which the 
Commission will be presenting shortly. Close coordination would also be ensured with the 
Union's various programmes and initiatives in related areas, e.g. education and training 
through the Socrates and Leonardo programmes. 
Coordination between European and national activities. This would be achieved in 
particular through the key actions, which should allow the establishment of closer linkages 
with initiatives and programmes carried out at Member State level in the areas concerned; 
through projects for support to research infrastructure: and through cooperation with other 
European scientific and technological cooperation frameworks (e.g. EUREKA. COST) 
and organisations (e.g. ESA, CERN, EMBL). 
32 
(ii) Flexibility 
As indicated in die first working paper, and confirmed by the evaluation work, 
improvements in die flexibility and response capacity of the Union's action will 
be brought about in particular by: 
regular adaptation of the work programmes, ideally on an annual basis; 
the creation of a "free space" of limited size within each programme. This would be to 
guarantee that the scope for flexibility which theoreticalN exists could be efficienth 
exploited if needed. The aim would be to be able to meet urgent needs arising within the 
area covered by the programme but which were not explicitly foreseen (unexpected 
scientific and technological breakthroughs; problems requiring a rapid response) in the 
shortest possible time. To this end, programme budgets would be committed in such a 
way as to leave open the possibility, until a point around 3/5 of the way through the life of 
a programme, of quickly bringing together resources on a pamcular theme. 
1.2. Means of implementation 
(i) Indirect action 
"Indirect action" by the Union in the area of research would continue to be 
carried out through shared cost actions, concerted actions, support for 
collaborative networks and "accompanying measures . stricdy aligned with 
programme objectives. 
"Shared cost" actions, in which the Community contributes a pan of the costs of 
research projects carried out by consortia of enterprises, universities and research 
centres, would continue to be an essential instrument of programme 
implementation. The possibility of varying the Commission's contribution 
according to the nature of the activities and dius the proximity to the market will 
be studied, in line with international rules and the provisions of die Community 
framework for state aid for research and development. In selecting proposals the 
Commission will take account of the partllers, efforts in terms of research. 
investment and employment, both globally and in the specific area of their 
proposal. 
(ii) The Joint Research Centre (JRC) 
A second instrument for implementing the 5th Framewc :k Programme would be 
the Joint Research Centre. Carrying out die 5di Framework Programme will 
require an important and active contribution from die JRC. Tlie activities it 
carried out to this end would be the subject of two specific decisions covering 
EC and Euratom aspects respectively, and would focu^ essentially on the three 
"tliematic" programmes. 
A general theme for tiiesc activities would be "Research at the service of the individual and the 
citizen" (healtii, safety, environment, consumer protection, fraud prevention). Among the areas 
covered by these Uicmes, particular emphasis would be put on pre-normativc research as well as 
nuclear safety and security (the fuel cycle and control of fissile material). 
In view of these priorities, the requirements they reflect and the features and capabilities of the 
Centre, the institutional and operational role of the JRC in implementing the 5th Framework 
Programme would be at a least on a par with its role in the 4th Framework Programme. 
Overall, the scientific and technological objectives of these activities would be located more 
particularly in areas requiring neutral and independent expertise at European level, and in areas 
corresponding to the objectives of the major Union policies. 
In the choice and definition of activities to be carried out, there is a combination of both continuity 
and evolution; continuity because of the permanence of certain needs; evolution in order to take 
into account the new objectives for the Union's research policy set out in the 5th Framework 
Programme. 
In addition, the JRC would continue to pursue vigorously the activities it carries out on a 
competitive basis, getting as close as possible to the end users of its research, in particular 
European industry. 
(iii) Other means 
Besides diese two means of action, other mechanisms and instruments would or 
could be used in the implementation of the 5di Framework Programme: 
Links with EUREKA and COST 
Tlie COST and EUREKA frameworks for European cooperation in areas that are non­
competitive and closer to die market, respectively, have demonstrated their usefulness, 
which springs from their flexibility and the principle of launching activities at the initiative 
of those concerned. Closer tics between these two cooperation frameworks and the 
Union's research programmes arc both possible and widely supported. 
Simple and efficient ways of associating Union projects with EUREKA projects and 
COST actions would thus be developed and proposed, drawing on the fact that the 
preparation of the 5th Framework Programme, the beginning of the implementation of the 
3rd Medium Term Plan of EUREKA and the COST Ministerial Conference in 1997 
coincide. 
Following the general line set out in the document on "synergy between EUREKA and the 
programmes of the European Union" prepared by the EUREKA High Level Group for the 
June 1997 Ministerial Conference, and to ensure quick reaction, a permanent consultation 
system should in particular be set up, which would allow the identification, as soon as a 
project is planned, of those elements which could be covered by the Framework 
Programme or by Eureka, and guarantee the flow of information from the former to the 
latter as the work progresses, results are produced and market needs are met. This 
approach would be applied primarily to large-scale projects developed within the "key 
actions'' 
General coordination of the links with EUREKA and COST and the definition of common 
strategic plans would be undertaken within the programme on international cooperation. 
