Proposal for a European Parliament and Council Decision concerning the 5th Framework Programme of the European Community for research, technological development and demonstration activities (1998-2002)
Date: 1997-04-30
Institutions: European Commission
Subjects: EU programme, EU research policy, research and development, technological change

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels,  30.04.1997 
COM(97)  142  final 

97/0119  (COD) 
97/0120  (CNS) 

Proposal  for a 

EUROPEAN PARLIAMENT AND  COUNCIL DECISION 

CONCERNING THE 5TH FRAMEWORK PROGRAMME OF THE 
EUROPEAN COMMUNITY FOR RESEARCH,  TECHNOLOGICAL 
DEVELOPMENT  AND DEMONSTRATION  ACTIVITIES 
(1998-2002) 

Proposal  for a 

COUNCIL DKrTSTOM 

CONCERNING THE 5TH FRAMEWORK 
PROGRAMME OF THE EUROPEAN  ATOMIC ENERGY 
COMMUNITY  (EURATOM)  FOR RESEARCH AND TRAINING 
ACTIVITIES 
(1998-2002) 

(presented by the  Commission) 

Explanatory Memorandum 

Introduction 

For  the  European  Union,  the  5th  Framework  Programme  for  Research 
and Technological  Development  must be  an opportunity  to pursue  a new 
approach to policy with regard to research conducted at Community  level, 
which is designed to address contemporary issues and meet the aspirations 
of Europe's citizens. 

With  only  three  years  to  go  before  the  new  millennium,  the  European 
Union  is  entering  a  crucial  phase  in  its  history,  busy  with  the  historic 
work  on  the  construction  of  Economic  and  Monetary  Union  and  the 
redefinition  of  its  institutional  structure,  notably  with  the  prospect  of  the 
accession of new Member States. 

The  5th  Framework  Programme  needs  to  be  an  integral  part  of  this 
process.  In  its  own  way,  it  should  help  European  society  enter  the  21st 
century under the best possible conditions. To do so,  it cannot simply be a 
continuation  of  the  first  four  programmes.  It  is  necessary  to  make  a 
distinct  break  with them,  otherwise  the  future  of  the  idea  underlying  the 
Framework Programme would be jeopardised. 

The  world  is  changing  too  rapidly  to  adhere  to the status  quo.  To  meet 
the  expectations  of  its  citizens,  the  European  Union  must  therefore  be 
able to take action in response to a whole series of major developments: 

- 

the  issue  of  employment,  a  major  source  of  concern  for  European 
citizens; 

society's growing requirements in terms of quality of life  and health, 
in particular as regards the quality  of  food  and the environment,  and 
the  growing  number  of  questions  being  posed  about  the  ethical  and 
social consequences of the increase in knowledge; 

- 

trade,  markets  and 
the  globalisation  of  economic  activity, 
and 
scientific 
spectacular  acceleration  of 
knowledge, 
technological progress and the continuing rise in the cost of research; 

the 

- 

the  emergence,  alongside  the  three  blocs  of  the  "Triad",  of  new 
economic  and  industrial  powers  in  Asia  and  in  Latin  America  that 
will soon become scientific  and technological powers as well. 

The  environment  in  which  the  5th  Framework  Programme  must  be 
defined  is therefore  both profoundly  new and  changing.  This  means  it  is 
necessary  to adopt  a new  approach  to  Community  research  that  is  open-
ended enough to take account of the inevitable degree of uncertainty  as to 
what the priorities and needs will be by the year 20001. 

A new approach to Community research 

research  and 

technological  development  policy 

For  more than twelve years, the European Union has been conducting an 
original 
through 
multiannual  framework  programmes.  Despite  the  comparatively  modest 
resources  available  to  it,  this  policy  has  had  a  significant  impact  on  the 
research  activities  carried  out  in the Member  States.  In particular,  it has 
successfully  resulted  in  the  development  of  numerous  trans-European 
collaboration networks. 

A useful  programming  instrument,  the  Framework  Programme  has  been 
transformed  over  the  years  into  a  general  framework  for  a  series  of 
activities  which,  while  of  undoubted  quality,  have  been  carried  out  on 
topics  which  are  clearly  too  numerous  and  dispersed.  As  a  result  of  the 
constraints  weighing  down  on 
its  decision-making  and  delivery 
mechanisms,  it has become an unwieldy  instrument  at times  incapable of 
reflecting  the realities  and keeping up with the speed  of social,  economic 
and scientific developments. 

Concentration  and flexibility  are the bywords  for  the changes  required  in 
the  5th  Framework  Programme.  To  be  able  to  carry  out  optimally  the 
tasks  incumbent  upon  it  within  the  European  Union,  the  Framework 
Programme needs to be adapted in two ways: 

its decision-making  and delivery  mechanisms  need  to be  thoroughly 
streamlined.  This  entails  a changeover  from  adoption  by  unanimity, 

Like  its  predecessor,  the  5th  Framework  Programme  is  in  fact  made  up  of  two  separate  legal 
instruments which cover, respectively, non-nuclear and nuclear research fields.  The first of these is 
therefore  to be adopted on the basis of the EC Treaty; the second on the basis of the EURATOM 
Treaty.  In  this  explanatory  memorandum  the  term  u5th  Framework  Programme"  always  refers 
simultaneously to these two instruments. 

which is the rule at present,  to adoption by qualified  majority.  Such 
a  modification  is  currently  envisaged  in  the  context  of  the  work  of 
the Intergovernmental  Conference. 

- 

it  must  be  wholeheartedly  at  the  service  of  a  European  Union 
research policy which is: 

- 

based on the three following basic principles: 

- 
- 
- 

scientific  and technological excellence; 
relevance to the main European Union policies; 
European added value; 

- 

- 

- 

defined  on  the  basis  not  only  of  scientific  and  technological 
factors  but  also  of  the  European  Union's  economic  and  social 
needs and its overall competitiveness; 

putting  more emphasis  on the dissemination  and  exploitation  of 
results; 

focusing  on a limited number of objectives. 

As noted in the  "First Report on Economic and Social Cohesion",  several 
of  the  priority  themes  proposed  for  the  5th  Framework  Programme  are 
especially relevant to the reinforcement  of socio-economic cohesion in the 
Union, notably the training  and mobility  of researchers,  the promotion of 
innovation and the dissemination  of research  results, and the development 
of  the  information  society,  particularly  the  networking  of  researchers  in 
the various fields. 

To  respond  to  public  concern  about  the  possible  consequences  of 
advances in knowledge and technology,  careful  thought needs to be given 
also  to  the  ethical  aspects  of  research  and  the  application  of  research 
findings. Moreover,  the research  work  carried  out under  the  Framework 
the  fundamental  ethical 
Programme  must  explicitly  comply  with 
principles. 

In order  to ensure the transparency  of the proposed  approach  for  the 5th 
Framework  Programme,  a  gradual,  step-by-step  procedure  has  been 
followed,  with the successive  submission  of three documents:  on  12 July 
1996 the  Communication  "Inventing  Tomorrow" which  set  out the broad 
guidelines proposed;  on 20 November  1996 a first Working  Paper  giving 
more  details  about  the  structure;  and  on  12 February  1997  a  second 

Working  Paper  spelling  out the  scientific  and  technological  objectives  of 
the proposed activities. 

