Commission Working Paper - "TOWARDS THE 5TH FRAMEWORK PROGRAMME: SCIENTIFIC AND TECHNOLOGICAL OBJECTIVES"
Date: 1997-02-12
Institutions: European Commission
Subjects: EU programme, competitiveness, research policy, research programme, technological change

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. 

2. 

Organisation and content 

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  proposed  structure  and 

The  first  Working  Paper  dated  20  November  clarified  and  gave  more  detail 
about 
the 
Programme.  The  two  documents  have  already  been  widely  discussed,  and 
the validity  of the proposed  guidelines have been broadly  endorsed. 

implementing 

instruments 

for 

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  activities  conducted  under  earlier  Framework 
the  evaluation  of 
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 
mixture  of complementary  expertise  found  in the  various  countries  is needed; 

terms  needs  to  be  established,  and  a 

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 
identified 
programmes  corresponding 
the 
the  six  priorities 
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. 

to 

in 

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 

cooperation  with  and  between  enterprises, 

2  Activity  I:  Implementation  of  research,  technological  development  and  demonstration 
research  centres  and 

programmes 
by  promoting 
universities; 
technological  development  and 
Activity  II:  Promotion  of  cooperation 
demonstration  {...J  with  third  countries  and  international  organisations;  Activity  III:  Dissemination 
and  optimisation  of  the  results  of  research, 
activities 
I...J;  Activity  IV: Stimulation  of  the  training  and  mobility  ofresearchers 

technological  development  and  demonstration 

in  the  field  of  research, 

/.../. 

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. 

their  detailed  content  would  be  defined 

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 
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. 

and 

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 
In  some  cases  they  would  be  implemented  in  the  context  of 
programmes. 
actual inter-programme  integration. 

is  essential  for 

the  implementation  of  multi-disciplinary 
This  formula 
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 
the 
neurosciences; 

rare  diseases;  genome 

research  and 

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 
resources 
management. 

for  environmental  monitoring  and 

technologies, 

• 

S u p p o rt  for  research 

i n f r a s t r u c t u re 

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 
(Biotechnology); 

involvement  of  user  sectors  and 

the 

industrial  sphere  should  be  sought 

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. 

the  number  of  households  connected 

the  countries  of  the  European  Union  are  all  faced  with  the  challenge  of 
Aspects  of  justification: 
the  emergence  of 
improving  the  quality  of  their  public  sendees  while  containing  costs.  Furthermore, 
the  information  society  in  these  sectors  provides  major  opportunities  for  industry  and  employment. 
Indeed, 
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, 
several  of  ihe  European  Union 's 
and  the  environment)  are  transnational  by  nature  and  constitute 

information  networks 

to  electronic 

is  set 

to 

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 

the  spread  of  die  information  society 

To  foster 
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 

towards  sustainable 
Strengthening  the  competitiveness  of  firms  and  moving 
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  . 

services 
Aspects  of  justification:  The  European  Union  market  for 
industrial  goods  and  associated 
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 
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. 

is forecast 

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 
Employment, 
implemented  by  the  Union,  following  on  to  the  White  Paper  on  Growth,  Competitiveness, 
and  will  involve 
the  development  of  an 
intermodal  transport  system  can  by definition  only  be  conceived  from  a European  perspective. 

the  very  large  number  of  SMEs  operating 

in  this  sector, 

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. 

to  double  in  volume  between  now  and  2000  and  15000 
Aspects  of  justification:  Air  traffic  is forecast 
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 
throughout  the  Union.  The sea  is  central  to  the  Union's  industrial,  environment, 
2.5  million  people 
fisheries,  research  arui energy policies  and  is the subject  of several  international  agreements  to  which  the 
Union  is a  party. 

I Competitive 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 
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. 

in  the  Union's  total  energy  supply, 

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); 

in  the  Union's  research 
to  stimulate  the  participation  of  SMEs 
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 
instrument  of  programme 
to  be  an  essential 
centres,  would  continue 
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 

Social  objectives 

Economie  development  and  scientific  and 
technological  prospects 

European  "value  added" 

CRITERIA 

Environment 

Growth 

Competitivenes 
s 

Technological 
advances 

"Critical 
mass" 

Support for  Union 
policies 

European scale of 
problems 

Y  Y 

Y  Y  Y 

YYY 

Y  Y 

YYY 

Y 

Y  Y 

Y YY 

YYY 

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" 

living  world  and  ecosystem  (IV): 

The 
management and quality of water 

1 Employment 

Quality of life, 
health 

Y  Y 

YYY 

Y 

Y YY 

Y 

Y 

Y 

Y 

Y  Y 

Y  Y 

Y  Y 

Y  Y 

Y  Y 

Y YY 

YYY 

Y  Y 

Y  Y  Y 

YYY 

living  world  and  ecosystem 

The 
environment and health 

(V): 

Y 

Y YY 

Y YY 

Y  Y 

Y  Y 

YYY 

YYY 

Y  Y 

Y  Y 

Y YY 

Y YY 

Y  Y 

Y 

Y 

Y  Y 

Y  Y 

Y  Y 

Y YY 

Y 

Y YY 

Y  Y 

Y YY 

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 
(TV): 
technologies and  infrastructures 

society 

essential 

Y  Y 

Y  Y 

Y  Y 

Y  Y 

Competitive  and  sustainable  growth  (I): 
products, processes, organization 

YYY 

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 

Y  Y  Y 

Y  Y 

Y  Y  Y 

Y  Y 

Y  Y 

Y  Y 

Y  Y 

Y  Y 

YYY 

Y  Y 

Y YY 

Y 

Y 

Y 

YYY 

YYY 

YYY 

Y YY 

Y  Y 

Y  Y 

YYY 

YYY 

Y YY 

YYY 

Y  Y 

YYY 

YYY 

Y  Y 

Y  Y 

YYY 

YYY 

Y  Y 

Y  Y 

YYY 

YYY 

Y YY 

Y  Y 

Y 

YYY 

Y  Y 

Y YY 

Y  Y 

Y  Y 

Y  Y 

Y  Y 

Y  Y 

Y YY 

Y YY 

YYY 

Y YY 

Y  Y 

Y  Y 

Y  Y 

Y  Y 

Y 

Y  Y 

Y  Y 

Y  Y 

YYY 

Y  Y 

Y  Y 

Y YY 

Y 

YY 

Y  Y  Y 

Y  Y 

Y  Y 

Y YY 

YYY 

Y  Y  Y 

Y  Y 

Y 

YY 

YYY 

YY 

YYY' 

Y  Y 

YYY 

Y 

Y 

/Y 

Y YY 

Y  Y 

SSS 

Special coordination of these activities under the 3 thematic programmes. 

Y YY 

YYY 

Y  Y 

Y YY 

Y  Y 

Y  Y 

YYY 

YYY 
Y  Y 

Y 

YYY 

YYY 

YYY 

Y  Y 

YYY 

YYY 

1 
I 

1 

1 

I 

I 

38. 

ISSN 0254-1475 

COM(97) 47  final 

DOCUMENTS 

EN 

15 

Catalogue  number  :  CB-CO-97-052-EN-C 

ISBN  92-78-16071-7 

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