34 
Articles 130k, landn 
The possibility has been raised on a number of occasions of exploiting these articles in 
addition to the other activities of the Framework Programme, notably in order to 
implement activities which have a particular interest only for a certain number of Member 
States. This possibility will not become a reality unless the Member States show a firm 
willingness to enter into this type of initiative. 
If such willingness were to be demonstrated, one or more activities of this type could be 
foreseen, starting, for example, with certain activities identified in this document (eg the 
key action in the area of aeronautics and activities in the space sector). 
The implementation aspects of the 5th Framework Programme will be set out in 
die formal proposal to be presented at the end of March, as well as in a new 
proposal on die rules for participation in programmes and the dissemination of 
research results (implementing Article 130j). 
2. LEGAL ASPECTS 
Tlie legal aspects, too, will be set out in die formal proposal on die 5tii 
Framework Programme. In defining the legal provisions of the 5tii Framework 
Programme, die following points, in particular, will be taken into account: 
for the sake of rapid and effective implementation, and as was underlined b> the 
Framework Programme evaluation panel, the number of decisions should be kept to a 
minimum; each programme should therefore give rise to only one decision, except as noted 
below; 
current legal provisions require separate decisions for activities carried out under the EC 
Treaty and those carried out under die Euratom Treaty. The programme "J'romoimx 
competitive and sustainable growth" and the programme of JRC activities will include 
activities in both of these areas, and each will therefore require two different decisions: 
in the event that activities are decided on the basis of Articles 130k, 1 and n (in particular 
130k, "supplementary programmes"), tfiey would each give rise to a specific decision 
All in all, and not allowing for any supplementary programmes, die adoption and 
implementation of the 5tii Framework Programme should require 12 decisions (2 
for the EC and Euratom Framework Programmes, 7 for die 6 programmes. 2 for 
the JRC, 1 for tlie implementation of Article 130j), i.e. around half the number 
required for the 4th Framework Programme. In setting out the timetable for their 
adoption, the need to launch the 5th Framework Programme at the beginning of 
1999 will be kept in mind, which means launching the first calls for proposals in 
autumn 1998. 
THE PROGRAMMES: MANAGEMENT 
One of die most important recommendations coming out of die five-year 
evaluation of die Framework and specific programmes is the need to slim down 
tlie management procedures. Management issues will thus receive particular 
attention in the implementation of die 5th Framework Programme, which will 
continue to be carried out on the basis of the fundamental principles of die 
running of programmes: equal access, equitable treatment, excellence as a 
priority, an appropriate balance between speed and rigour, and transparency of 
procedures. 
In some areas, die improvements made to programme management over the last 
few years need to be supplemented, and measures to increase the consistency 
and quality of this management need to be reinforced, particularly with a view to 
facilitating access to die Framework Programme (e.g. "one stop-shop" for 
SMEs), reducing processing times, and simplifying procedures. 
In addition to those mentioned in the first working paper, the following measures are amongst 
those currently being studied: 
the implementation in appropriate cases of a scheme of permanently open calls for 
proposals, a formula which will allow more flexible and efficient processing of requests 
for participation; 
the evolution of the role of programme committees along the lines set out in the inter-
institutional agreements, such as to allow faster processing of proposals. 
Tlie general organisation of the 5th Framework Programme in a limited number of large, 
complementary and connected "thematic" and "horizontal" programmes and the need to take 
account of modern research management techniques call for a new approach to the management of 
the Framework Programme. 
To ensure genuine coordination, the Commission is currently looking into new formulas. One of 
these would consist in handling certain aspects of the management of the "thematic" programmes 
on a collégial basis, entrusting implementation and follow-up to a group drawn from the various 
research services involved. Working in close cooperation with the services responsible for 
implementing the Union policies concerned, this group would be responsible for supervising the 
overall implementation of the programme, ensuring the internal coordination of the various 
activities, as well as relations with the other "thematic" and "horizontal" programmes and with the 
other policies of the Union, and organising the coordination of contacts with the other European 
institutions, the scientific community, the world of industry and, generally, the world of users. In 
the same spirit, recourse would be had. as often as necessary, to the formula of invitations for 
multi-programme research proposals 
36 
CONCLUSION 
The scientific and technological objectives of die various types of activities 
envisaged in die 5th Framework Programme, as presented in this paper, have 
been defined with die aim of meeting tlie major economic and social challenges 
die Union is facing today and responding to die aspirations and expectations of 
its citizens. To achieve these objectives efficiently, a pronounced shift towards a 
more precise targeting of activities and a greater flexibility in implementation is 
proposed. 