In drawing up the proposal,  due account was taken of the findings of the 
evaluation  of  the  activities  carried  out  during  earlier  periods,  and 
especially  the conclusions  and  recommendations  of the panel,  chaired  by 
Etienne Davignon,  responsible  for 
the 
Framework Programme. 

the  five-year  evaluation  of 

Six broad  themes  for  activities 

The  new  approach  to  defining  the  content  of  the  5th  Framework 
Programme is seen straight away in the following  two features: 

For  the first time,  precise  objectives,  basically  of  a  socio-economic 
nature,  have  been  set  clearly  and  explicitly  for  all  levels:  for  the 
Framework  Programme as a whole; for  the programmes  of which it 
the  activities  covered  by  those 
is  composed;  and  lastly  for 
programmes; 

- 

In addition, a set of detailed and objective criteria has been drawn up 
to  define  the  content  of  the  Framework  Programme,  grouped 
together  in three  "families":  social objectives,  chief  among which is 
the  impact  on  employment;  scientific,  technological  and  economic 
development,  the  basic  objective  being  to  increase  the  European 
Union's  competitiveness;  and last but not least the  "European added 
value". 

Used  for  the definition  of the content  of the 5th Framework  Programme, 
these  criteria  will  continue  to be  applied  during  the various  stages  of  its 
implementation. 

i 

To make it easier  to focus  efforts  on a smaller number  of objectives,  the 
5th  Framework  Programme  will  be  organised  on  the  basis  of  six  major 
programmes  reflecting  the  four  activities provided  for  in the Treaty  for 
the  implementation  of 
the  framework  programmes:  3  "thematic" 
programmes  corresponding  to the first activity  referred  to  in  the  Treaty; 
and 3  "horizontal" programmes  corresponding  to activities  H,  HI and IV 
respectively.  The  general  topics  of  these  activities  and  the  reasons  for 
selecting them for  activities  to be conducted  at European  Union  level  are 
as follows: 

"Thematic99 programmes 

"Unlocking the resources of the living world and the ecosystem" 

Advances in knowledge and technology as regards ate living world and the environment are essential 
for  the implementation of European Union policies,  in particular in the fields of health,  agriculture, 
fisheries 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  in order to  improve 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 agricultural and environmental sciences, and on its great potential in 
the corresponding areas of industry. 

- 

"Creating a user-friendly  Information Society" 

The creation of the Information Society can make a significant contribution to renewed growth and the 
appearance of new kinds 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 but  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 entails fundamental industrial and social, change: its establishment is opening 
up many and varied 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 permeate every kind of industrial activity and all areas of society.  Their economic 
and  social  impact far  exceeds  that  cf  the  industries which  directly  produce  information and 
communications equipment and services. 

- 

"Promoting competitive and sustainable growth" 

Strengthening  the  competitiveness  of  firms  and  moving  towards  harmonious  and  sustainable 
development are  two  complementary and  inseparable objectives for  the  Union: the products  and 
processes  which will  be competitive and create jobs  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 in its various forms. 

In these  fields  as  in manufacturing industry,  the aim  must  be  to  develop  and  disseminate  high 
value-added systems,  products  and processes  that  are  at  the same  time  competitive,  economic, 
efficient and environmentally safe. 

The objective  of competitive  and sustainable  growth  should  also  be  extended to  maritime  areas 
and to  urban areas,  in which most European citizens live and work. 

"Horizontal99 programmes 

"Confirming  the international role of European research" 

In a world characterised by increasing globalisation of economies, problems and issues,  international 
cooperation has become an important aspect of EU research policy. 

It contributes significantly to the implementation of the Union's external policy,  especially towards the 
Central and East European  accession candidates. It  may  enhance  the  role  of 
international stage. 

the  Union on  the 

Scientific and technological cooperation  can also enable the Union to develop industrial cooperation 
and find a foothold in new markets. 

It facilitates  the access of European  laboratories and firms to scientific knowledge  available  outside 
the European Union which is useful for  the Union's purposes: 

"Innovation and participation of SMEs" 

Innovation is the key factor  in industrial competitiveness.  To enable European research to impact 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 comprimes. 

Important vectors and actors in innovation,  SMEs provide two thirds of employment  in the European 
Union and 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. 

- 

"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 futL At the same time, the Union should help to promote European scientific 
and technological excellence. 

To identify  better current  and future  trends and economic and societal needs in Europe,  it  is  also 
necessary to mobilise the strong European research tradition in economic and social sciences around a 
limited number of relevant topics. 

Organising the programmes: greater focus and efficiency 

The  thematic  and  horizontal  programmes  are  both  complementary  and 
interrelated.  With a view to achieving  maximum efficiency  (in particular 
with  regard  to  the  exploitation  of  results  and  innovation),  it  is  proposed 
that the greatest possible account be taken of the objectives  of activities H, 
III and IV in the thematic programmes. 

One  of  the  main  functions  of  the  horizontal  programmes  is  therefore  to 
ensure  coordinated  implementation  of  all  the  activities  related  to  their 
objectives  at the level  of  the  Framework  Programme  as  a whole.  While 
having  their  own  objectives,  the  horizontal  programmes  will  therefore 
help with the harmonious implementation of the thematic programmes. 

The thematic programmes will 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  European  Union's  science  and  technology 
base. 

To this end, each of the three thematic programmes will comprise: 

a series of key actions; 

- 

activities for research and development of generic technologies; 

activities in support of research infrastructures. 

Content of the  "thematic99 programmes 

Key  actions 

The  key  actions  are  a  major 
innovation  of  the  5th  Framework 
Programme.  16  of  them  are  proposed,  a  figure  which  should  not  be 
exceeded  given  the  desire  to  achieve  concentration  within  the  5th 
Framework  Programme.  The key  actions  are linked to what can today be 
regarded as major economic and social objectives as far as the  foreseeable 
future of the European Union is concerned.  The key actions: 

- 

- 

will  be  defined  according  to  problems  to  be  resolved  and  explicitly 
formulated economic  and social objectives; 

will  mobilise,  as part  of  an overall  systems  approach,  the  resources 
of  various  relevant  disciplines,  technologies  and  know-how,  and 
relevant expertise of various origins; 

-  will  cover  the  whole  range  of  activities  needed  to  achieve  their 
to  development  and 

objectives,  ranging  from  basic  research 
demonstration; 

-  will  be  firmly  rooted  in  a  European  context,  one  of  their  major 
objectives  being  to  focus  public  and  private  research  carried  out  in 
Europe on their particular topic; 

-  will  be  prepared  and  implemented  in  close  consultation  with  the 
scientific  community,  businesses,  and  more generally  all  those  who 
are  concerned  with  and  use  research,  on  the  basis  of  forms  of 
association which may vary. 

The  key  actions  are  designed  to  combine  rigour  and  precision  in  the 
definition  of  the  scientific  and  technological  objectives  and  flexibility  in 
the  conditions  and  means  of  implementation  (a  bottom-up  approach).  In 
all,  they  will  allow  for  increased  flexibility  in  the  establishment  of 
partnerships and the funding  and implementation of the work. 

The activities for  research and development of generic technologies 

These  activities  are  the  traditional  component  of  earlier  framework 
programmes, but will be conducted  in a limited  number  of  areas  selected 
on the basis of the three families  of criteria,  and will complement the key 
actions. 

