COMMISSION OF THE EUROPEAN COMMUNITIES 
Brussels, 20.11.1996 
COM(96) 595 final 
COMMISSION WORKING PAPER 
Towards the Fifth Framewoik 
Programme: 
Additional Material for the Policy Debate 

Introduction 
On 10 July 1996 the Commission sel out, in a communication entitled 
"Inventing Tomorrow", its proposed guidelines for the Fifth Research and 
Technological Development Framework Programme. These guidelines were 
presented to the 7 October Research Council and are now being examined 
by the European Parliament. 
To enable the debate launched in the institutions to proceed and take firmer 
shape, we now need to go one step further. This is the purpose of this first 
working paper. 
Its specific aim is to clarify the Commission's thinking in terms of 
structure, objectives and the means for implementation. 
At this stage, pending the conclusions of the five-year assessment report on 
the Union's research activities and the European Parliament's own-initiative 
report, the intention is mainly to clarify the proposed new guidelines ahead 
of the 5 December Research Council. 
A description of the detailed content proposed for the Fifth Framework 
Programme will be given in a second working paper that the Commission 
will produce for the beginning of 1997. The second working paper will be 
followed by a formal proposal to be tabled by the Commission in March 
1997. 
It is generally acknowledged that the preparations for the Fifth Framework 
Programme should provide an opportunity to reassess certain aspects of the 
Union's research policy. The general approach proposed in "Inventing 
Tomorrow ", namely a greater focus on societal and economic needs, is 
endorsed on all sides, as is the idea that the Union's research activities 
should be given the resources to respond appropriately and swiftly to a 
constantly and rapidly changing situation. 
To help explain how this approach can be implemented, this paper 
addresses the following aspects one by one: structure: objectives: means 
of implementation (including management); financial resources and 
timetable. 
I. Structure 
The Fifth Framework Programme needs to have a simple structure in order 
to make it easier to achieve the major societal and economic objectives 
aimed at, and in order to guarantee efficient operation and transparency. 
This simplicity should be reflected in the Commission's formal proposals 
for decisions (subject to the constraints imposed by the need to use two 
separate legal bases, namely the EC Treaty and the EAEC Treaty). 
The basis for this simple structure can be taken from the outline given in 
"Inventing Tomorrow". Accordingly, the Commission proposes that the 
Fifth Framework Programme should be subdivided into six programmes 
reflecting the six priorities identified in "Inventing Tomorrow". 
These programmes are designed to take account of the public interest and 
European economic and societal needs in a general perspective; the 
incorporation, to this end, of new know-how and technologies under 
development; the focusing of efforts on a number of specific objectives; 
and the harnessing, to this end, of a variety of disciplines and expertise. 
The programmes 
- Thematic aspects 
These programmes could address the following topics, respectively: 
# unlocking the resources of the living world and the ecosystem 
# creating a user-friendly information society 
# promoting competitive and sustainable growth. 
These topics were identified as priorities and described in general terms in 
COM(96)332 "Inventing Tomorrow" and are being examined within the 
Commission departments with a view to specifying their content. 
Each of them should comprise: 
The activities concerning the use of nuclear energy will subsequently be dealt with in accordance 
with the legal provisions of article 7 of the IÎAIÎC Treaty. 
# several targeted research activities with a major coordination and 
integration content and activities to demonstrate the technical and 
economic viability of technologies 
# activities for the development of generic technologies and more 
fundamental research, a category which should be maintained at an 
adequate level in the Fifth Framework Programme 
# activities specific to these programmes reflecting the general 
objectives of policy with regard to international cooperation, 
innovation and dissemination/utilization of results, support for SMEs, 
training and mobility, analysis and monitoring of socio-economic 
aspects and exploitation of know-how and technologies arising from 
projects funded. 
The activities in support of SMEs in the context of programmes 
dedicated to thematic aspects (aided by the establishment of a 
one-stop office and the rationalization of information networks) will 
enable small and medium-sized enterprises to benefit from the links 
established with large firms, research centres and universities in 
connection with the projects. 
- Horizontal aspects 
These programmes could address the following topics: 
# Confirming the international role of European research 
# Innovation and participation of SMEs 
# Improving human potential. 
These programmes should contribute towards the implementation of 
consistent and structured policies in the sphere of international scientific and 
technological cooperation, innovation and the promotion of human 
resources. As with the three abovementioned topics, discussions are taking 
place within the Commission departments to specify the content of these 
areas. 
To this end, they would encourage: 
# coordination and support for activities conducted in the same areas 
within the programmes dedicated to thematic aspects. 