In drawing up its formal proposal, due to be adopted towards the end of March, 
the Commission still needs, in particular, to take into account the final 
conclusions and recommendations of the general 5-year assessment report on die 
research activities of the Union. This report, which has been drawn up by the 
evaluation panel chaired by Viscount Davignon, should be published in 
February. The Commission also intends to integrate the conclusions resulting 
from discussions on tiiis second working paper. As witii die two previous 
Communications, the ideas presented above are intended to fuel discussions in 
the Council and Parliament as well as with all other interested parties. A full and 
constructive discussion should result from the fact that diese ideas are presented 
in tiiis concrete and open manner. 
With this debate the Commission is hoping to reconcile tlie pressing need for 
new ideas and metiiods of implementation with tlie need for continuity, not least 
chronologically, in die Union's research efforts. In this way, it will be able to 
ensure that, in die most propitious circumstances and for the benefit of all, the 5th 
Framework Programme contributes to "Inventing Tomorrow". 
Annex I 
KEY ACTIONS 
The living world and ecosystem (I): health 
and food 
The living world and ecosystem (II): control 
of viral and infectious diseases 
The living world and ecosystem (III): the 
"cell factory" 
The living world and ecosystem (IV): 
management and quality of water 
The living world and ecosystem (V): 
environment and health 
The living world and ecosystem (VI): new 
H rural and coastal areas 
| Information society (I): services for the 
citizen 
Information society (II): electronic trade and 
new methods of work 
Information society (III): multimedia content 
Information society (TV): essential 
technologies and infrastructures 
Competitive and sustainable growth (I): 
products, processes, organization 
Competitive and sustainable growth (II): 
sustainable mobility and intermodality 
Competitive and sustainable growth (III): 
new perspectives in aeronautics 
Competitive and sustainable growth (IV): 
marine technologies 
Competitive and sustainable growth (V): 
advanced energy systems and services 
Competitive and sustainable growth (VI):the 
city of tomorrow 
Space technology CRITERIA 
Social objectives 
1 Employment 
Y Y 
Y 
Y Y 
Y Y 
Y 
Y Y 
Y Y 
Y Y 
Y Y 
Y Y 
YYY 
Y Y 
Y Y 
Y Y 
Y Y 
Y Y 
Y Quality of life, 
health 
YYY 
YYY 
Y Y 
Y Y Y 
YYY 
Y Y Y 
Y Y Y 
Y Y 
Y Y Y 
Y Y 
Y Y 
Y Y 
Y Y 
Y Y 
Y YY 
YYY 
YY Environment 
Y 
Y 
Y Y 
YYY 
YYY 
YYY 
Y Y 
Y 
Y 
Y 
YYY 
YYY 
Y Y 
Y Y 
Y Y Y 
Y Y Y 
YYY Economie development and scientific and 
technological prospects 
Growth 
Y 
Y 
YYY 
Y 
Y 
Y Y 
Y Y 
YYY 
YYY 
YYY 
YYY 
Y Y 
YYY 
Y Y 
Y Y 
Y Y 
YY Competitivenes 
s 
Y Y 
Y Y 
YYY 
Y Y 
Y 
YYY 
Y Y 
YYY 
Y Y 
YYY 
YYY 
Y Y 
YYY 
YYY 
Y Y 
Y 
YYY' Technological 
advances 
Y Y 
YYY 
YYY 
Y Y 
YYY 
Y 
YYY 
Y Y 
YYY 
YYY 
Y Y 
Y Y 
YYY 
Y Y 
YYY 
Y Y 
YYY European "value added" 
"Critical 
mass" 
Y Y 
Y Y 
Y Y 
Y Y 
Y Y 
Y Y 
Y Y 
Y Y 
YYY 
YYY 
Y 
Y Y 
YYY 
Y Y 
Y 
Y 
/Y Support for Union 
policies 
YYY 
YYY 
Y Y 
YYY 
YYY 
YYY 
YYY 
YYY 
YYY 
Y Y 
YYY 
YYY 
Y Y 
YYY 
YYY 
Y Y 
SSS European scale of 
problems 
YYY 
YYY 
Y Y 
YYY 
Y Y 
YYY 
Y Y 
YYY 
YYY 1 
Y Y I 
Y 
YYY 
YYY 
YYY 1 
Y Y 1 
YYY I 
YYY I 
Special coordination of these activities under the 3 thematic programmes. 
38. 
ISSN 0254-1475 
COM(97) 47 final 
DOCUMENTS 
EN 15 
Catalogue number : CB-CO-97-052-EN-C 
ISBN 92-78-16071-7 
Office for Official Publications of the European Communities 
L-2985 Luxembourg 
3<?