Their  aim  is  to  help  to  maintain  and  develop  the  flow  of  ideas  and 
knowledge in the European Union, as well as its technological  capability, 
in a limited number of priority areas of research and generic  technologies 
which  have  many  potential  applications  and  are  not  covered  by  the  key 
actions. 

The support for  research infrastructures 

The twin objective pursued is to help optimise the exploitation of research 
facilities  in Europe and increase the consistency of the European  research 
fabric by promoting access to large facilities  and centres of excellence, by 
supporting  suitable  projects,  by  networking  facilities  and  by  developing 
telematics networks for  research. 

Content of the  "horizontal99 programmes 

The  "horizontal"  programmes  are  at  the  crossroads  of  European  Union 
research  policy  and  its  external  policy,  innovation  policy,  policy  on 
education  and  training,  promotion  of  personal  mobility,  as  well  as  its 
social policy and employment policy. They will comprise: 

- 

- 

coordination,  support  and  accompanying  measures  for  activities 
related to their respective objectives  carried  out in the context of the 
"thematic" programmes; 

specific  activities linked to the objectives  of European Union policies 
in  their  respective  fields  which  cannot  find  their  place  in  the 
"thematic" programmes. 

The two categories  of  activities  will be  carried  out  in  close  coordination 
both  with  each  other  and  with  the  corresponding  activities  under  the 
"thematic" programmes. 

Improved  and  adaptable  implementation:  greater  flexibility  and 
simplicity 

To  achieve  the objectives  assigned  to  the 5;th Framework  Programme,  it 
will  be  necessary,  in  addition  to  revamping  the  content,  to  broadly 
reshape implementation in three ways: 

- 

by making substantial improvements in coordination and flexibility at 
all levels; 

by  making judicious  use  of  the  available  range  of  implementation 
mechanisms; 

- 

by improving and adapting management methods. 

Coordination and flexibility 

An essential feature  of the 5th Framework Programme,  as compared  with 
its predecessors,  will be an improvement  in the coordination  ol  activities 
and  in  the flow of  information  and  results  between  the  programmes,  as 
well as in the flexibility and response capability of the Union's activities. 

Coordination 

Coordination between the différent  programmes  will be achieved  through 
the key  actions,  as  well  as  through  coordination  activities  carried  out  in 
the "horizontal" programmes. 

At  the  same  time,  coordination  between  the  research  programmes  and 
other Union  activities will be tightened.  This will be achieved,  as far  as 
international  scientific  and  technological  cooperation  is  concerned,  by 
developing  the links with  technical  and  economic  assistance  programmes 
such as PHARE, TACIS and MEDA, through  closer linkage between the 
research  programmes  and  the  programmes  carried  out  in  related  areas 
such  as  education  and  training,  and  with  the  activities  carried  out  in  the 
context of the Structural Funds and other Community policies. 

through 

the  key  actions, 

Greater  coordination  between  European  and  national  activities  will  be 
achieved 
research 
infrastructures,  and through cooperation  (in particular  in the form  of joint 
work)  with  other  European  scientific  and  technological  cooperation 
frameworks  and organisations, such as Eureka, COST, ESA, EMBL, and 
CERN. 

through  support  for 

Flexibility 

Improvements  in  the flexibility and  response  capability  of  the  Union's 
activities  will  be  brought  about  by  the  regular  adaptation  of  the  work 
programmes  as  frequently  as  necessary,  and  the  creation  within  each 
programme of a "free  space" of limited size. 

The aim is to be able to meet,  in the shortest possible time, needs  arising 
in  the  areas  covered  by  the  Framework  Programme  which  were  not 
explicitly  foreseen  or were not described  in detail.  The solution  adopted 
is not to programme the assignment of the entire resources of the  specific 
programmes  from  the outset,  but to leave sufficient  funds  available,  until 
three-fifths  of  the  way  through  the  life  of  the  programmes,  so  that 
resources  can  be  rapidly  assembled  on  a  particular  topic  and  made 
available in the most appropriate form.  (Conversely,  it should be possible 
to terminate activities which turn out to be having too little impact). 

10 

Means of implementation 

The 5th Framework  Programme  will be implemented  using  several  types 
of mechanism. 

Shared-cost action 

Much  of  the  Framework  Programme  will  be  implemented  by  means  of 
different  types  of  "indirect  actions":  "shared-cost"  actions,  concerted 
actions, support for collaborative networks, and demonstration projects. 

Demonstration  should play an important role in the implementation  of the 
In  all  cases  the  Commission's  contribution  will  vary 
key  actions. 
according  to  the  type  of  activities  and  proximity  to  the  market,  while 
complying  with  international  rules  and  the provisions  of  the  Community 
framework  for State aid for research and development. 

To  ensure  the  additionality  of  resources,  the  Commission  will  take 
account, during the selection of proposals, of the research, investment and 
employment efforts  being made by partners. 

TheJRC 

A  second  mechanism  for  implementing  the  5th  Framework  Programme 
will  be  the  Joint  Research  Centre.  The  JRC,  which  has  its  own 
evaluation capacity, is an impartial and independent scientific body. 

The bulk  of its contribution  to the 5th Framework  Programme  will be in 
areas  corresponding  to  this  feature  and  to  the  objectives  of  the  major 
Union policies.  A leitmotiv  for  these activities will be  "Research at the 
service  of  the  individual  and  citizensn  (health,  safety,  environment, 
consumer protection, action to combat fraud). 

The  JRC  will  also  continue  to  carry  out  activities  in  the  context  of  a 
"competitive"  approach,  by  getting  as  close  as possible  to  the  end-users 
of  its  research,  and  in  particular  European  industry,  and  by  developing 
collaboration networks with other research bodies in the Member States. 

11 

Other means:  links with  COST and Eureka 

Combining the resources of the Framework  Programme with those of the 
European cooperation frameworks  COST and Eureka makes it possible to 
increase  the  size  and  impact  of  the  activities  undertaken.  Simple  and 
efficient  ways  of  associating  European  Union  projects  with  COST  and 
Eureka projects will therefore be developed. 

The  Framework  Programme,  COST  and  Eureka  should  become  closely 
complementary.  COST can give the Framework  Programme  the  benefit 
of its flexibility and exploratory  approach.  Eureka  can offer  it prospects 
as  regards  the  exploitation  of  results  and  market  access:  efforts  will 
therefore  be made to ensure  that  a bridge  exists  between the  Framework 
Programme  and  Eureka,  as  work  progresses,  results  are  produced  and 
projects  get  closer  to  the  market,  and  as  it  becomes  possible  to  define 
more detailed objectives.  This approach will apply as a matter of priority 
to  the  most  significant  projects  developed  in  the  context  of  the  key 
actions. 

Articles 130 k, I and n 

Use can be made of these articles to supplement the other  activities under 
the Framework  Programme,  notably  to  implement  activities  of particular 
interest  only  to  a  certain  number  of  Member  States.  Depending  on  the 
desire of Member States to embark on this type of initiative, one or  more 
projects  could  be  launched  on  this  basis,  arising  from  certain  of  the 
activities foreseen  in the various programmes. 

Improved and adapted management methods 

During  the various  consultation  exercises  it was unanimously  agreed  that 
the  5th  Framework  Programme  should  be  implemented  using  modern, 
well-adapted,  efficient  and transparent management methods. 