# more general initiatives relating to each of the three topics. 
This structure, which should make it possible to increase significantly the 
overall efficiency of the framework programme, reflects the way in which 
the Union's RTD activities are covered in Title XV of the Treaty. 
Joint Research Centre 
As with the previous Framework Programmes, the Joint Research Centre 
will help implement the Fifth Framework Programme. Drawing on its 
unique resources in many fields and the expertise developed and maintained 
as a result of its exploratory research activities, the Centre will make its 
impartial know-how available for the implementation of the Union's policies 
while continuing to develop its links with industry. 
JRC activities in the context of the Fifth Framework Programme should be 
based on clearly identified needs, acknowledged expertise and the 
provision of a European added value. In addition, part of its activities will 
continue to be conducted in the context of a competitive approach using 
new ways of operating on the market, in particular new arrangements for 
partnership with industry. 
H. Objectives 
The need to focus the Union's research efforts was stressed in "Inventing 
Tomorrow". It is also reflected in many of the contributions to the 
discussions on the Fifth Framework Programme provided by the Member 
States, research organizations and industrial organizations. 
In concrete terms, this means that it is appropriate to launch activities 
focusing on a limited number of topics reflecting European societal and 
economic needs. As we have seen, that is what is in fact proposed. 
However, focusing efforts also means making choices within each major 
topic and making a selection from among the possible scientific and 
technological objectives. 
On what basis can such a selection be made? The Commission is proposing 
a general approach and a set of criteria to be applied systematically. 
The scientific and technological objectives selected should in all cases 
correspond to activities with a high European value added on the basis of 
public interest and social acceptability. 
However, before being examined in the light of this fundamental 
requirement, the objectives in question must satisfy two other criteria: 
# The major political choices expressed in "Inventing Tomorrow". 
The scientific and technological objectives in question must, first and 
foremost, clearly help to achieve the societal and economic objectives 
set out in "Inventing Tomorrow": quality of life, health and 
environment (objectives of such societal importance that they should 
be given special attention); developing the information society; 
competitiveness of industry, sustainable development and job-creating 
growth; maintenance and reinforcement of Europe as a centre of 
scientific excellence and of attraction for investment and innovation 
(with the enhancement of human resources and mobility deserving 
special attention); contribution towards implementing the Union's 
major policies. 
# The level of know-how and technology and Europe's position in the 
fields concerned. Only objectives relating to fields where new 
avenues of research are opening up or where there are serious gaps 
in our knowledge should be selected; however, fields in which 
Europe has genuine strengths on which to build or where it has 
weaknesses which can be overcome by measures at European level 
should also be considered. The focal point of the Union's research 
policy, namely boosting Europe's competitiveness, should serve as 
a guide. 
With regard to objectives corresponding to topics already covered by the 
Fourth Framework Programme, before proposing that they are reselected, 
a careful examination will be carried out of the results of the activities 
carried out on these topics (on the basis, in particular, of the assessment 
reports by independent experts); a check will also be made to verify that 
the reasons justifying these activities when they were launched are still 
valid. 
It should be added that the objectives must be verifiable and, where 
possible, quantified and that a specified period of time should be earmarked 
for their attainment. 
in. Instruments 
The success of the Fifth Framework Programme will depend to a large 
extent on its effective implementation, this being closely linked to the 
quality of instruments adopted to this end. From the guidelines set out in 
"Inventing Tomorrow" and the many discussions in this connection, it is 
clear that there are four major areas on which efforts should focus: 
# Improving coordination 
# Improving flexibility and response capability 
# Improving the impact of research on competitiveness 
# Management. 
Improving coordination 
There are three aspects to coordination: coordination within the research 
programmes and between the different programmes; coordination between 
the Union's research programmes and its other activities; and coordination 
between national and European initiatives. 
# Coordination within the research programmes and between the 
different programmes 
Limiting the number of programmes makes it easier to improve 
coordination within each programme but also between the different 
programmes as a result of the smaller number of interfaces. 
Research activities which are closely connected with different areas of one 
or more programmes will be coordinated by mechanisms designed to ensure 
complementarity and consistency. 
In both respects, the research/industry Task Forces could play a special 
role. 
The setting up of the Task Forces represented a major innovation (the 
importance of which was confirmed by the consultations on the Innovation 
Green Paper) in the implementation of the Fourth Framework Programme. 
The Task Forces should be deployed as means of providing the Commission 
with expertise and advice, ensuring coordination, consultation and 
identifying avenues of research to be explored at European level to develop 
key technologies needed for the welfare of citizens. 
Experience with the use of the Task Forces has proved to be favourable and 
can be exploited in the Fifth Framework Programme. The Task Forces 
will act as catalysts to ensure the launching of targeted activities and inter-
programme and inter-service coordination. 