Substantial  progress  has  been  made  in  this  connection  in  recent  years. 
Additional  improvements  will  be  made  concerning,  in  particular,  the 
streamlining  of  procedures  and  the  reduction  of  delays.  The  objective  is 
both  to  reduce  the  level  of  oversubscription  and  to  improve  access  to 
programmes, notably for SMEs. 

12 

Where  deadlines  are  concerned,  a  balance  must  be  struck  between  the 
desire  to  process  proposals  rapidly  and  the  requirements  concerning  the 
quality  and  objectivity  of  the  evaluation,  as  well  as  the  question  of  legal 
certainty. 

Steps will be taken to improve management in particular by: 

pursuing  a  new  approach 
from  all 
compartmentalisation,  with  use  being  made  of  methods  of  a 
"collégial" nature; 

to  management, 

freed 

adapting  the  management  structure  to  the  requirements  of  the  5th 
Framework  Programme 

To  save  a  great  deal  of  time  in  the  processing  of  dossiers,  and  more 
generally  to  increase  the  overall  efficiency  of  the  implementation  of  the 
Framework  Programme,  in the final analysis,  the only  solution  is  to  give 
the  Commission  the  means  to  fully  exercise  the; powers  of  programme 
implementation which have been conferred  on it. 

This  is  the  opinion  of  the  Framework  Programme  Evaluation  Panel, 
which  also  recommends  simplifying  the  current  two-stage  adoption  and 
specific 
implementation  procedure 
programmes),  by  making  the  Framework  Programme  itself 
legally 
enforceable. 

(Framework  Programme  and 

As the provisions of the Treaty now stand, the Commission envisages that 
action  should be  taken  at  the  level  of  the  decisions  made  on  the  specific 
programmes.  It  plans  to  propose  in  this  context  that  the  bulk  of  the 
authority  for  implementing  programmes  should  be  delegated  to  the 
Commission  alone,  with the Programme  Committees  simply  pronouncing 
on  general  matters  (work  programmes,  adjustment  of  the  indicative 
allocation of the amount) and not on individual measures. 

With their composition  and operation geared to the structure and contents 
of  the  six  major  programmes,  the  Programme  Committees  will  continue 
to  have  their  privileged  position  as  a  forum  for  monitoring  programme 
implementation,  providing  an  interface  between  Union  policy  and  the 
national research policies and discussing the future priorities and medium-
and long-term strategies for the field concerned. 

13 

One  difficulty  in  programme  implementation  concerns  the  disparity  of 
treatment  of  research  fellows  in  the  Member  States,  highlighted  in  the 
Green  Paper  entitled  "Education,  training,  research:  the  obstacles  to 
transnational  mobility". 
In  the  context  of  the  "Improving human 
potential"  programme,  the  Commission  will  pave  the  way  for  an 
appropriate Community framework to rectify  this situation. 

Legislation 

The  Framework  Programme  will  only  become  properly  attuned  to  the 
research needs of the Union once the Member States adopt it by  qualified 
majority rather than unanimously. 

This  is  regarded  as  essential  by  the  Framework  Programme  Evaluation 
Panel.  It is on the agenda of the Intergovernmental  Conference. 

On the hypothesis  that the IGC does  indeed  decide  along  these  lines,  the 
President  of  the Evaluation Panel  suggested  that the  Council,  anticipating 
the  Member  States'  ratification  of  the  IGC s  conclusions,  could  already 
act as if the rule of qualified  majority were in place. 

In  view  of  the  smaller  number  of  programmes  envisaged,  the  5th 
Framework  Programme  as  proposed  could  in  any  case  be  decided  upon 
and  implemented  on  the  basis  of  about  half  as  many  as  the  25  decisions 
needed for the 4th Framework Programme. 

Alongside  2  Decisions  for  the  EC  Framework  Programme  and  the 
Euratom  Framework  Programme  (covering  activities  in  the  area  of 
nuclear  fission  safety  and  controlled  thermonuclear  fusion)  respectively, 
11 separate Decisions would need to be adopted: 

- 

- 

six for the six  "thematic" and "horizontal" programmes; 

one  for  the  activities  of  the  specific  programme  "promoting 
competitive and sustainable growth** with regard to nuclear energy; 

two  for  the  JRC s  activities 
respectively; 

in  the  EC  and  Euratom  fields 

two  for  the  participation  rules  in  the  EC  and  Euratom  fields 
respectively. 

14 

Financial and budgetary aspects 

Since  the  European  Council  in  Edinburgh  in  December  1992,  research 
has been the  most important  item  and  a  main priority  of  Category  HI of 
the Union budget. The priority attached to research was confirmed  by the 
Commission in its preparation of the 1997 budget and in its discussion last 
January on budgetary and political priorities for  1998. 

In  the  first  working  paper  on  the  5th  Framework  Programme  of 
20 November  1996 the Commission underlined this priority and reached a 
number  of  conclusions  regarding 
the  overall  funding  of  the  5th 
Framework  Programme:  "Research  expenditure  now appears in  category 
III  (internal policies) of the financial perspective. It  is by far  the biggest 
component,  representing as it does 60% of the funds  available  under that 
heading  in  accordance  with  the  spirit  of  the  Edinburgh agreement 
(between  one  half  and  two-thirds  of  category  III  of  the  financial 
perspective).  This approach could be followed for  the  5th Framework 
Programme.  Expected GNP growth will be taken into consideration in the 
forecasts  of  what  might  constitute an  appropriate level for  research 
expenditure in the Union. " 

The bulk of the 5th Framework Programme (1998-2002) will be executed 
under the new financial framework  due to succeed the current  one (1993-
1999), which the Commission will be proposing in July immediately  after 
the  IGC.  That  is  why  the  Commission  is  not  yet  able  to  make  a  formal 
proposal for the overall funding  of the 5th Framework Programme. 

To  be  able  to  start  implementing  the  5th  Framework  Programme  at  the 
beginning of 1999 (the 4th FP ends at the end of  1998) in accordance with 
the  forecasts  and  in  compliance  with  the  requirements  of  SEM 2000,  a 
very  strict  timetable  will  have  to  be  adhered  to.  The  5th  Framework 
Programme  should  thus  be  adopted  by  the  Council  and  the  European 
Parliament,  acting under the co-decision procedure,  in the first quarter of 
1998.  The  specific  programmes  should  be  adopted  by  the  Council  (with 
only an opinion from the Parliament) by summer  1998. This would enable 
the programme committees to be set up, the v/ork programmes established 
and the first calls for proposals to be sent out in the autumn of 1998. 

In view  of these constraints, the Commission needs to make a  formal 
proposal  right  away  -  as  it  has  already  undertaken  to  do.  It  will 
supplement the  proposal  with an overall  figure  for  financing  as  soon 
as it adopts its proposal on the next financial  framework  immediately 

15 

after the IGC ends in July 1997.  However, the Commission considers 
that  the  average  percentage  of  EU  GNP  reached  by  the  4th 
Framework  Programme  between  1995  and  1998  must  represent  a 
minimum  for  the  overall  funding  of  the  5th  Framework  Programme 
expressed as a percentage of average forecast  GNP between  1999 and 
2002. 

The  annual  appropriations  will  be  authorised  by  the  budgetary  authority 
within  the  limits  of  the financial perspective  and  within  the  maximum 
overall amount foreseen  in the Treaty for the Framework Programme. 

In this context the Commission considers that the indicative  breakdown of 
the financial envelope corresponding to each of the activities proposed in the 
5th Framework  Programme  should  be  according to  the  percentage figures 
given in the table below. 

Certain aspects of this should be highlighted: 

The indicative breakdown between the three thematic programmes of 
the first activity  of the EC Framework  Programme  is in three  equal 
parts. 

The percentage  devoted to the fourth  activity  of the EC  Framework 
Programme (encouraging the training and mobility of researchers) on 
the basis  of the programme  on "Improving  Human Potential" is the 
subject of a tangible increase. 

The  percentage  reserved  for  the  EURATOM  programme  suffers  a 
reduction with respect to previous Framework Programmes. 

Beyond  this, the  sums  allocated  to  direct  actions  (JRC)  or  actions  which 
resemble  direct  actions  (Nuclear  fusion^)  cannot  decrease  to  below  an 
incompressible  minimum  in  their  absolute  value,  without  prejudice  to  the 
percentage figure which has been reserved for them. 

Although formally  an  indirect  action  the Fusion  programme  is  in  fact  an  integrated  programme 
which brings together the totality of Community and national activities in this field. 

16 

Breakdown in percentage of the financial envelope of the framework programmes 
5th b PRO 
; 
84 

(Thematic 

RTD 

}: 
action 
First 
programmes) of which : 

EC 

i 28 

-Information  society 

|28 

-Living world and  ecosystem 

Framework 
programme 

Indirect actions 

86 

3.5 

2.5 

10 

; 28 

-Competitive and sustainable growth 

Second action 
(International cooperation^ 
Third action 
(Dissemination 
results^ 
Fourth action 
(Training and mobility of researchers) 

and  optimisation  of 

100 

Sub-total 

Direct  actions 
_(JRQ_ 

Sub-total 

EURATOM 

Indirect 
(Fusion+Fission) 

actions 

Framework 
programme 

Direct actions 
_(JRQ_ 

Sub-total 

TOTAL 

5 

91 

7 

2 

9 

100 

17 

Conclusion 

In preparing the 5th Framework Programme,  the Commission has had the 
benefit  of  ideas  from  many  sources,  and  iin  particular  the  European 
Parliament  own-initiative  report,  the  official  contributions  from  the 
Member States, and the opinions of ESTA, IRDAC and CREST. 

As recommended  by the Evaluation Panel,  it  is proposed  that  a new type 
of Framework  Programme be established,  defined  on the basis of a series 
of  choices  and  priorities  going  beyond  the  mere  juxtaposition  of  the 
wishes of the various parties, and conceived according to the interests and 
objectives of the European Union. 

The  discussions  arising  from  the  first  three  documents  submitted  by  the 
Commission,  in particular at a major  conference  held on 28 February and 
1 March  1997, have highlighted the existence of a genuine consensus with 
regard to several aspects of the proposed approach. 

The  discussions  which  will  shortly  commence  on  this  formal  proposal 
should  rapidly  confirm  the  common  desire  of  the  Member  States  and 
Parliament  to put this  approach  into practice,  thus enabling  the  European 
Union  to  make  its  contribution  towards  "Inventing Tomorrow" for  the 
benefit  of European citizens. 

18 

PROPOSAL FOR A DECISION OF THE EUROPEAN PARLIAMENT AND OF 
THE COUNCIL CONCERNING THE FIFTH FRAMEWORK  PROGRAMME 
OF THE EUROPEAN COMMUNITY FOR RESEARCH,  TECHNOLOGICAL 
DEVELOPMENT AND DEMONSTRATION  A C n v n T ES 
(1998-2002) 

97/0119  (COD) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN 
UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article  130i(l) thereof, 

Having regard to the proposal from the Commission1, 

Having regard to the opinion of the Economic and Social Committee2, 

Having regard to the opinion of the Committee of the Regions3, 

Acting in accordance with the procedure laid down in j\rticle  189b of the Treaty4, 

Whereas  a  multiannual  framework  programme  covering  all  Community  activities, 
including demonstration  activities, in the field of research and technological  development 
should be adopted; 

Whereas,  in accordance  with  Article 4(2)  of Decision  No  1110/94/EC  of the  European 
Parliament  and  of  the  Council  of  26  April  1994  concerning  the  fourth  framework 
programme  of the European  Community  activities in the field of research,  technological 
development  and demonstration  (1994 to  1998)5, amended  by Decision No  616/96/EC6, 
the  Commission  is  required  to  have  an  external  assessment  conducted  into  the 
management  of and progress with Community  activities carried  out  during the five years 
preceding  that  assessment,  prior  to  presenting  its  proposal  for  a  Fifth  Framework 
Programme;  whereas  that  assessment,  the  conclusions  thereof  and  the  Commission's 
comments  have  been  communicated  to  the  Europ<îan  Parliament,  the  Council,  the 
Economic and Social Committee and the Committee of the Regions; 

Whereas  on  10 July  1996  the  Commission  adopted  a  communication7  setting  out  the 
preliminary  guidelines  for  the  Fifth  Framework  Programme,  stressing  the  need  for  the 

4 

5  OJNoL126,  18. 5.1994, p. 1. 

6  OJ No L 86, 4.4.1996, p. 69. 

7  COM (96) 332  final. 

19 

latter  to  meet  economic  and  social  needs  as  a  matter  of  priority;  whereas  that 
communication  was  followed  by  a first working  paper  of  20 November  1996,8  which 
provided  more  details  about  the  proposed  objectives  and  the 
implementation 
mechanisms,  and then a second  working  paper of  12 February 1997,9  which  set  out  in 
detail the possible content of the Fifth Framework Programme; 

Whereas  the  objectives  of  the  Community's  research  and  technological  development 
policy reflect current thinking about the challenges which the Community must meet and 
the  opportunities  which  it  intends  to  address  relating,  as  a  matter  of  priority,  to  the 
problems of society, industrial competitiveness, job creation, quality of life,  globalisation 
of knowledge,  contributing to the development and implementation of the Community's 
policies  in  line  with  Article  130Ç  paragraph  1  of  the  Treaty,  and  the  role  of  the 
Community in the world as a focal point of scientific and technological excellence; 

Whereas the Fifth Framework Programme  should therefo re focus,  in the  context  of the 
first activity  referred  to  in  Article 130g  of  the  Treaty,  on  a  limited  number  of  topics 
covering  activities  for  the  research  and  development  of  generic  technologies,  actions 
which bring together this type of activities in a coherent whole, targeted  strategically on 
one and the same mobilising topic (hereinafter referred to as "key actions"), and support 
for research infrastructures; 

Whereas,  in  addition,  the  Fifth  Framework  Programme  should,  in  the  context  of  the 
second, third and fourth activities referred to in Article 130g of the Treaty, include topics 
covering  aspects  specific  to them and others,  for  horizontal  coordination,  in support  of 
and interacting with activities of the same type carried out under the first activity; 

Whereas this approach presupposes  the maintenance and strengthening  of the potential 
for  scientific,  technical  and  technological  excellence  existing  within  the  Community 
taking  full  account  of the  efforts  made by its main  international  partners; whereas  this 
potential  concerns  both  physical  and  non-tangible  infrastructure  and  the  human 
resources; 