Coordination between the programmes dedicated to topic-centered aspects 
and the programmes dedicated to horizontal aspects should also make it 
possible to further enhance coordination of the Framework Programme as 
a whole. 
# Coordination between the Union's research programmes and 
compatibility with its other activities and policies 
Complementarity and coherence with the objectives of other policies of the 
Union will be ensured in an appropriate manner. 
The question of coordination between the Union's research activities and its 
other activities concerns in particular links between the Framework 
Programme and the Structural Funds; on the other, the major programmes 
and frameworks for economic and technical assistance for third countries 
(PHARE, TACIS, MEDA, EDF and ALA-DCs scheme): 
The inter-relationships built up in recent years between RTD policy 
and regional policy are developing. The Structural Funds are used 
fairly systematically to strengthen research capabilities in recipient 
countries through research facilities and human resources (training 
schemes). On the basis of an in-depth analysis of the situation, the 
Commission intends to publish shortly a Communication on the 
subject of "Research and Cohesion". One of the aims of this will be 
to develop further synergy between the two areas. 
The instruments for technical and financial cooperation and economic 
cooperation with third countries already make a significant 
contribution to sustainable development in the countries concerned 
and to their economic cooperation with the Union, including 
cooperation in the field of research, technological transfer and 
adjustment. These countries should be encouraged, through the 
opportunities opened up by these instruments, to develop greater 
synergy with the specific activities under the framework programme 
which address their requirements. 
A clear distinction should be made between political aid for the 
financing of third country participation in the Framework Programme 
which could be ensured, for example, through the Union's 
international cooperation instruments and financing resulting from 
negotiation of international research agreements the modalities of 
which must be defined on a case by case basis. 
Coordination will also be strengthened between the Framework Programme 
and other activities and programmes such as those concerning education and 
vocational training. 
# Coordination between national and European initiatives 
The Framework Programme admittedly represents only a fraction of the 
total European research effort. Consequently, Europe's research potential 
can only be fully exploited if there is effective coordination of the efforts 
made in the various frameworks. Progress in this direction should be made 
first and foremost on the basis of precise objectives, making use of existing 
instruments and new mechanisms: 
Existing instruments. EUREKA (for research close to the market) 
and COST (for targeted basic research) are particularly appropriate 
forums for coordination between national and Union initiatives. The 
exchange of information between the different forums should be 
increased, and the Member States encouraged to improve 
coordination at national level. Existing links should be strengthened 
to make them more operational: simple coordination mechanisms 
should be established. 
New mechanisms. The Treaty Articles 130 k (supplementary 
programmes), 130 1 (participation in national initiatives) and 130 n 
(joint undertakings) provide additional opportunities for measures 
supplementing the traditional programmes which should continue to 
form the backbone of Union activities. These opportunities should 
be used in special circumstances where they can provide extra added 
value. 
Articles 130 k and 130 S provide for the possibility of activities on 
research topics of special interest to certain Member States. 
Activities undertaken on that basis should complement the activities 
making up the remainder of the Framework Programme the overall 
balance of which must be maintained. Such activities should focus 
on specific initiatives of obvious interest to the European Union as 
a whole. 
Improving flexibility and the response capability 
The need to make the programmes more flexible and improve the Union's 
ability to respond to unexpected scientific and technological developments 
or unforeseen problems is self-evident and has often been stressed. It 
would be impossible to predict at the beginning of a four year Framework 
Programme all the major needs that will manifest themselves or all the 
possible developments during the period covered. 
There are two aspects to the issue of constant adjustment of Europe's 
research efforts: the real-time monitoring of developments and the response 
adjustment mechanisms: 
# Real-time monitoring of scientific and technological developments 
and the development of societal and industrial needs can be achieved 
by stepping up the "Technology Watch" activities and establishing 
closer links between those activities and the activities under the 
programmes. Needs, particularly in terms of additional targeted 
activities, could be analyzed continuously on the basis of evaluation 
and monitoring reports and regular consultations with industry, the 
scientific community and users. 
• A rapid and flexible response can be ensured by various means, in 
particular: 
regular adjustment of the programmes, ideally on an annual 
basis; 
the provision of a "free space" of limited scale, and subject to 
strict rules, specifically to respond rapidly to needs that were 
not originally foreseen. 
It should be added that the limited number of programmes is in itself an 
important factor making for greater flexibility. However, the existence of 
adequate mechanisms is not enough to guarantee effective flexibility - there 
must also be a political will to use the mechanisms. 