Whereas it is appropriate, in this same framework, to place special emphasis on small and 
medium-sized  enterprises  (SMEs),  which generate  a great  deal  of  employment,  on the 
diffusion  and  transfer  of  results,  on  innovation  and  on  the  training  and  mobility  of 
researchers; 

Whereas  the  formulation  and  implementation  of  the  Community's  policies  and  actions 
must take into account the objectives related to economic  and social cohesion; whereas, 
in  accordance  with  this  principle,  the framework programme  must  contribute  to  the 
harmonious development  of the Community while maintaining scientific  excellence as an 
essential  criterion; whereas  it  is therefore  necessary  to  strengthen  the  synergy  between 
research  and  technological  development  activities  and  the  action  undertaken  by  the 
Community through the structural funds; 

8  COM (96) 595  final. 

9  COM (97) 47  final. 

20 

Whereas,  in  accordance  with  the  principles  of  subsidiarity  and  proportionality  as 
provided  for  in  Article 3b  of  the  Treaty,  the  objectives  of  Community  research  and 
technological development policy reflected in the Fifth Framework Programme cannot be 
sufficiently  achieved  by  the  Member  States,  since  they  require  the  establishment  of  a 
critical mass in human and financial terms and a combination of expertise exceeding the 
confines of a single Member State; whereas these objectives can therefore, in view of the 
multiplier effects that they generate, be better achieved at Community level; whereas this 
Decision  is  limited  to  the  minimum required  to  achieve  these  objectives  and  does  not 
exceed what is necessary to this end; 

Whereas  the  Community's  financial  participation  in  the  actions  of  the framework 
programme may be varied at the level of the specific programmes according to the nature 
of the activities concerned and the proximity to the market, in specific  and duly justified 
cases,  in  compliance  with  international  rules  and  the  provisions  of  the  Community 
Framework  for  State  aid for  research  and development10,  in particular points  5.12  and 
5.13 thereof; 

Whereas the criteria that have been laid down to choose the topics covered by the Fifth 
Framework Programme  and the related  scientific  and technological  objectives  take into 
account the above-mentioned principles;  whereas those criteria should also be applied to 
the implementation of the Fifth Framework Programme in order to ensure consistency; 

Whereas, in the implementation of the Fifth Framework Programme,  a fair balance must 
be  struck  within  the  themes  and  in  particular  between  the  activities  for  research  and 
development of generic technologies and the key actions, between the different themes of 
the Fifth Framework Programme, and between the Fifth Framework Programme and any 
other instrument with a direct or indirect link with the latter; 

Whereas  the  Joint Research  Centre  will  contribute  towards  the  implementation  of  the 
framework programme  in  the  areas  of  activities  in  wliich  it  provides  impartial  and 
independent expertise and the scientific  and technical support needed for implementation 
of the various Community policies,  and in addition, it will participate,  in the  context  of 
consortia, in carrying out research activities foreseen by way of indirect actions; 

Whereas it is necessary to take into account the ethical aspects of advances in knowledge 
and technologies  and their application,  and to  conduct  research  activities  in compliance 
with fundamental ethical principles and with the protection of privacy; 

Whereas,  in addition to  the  annual report to  be  submitted  to  the European  Parliament 
and  the  Council  pursuant  to  Article 13 Op  of  the  Treaty,  in  accordance  with  the 
recommendations to be implemented in respect  of transparency  and sound  and  efficient 
management,  it is necessary to adopt arrangements for the systematic examination of the 
progress of the Fifth Framework Programme and its evaluation; 

Whereas, in order to ensure consistency between the research activities undertaken under 
the  Treaty  establishing  the  European  Community  and  those  carried  out  under  the 

10  OJ C 45, 17.2.1996, p.5 

21 

Euratom Treaty, the Decision concerning the framework programme for nuclear research 
and training activities should be adopted at the same time as and for the same period as 
this framework programme; 

Whereas the Scientific and Technical Research Committee (CREST) has been consulted, 

22 

HAVE DECIDED AS FOLLOWS: 

Article 1 

1.  A  multiannual  framework  programme  for  all  Community  activities,  including 
demonstration  activities,  in  the field of  research  and  technological  development, 
hereinafter referred to as the "Fifth Framework Programme", is hereby adopted for 
the period 1998-2002. 

2. 

The  Fifth  Framework  Programme  shall,  in  accordance  with  Article  130g  of  the 
Treaty,  comprise  four  Community  activities.  The first Community  activity  shall 
relate to the following three themes: 

(a) 

(b) 

(c) 

unlocking the resources of the living world and the ecosystem; 

creating a user-friendly information society; 

promoting competitive and sustainable growth. 

The  second,  third  and  fourth  Community  activities  shall  relate  to  the  following 
three themes respectively: 

(a) 

(b) 

(c) 

confirming the international role of Community research; 

innovation and participation of small and medium-sized enterprises; 

improving human potential. 

The latter three themes will  also be taken into  account  in the  context  of  the first 
Community activity. 

The  criteria  for  selecting  the  themes  referred  to  in  paragraph  2  and  the  related 
objectives  are set  out  in Annex I.  They will  apply for  the  implementation  of the 
Fifth Framework Programme. 

The general outlines of the Community activities, their scientific  and technological 
objectives and the related priorities are set out in ^uinex H. 

3. 

4. 

Article 2 

1. 

The  maximum  overall  amount  for  Community  financial  participation  in  the 
Fifth Framework Programme shall be ECU [...]  million. 

2.  Annex HI fixes the respective shares in each of the Community activities envisaged 
in  Article  1  and  indicates  the  breakdown  between  the  themes  in  the  first 
Community activity defined in Article 1(2). 

23 

Article 3 

1. 

2. 

The  Fifth Framework  Programme  shall  be  implemented  through  seven  specific 
programmes, three of which correspond to the three themes of the first Community 
activity,  three  are  linked  to  the  second,  third  and  fourth  Community  activities 
respectively, and one is a programme specific to the Joint Research Centre. 

Each specific programme shall specify the detailed rules for its implementation, fix 
its duration and provide for the means deemed necessary. 

Implementation  of  the  Fifth  Framework  Programme  may  give  rise,  where 
necessary,  to  supplementary  programmes  within the  meaning  of  Article  130k,  to 
Community participation in research and development  programmes undertaken by 
several Member States within the meaning of Article  1301, or to  the  setting-up  of 
joint  undertakings  or  any  other  structure within  the  meaning  of  Article  13On.  It 
may also give rise to cooperation with third countries or international  organisations 
within the meaning of Article 130m. 

Article 4 

The detailed  rules for financial participation by the  Community  in the Fifth Framework 
Programme  shall  be  those  laid  down  in  accordance  with  the  special  provisions 
concerning  research  and  technological  development:  appropriations  in  the  Financial 
Regulation  applicable  to  the  general  budget  of  the  European  Communities,  as 
supplemented by Annex IV to this Decision. 

Article 5 

1. 

2. 

The Commission  shall examine each year, with the help of appropriately  qualified 
independent  experts,  the  implementation  of the Fifth Framework Programme and 
its specific  programmes in the light of the criteria set  out in particular in Annex I. 
It  shall  assess,  in  particular,  whether  the  objectives,  priorities  and financial 
resources  are  still  appropriate  to  the  changing  situation.  Where  appropriate,  it 
shall  submit  proposals  to  adapt  or  supplement  the framework programme  and/or 
the specific programmes. 

Before submitting its proposal for a Sixth Framework Programme, the Commission 
shall have an external assessment conducted by independent high-level  experts into 
the  implementation  of  Community  activities  carried  out  during  the  five  years 
preceding that assessment in the light of the criteria set out in particular in Annex I. 
The  Commission  shall  communicate  the  conclusions  thereof,  accompanied  by  its 
comments,  to  the  European  Parliament,  the  Council,  the  Economic  and  Social 
Committee and the Committee of the Regions. 

3. 

The independent  experts referred to  in paragraphs  1 and 2  shall be  chosen by the 
Commission,  which  shall  take  account,  in  a  balanced  fashion,  of  the  various 
research players. 

24 

Article 6 

All the research activities conducted  pursuant to the I'ifth Framework  Programme  shall 
be carried out in compliance with fundamental ethical principles. 

Done at Brussels, 

For the European Parliament 
The President 

For the Council 
The President 

25 

ANNEX I 

CRITERIA FOR SELECTING THE THEMES AND OBJECTIVES OF 
COMMUNITY ACTIVITIES 

The  implementation  of  the  European  Community's  research  and  technological 
development  policy  is  based  on  the  twin  principles  of  scientific  and  technological 
excellence  and  the  relevance  of  research  activities  to  the  objectives  of  the  Treaty 
establishing the European Community. 

In  pursuit  of  a  cost-benefit  approach  dictated  by  concern  for  optimum  allocation  of 
European public funding,  the choice of themes for the 5th Framework Programme and 
the related objectives is made on the basis of a set of common criteria, divided into three 
categories. 

•  Criteria related to social objectives: 

-  improving the employment situation, 

-  promoting the quality of life and health, 

-  preserving the environment, 

in order to further major social objectives of the Community reflecting the expectations 
and concerns of its citizens. 

•  Criteria related to economic development and scientific and technological prospects: 

-  areas which are expanding and create good growth prospects, 

-  areas in which Community businesses  can and must become more competitive, 

-  areas in which prospects of significant technological progress are opening up, 

•  Criteria related to the Community  "value added" and the subsidiarity principle: 

-  need  to  establish a  "critical mass"  in  human and  financial  terms,  and the 

combination of the complementary expertise available in the various Member States, 

-  significant contribution to the implementation of one or more Community policies, 

-  addressing of problems arising at Community level or questions relating to aspects 

of standardisation or connected with the development of the European area, 

so as to select only objectives which cannot be achieved through private research alone 
and are more effectively pursued at the Community level by means of research activities 
conducted at that level. 

These criteria will be used, and where necessary supplemented, for the implementation of 
the 5th Framework Programme, in order to define the specific programmes and select the 
research and technological development activities, including demonstration activities. 

26 

ANNEX II 
BROAD LINES OF COMMUNITY ACTIVITIES 
SCIENTIFIC AND TECHNICAL OBJECTIVES 

L 

THEMES AND ORGANISATION OF THE 5TH FRAMEWORK PROGRAMME 

In accordance with Article 130g of the EC Treaty, the  5th Framework Programme will comprise  four 
activities: 

- 
- 

- 

- 

the first activity covers the research, technological development and demonstration programmes; 
the second activity is aimed at promoting cooperation  on research, technological  development  and 
demonstration with third countries and international organisations; 
the  third  activity  concerns  the  dissemination  and  optimisation  of  the  results  of  research, 
technological development and demonstration activities; 
the fourth activity is intended to stimulate the training and mobility of scientists. 

1. 

CONTENT AND ORGANISATION OF THE FIRST ACTIVITY 

The research, technological development and demonstration projgrammes will comprise: 

-  "key actions"; 
-  activities for research and development of generic technologies; 
-  activities in support of research  infrastructures. 

In  addition,  in  the  framework  of  a  coherent  approach  invohdng  also  the  second,  third  and  fourth 
activities, these programmes will implement, in their respective areas, actions contributing to the aims of 
these activities. 

a) 

"Key actions" 

The aim of the key actions is to mobilise, in the context of an overall approach, the resources of different 
disciplines,  technologies  and  know-how  and  related  skills  of  various  origins.  They  will  fit  into  a 
European context and bring together a maximum of public and private effort  on the subject concerned. 
The key actions have been strategically selected on the basis of the problems to be resolved and explicitly 
formulated economic and social objectives. 

The research activities carried out in this context will cover the entire spectrum of activities needed to 
achieve the objectives, and range from basic research through development to demonstration. 

b) 

Activities for the research and development of generic technologies 

These activities, which are to be carried out in a limited number of areas selected using the criteria set 
out in Annex I, will complement the key actions. Their main aim is to help the European  Community 
maintain and improve the flow of ideas and knowledge and its technological capabihty in those areas of 
research  and  enabling  technologies  which  have  many  and  varied  potential  applications  but  are  not 
covered by the key actions. 

c) 

Support for research  infrastructures 

The aim  is to encourage optimum use to be made of the  CorrLmunity's research  infrastructure  and  to 
improve the consistency of the European research fabric. 

27 

2. 

CONTENT  AND  ORGANISATION  OF  THE  SECOND.  THIRD  AND  FOURTH 
ACTIVITIES 

The  horizontal  themes  are  at  the  crossroads  of  the  European  Community's  research  policy  and 
respectively its external policy, innovation policy, policy on education and training and the promotion of 
personal mobility, and its social and employment policy. 

Each of them comprises: 

- 
specific activities linked to the general objectives of the European Community's policy with regard to 
external relations, innovation and human resources which are not carried out as part of the themes of the 
first activity; 

-  activities essentially  in the form of coordination, support and accompanying activities  to ensure the 
coherence of equivalent activities carried out under the themes of the first activity. 

3. 

THE JOINT RESEARCH  CENTRE 

The Joint Research Centre is the scientific  and technical body which the Commission  needs to perform 
the tasks that it is empowered to conduct  The scientific  and technological  objectives of its activities are 
located more especially in areas requiring impartial and independent expertise at European Community 
level and in areas related to the objectives of its main policies. 

These  activities  correspond  to  the  scientific  and  technological  objectives  of  the  5th  Framework 
Programme  described below, but must also  respond to the  requirements of and changes  in the various 
Community policies where these result in specific  research and development requirements, in particular 
when the Joint Research Centre's neutrality is essential. 

* * * ** 
** 

H. 

SCIENTIFIC AND TECHNOLOGICAL  OBJECTIVES 

1. 