10 
Increasing the impact of research on competitiveness 
The Union should encourage the development of research activities which 
increase competitiveness, in particular as a result of demonstration activities 
involving a bigger input of private funding than with the traditional 
shared-cost projects, and appropriate intellectual property provisions, to 
give a greater incentive to exploit the results. 
Management 
Sound and efficient management is recognized by all commentators as a 
condition for the success of the Union's RTD programmes. In its efforts 
to improve the management projects and programmes still further, the 
Commission will continue to base itself on the fundamental principles now 
applied: effectiveness, quality, equality of opportunities, and sound 
administration of public funds. 
On the basis of the progress made with the 4th Framework Programme, the 
Commission will endeavour to improve the consistency and quality of 
programme management. The main objective should clearly be to correct 
the current situation of "oversubscription" of programmes, which tends to 
place a considerable burden on their management. 
Action will be taken to combat this in three ways: 
# Focusing: limiting the work programmes to a small number of clearly 
defined priority objectives should limit the number of proposals 
submitted; 
# Transparency: the Commission will endeavour to provide sufficiently 
precise information in order to discourage the submission of 
proposals which are inadequately substantiated and justified and are 
not in keeping with the spirit of the programmes. The Member States 
and those organisations established at national level to disseminate 
information on the programmes should be able to help the 
Commission in this task. 
# Pre-inspection of conformity of proposals: early information 
for possible participants, in particular small and medium-sized 
enterprises about the conformity and direction of their proposals with 
regard to the formal participation conditions and the objectives of the 
programme. 
ll 
The organization of the Framework Programme as a limited number of 
multidisciplinary programmes covering several areas will also make it 
necessary to move from a programme-centred management method to an 
approach based on more collégial management. 
IV. Budgetary context and timetable 
The Fifth Framework Programme will be funded within the limits of a 
"maximum overall amount" determined by the legislative authority. During 
the period in which the commitments will be made (1999-2002), this 
amount cannot exceed the annual ceilings set in the Union's financial 
perspective. 
Research expenditure now appears in heading 3 (internal policies) of the 
financial perspective. It is by far the biggest component, representing as it 
does 60% of the funds available under that heading in accordance with the 
spirit of the Edinburgh agreements (between one half and two-thirds of 
heading 3 of the financial perspective). This approach could be followed for 
the fifth framework programme. 
Expected GDP growth will be taken into consideration in the forecasts of 
what might constitute an appropriate level for research expenditure in the 
Union. 
Account will also be taken of the fact that the outlay of the other major 
technological powers, namely the United States and Japan, is not 
diminishing. While Japan is devoting 3% of its GDP to research, and the 
United States 2.5%, the European Union's outlay has been only 2% on 
average for several years. 
The American public research budget, which had been cut in recent years, 
will increase in 1997 by nearly 3 billion dollars (the NIH budget increasing 
by 6.9%, to give one example), and the budgets of the Japanese public 
research agencies is continuing the marked upward trend in evidence for 
several years ( + 8.3% for the Science and Technology Agency, +16.4% 
for MÏTI). Given this outlay by our competitors/partners, we must ensure 
a substantia! rate of investment in public and private research spending in 
Europe. 
12 
Conclusions 
All in all, it is urgent and vital that the Fifth Framework Programme should 
be implemented in the proposed time frame. If it is to be launched, on 
schedule, in 1999, a fairly steady rate of progress will be needed given the 
probable duration of the decision-making process. 
As indicated at the beginning of this communication, the Commission is 
planning to submit a detailed working paper at the beginning of 1997 and 
to make its formal proposal in March 1997 which cannot, however, 
prejudge the Commission's subsequent proposals concerning the 
Community's future financial framework which will be made immediately 
following the IGC. The ultimate objective is formal adoption at the 
beginning of 1998. 
For the preparation of the Fifth Framework Programme, the Commission 
had deliberately chosen a step-by-step procedure whereby at any given time 
it can be seen whether the proposed guidelines are sufficiently well 
understood and applied. 
Accordingly, this paper has been drafted in order to guide the debate along 
clear lines. 
On the basis of the conclusions of the debate, the Commission hopes to be 
able to draft and then submit as soon as possible a more detailed working 
paper and make its formal proposal. These two documents will make it 
possible to have an even more precise idea about the practical ways in 
which the societal and economic objectives set out in "Inventing 
Tomorrow", on which there is broad agreement, can be achieved. 
13 

ISSN 0254-1475 
COM(96) 595 final 
DOCUMENTS 
EN 15 
Catalogue number : CB-CO-96-613-EN-C 
ISBN 92-78-11892-3 
Office for Official Publications of the Buropean Communities 
L-2985 Luxembourg 
N