UNLOCKING THE RESOURCES  OF THE LIVING WORLD AND THE  ECOSYSTEM 

FIRST ACTIVITY 

1 

Improving  the  quality  ofltfe  and health  and addressing  environmental problems  are major  challenges 
and the  Community plans  to tackle  them by helping to increase  knowledge  and develop  technologies  in 
the fields  of the living world  and the  environment 

At  the  same  time,  progress  in  this  area  will  help  to  increase  the  competitiveness  of  the  Community's 
enterprises  by  opening  up new prospects  in areas  in which  the  Community  already  has  a strong  hand, 
such as biotechnology,  agro-industry,  and the fields  of health and the  environment 

a) 

i) 

Key  actions 

The living world and the ecosystem (I): health and food 

The  aim  of  this  key  action  is  to  promote  the  development  of  knowledge,  technologies  and  methods, 
based  on biotechnology,  for  example,  to produce  a  safe,  healthy,  balanced  and varied  food  supply  for 
consumers. This requires as a priority: 

* 

the development of new processing methods to improve food quality; 

28 

the development of tests to detect and processes to eliminate infectious and toxic agents; 

* 
*  study  of the  role  of food  in  preserving  health,  in  particular  from  the  point  of view  of  nutrition, 

epidemiology and public health. 

ii) 

The living world and the ecosystem (H): control of viral and other infectious  diseases 

The priority objectives of this key action are the fight  against  Aids and control of the "new plagues" 
(such as the reappearance of tuberculosis and the emergence of diseases linked to new or mutant agents). 
Close attention is to be paid to: 

the development of vaccines, especially against viral diseases; 
treatment and prevention strategies; 

* 
* 
*  aspects connected with public health and care-delivery systems. 

iii) 

The living world and the ecosystem (HI): the "cell factory** 

This  key  action  is  aimed  at  helping  the  Community's  enterprises  exploit  the  advances  made  in  life 
sciences and technologies, particularly  in the fields  of health  and the environment.  It  is aimed  at the 
development  of  multidisciplinary  technologies  based  on  exploitation  of  the  properties  of  micro 
organisms, plants and animals at the cellular and sub-cellular levels. The objective  is to develop new 
bio-molecules with high added-value capable of enhancing the quality of life and health, including: 

*  new health products (for example, antibiotics and anti-cancer agents); 
*  waste biotreatment processes; 
*  new biological processes for the agri-food industry. 

iv) 

The living world and the ecosystem (IV): management and quality of water 

The  aim  of  this  key  action  is  to  produce  the  knowledge  and  technologies  needed  for  the  rational 
management of water resources for  domestic needs and those of industry and agriculture.  Among the 
priority fields concerned are: 

treatment and purification technologies; 
technologies for monitoring the quality and the level of groundwater and surface waters; 

* 
* 
*  surveillance, early warning and communication systems; 
* 

technologies for the regulation of stocks and technologies for arid and semi-arid regions. 

v) 

The living world and the ecosystem (V): environment and health 

The aim of this key action is to help reduce the adverse impact on health of changes in the environment. 
It covers in particular issues such as prevention and the effect's  on health of air pollution, heavy metals 
and toxic  substances,  noise, climatic  changes and  electromagnetic radiation,  as well  as the  effects  of 
pollution at the workplace. It includes as a priority: 

*  epidemiological studies; 
* 
* 

the development of new methods of diagnosis, risk assessment and prevention; 
the development of processes to reduce causes and harmful  health effects. 

vi) 

The  living  world  and  the  ecosystem  (VI):  integrated  development  of  rural  and  coastal 
areas 

The aim is to mobilise the knowledge and technologies needed to implement 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. Priority areas include: 

29 

*  new systems of production and exploitation in agriculture, forestry,  fishing  and aquaculture, taking 
into account profitability, the sustainable management of resources, product quality and employment; 

*  non-food uses; 
*  methods of control; 
* 

the production  of new models for the sustainable development  of rural  and coastal  areas based on 
optimisation of the specific potential of each area, the diversification  of activities and land use, and 
the involvement of the people concerned. 

b) 

Activities for the research and development of generic technologies 

Work will focus on priority research to support: 

the fight against age-related illnesses and health problems (e.g. Alzheimer's disease), degenerative 
diseases (in particular cancer and diabetes), cardio-vascular diseases, diseases of genetic origin and 
rare diseases;  research into genomes and the neurosciences; 
the  improvement  of health  systems, the enhancement  of health  and  safety  at  work,  and  the  fight 
against drug-related public health problems; 
the fight against  major  natural  and technological  hazards through  the development  of  forecasting, 
prevention, impact assessment and mitigation techniques; 
understanding of the processes and interactions involved in 'global change"  on land, at sea and in 
the atmosphere, as well as their impact on ecosystems; 
the  development  of  generic  Earth  observation  technologies,  notably  satellite  technologies,1  for 
environmental monitoring and resources and ecosystem management; 
the  study  of problems  relating  to  biomedical  ethics  and  bioethics  in  the  context  of  a  respect  for 
fundamental  human values2; 
the study of the socio-economic aspects of development of the life sciences and technologies and of 
environmental change within the perspective of sustainable development (the impact on society, the 
economy and employment). 

c) 

Support for research  infrastructures 

The priority  is to make optimum  use, at  Community  level, of databases and  collections  of biological 
material, centres for clinical trials, marine research facilities  and computer centres for  climate studies. 

There  will  be  specific  coordination  of  the  activities  relating  to  "space  technology"  applications 
carried out within each of the three thematic programmes. 

No research activity which modifies or is intended to modify  the genetic heritage of human beings 
by alternation of germ cells or by acting at any other stage in embryonic development and which can 
make such alteration heritable will be carried out under the present Framework Programme. In the 
same way, no research activity, understood within the term "cloning" will be conducted  with the 
aim  of replacing  a germ  or  embryo cell  nucleus with  that  of the cell  of any  individual,  from  an 
embryo or coming from a later stage of development to the human embryo. 

To the extent possible, animal experiments and tests on animals should be replaced with in vitro or 
other alternative methods. Modification  of the genetic heritage of animals and animal cloning will 
be envisaged within the current Framework Programme only for  objectives which  are justified  on 
ethical grounds and to the extent that the operations involved are effected  on an ethical basis, with 
respect for the well being of animals and the principles of genetic diversity. 

30 

2. 

CREATING A USER-FRIENDLY INFORMATION  SOCIETY 

The advent  of the  Information  Society  is  opening  up the possibility  of a  wide  range  of  new  activities, 
for  both  individuals  and  companies  of  the  Community,  in  the  fields  of  trade,  work,  transport, 
environment,  education  and  training,  health  and  culture.  Continuous  efforts  in  relation  to  research, 
technological  development  and  technology  take-up  are  necessary  to  realise  the full  potential  of  the 
Information  Society.  The  technological  range  of  key  actions  allows  the  possibility  of  a  flexible 
concentration  and a dynamic  implementation  of the activities,  reflecting  socio-economic  priorities. 

These  efforts  must,  in  all  activities,  tackle  the  universal  issues  such  as  access,  ease  of  use,  cost-
effectiveness  and interoperability,  as well  as socio-economic  impact 

a) 

i) 

Key  actions 

Information  Society (I): systems and services for citizen 

The  aim of this key action is  to provide users with easier acosss  at the  lowest  cost  to  quality  general-
purpose services and boost the industry providing these service;;.  In this context,  it will be based on the 
following priorities: 

*  as regards health and the elderly: on computerised medical  systems, on secure  high-capacity  health 
networks and telemedicine,  on advanced interfaces  and on tele-systems to integrate  the  elderly  and 
the disabled into society; 

*  as regards the public authorities: on systems utilising multimedia and tele-systems; 
*  as regards the environment: on intelligent systems for analysis,  surveillance,  management  and early 

warning; 

*  as regards transport: on the advanced intelligent systems needed for management and associated tele-

services. 

ii) 

Information  Society (II): new methods of work and electronic trading 

The aim of this key action is to help companies operate more efficiently  and to make  trading in  goods 
and services more efficient.  The priority topics will be: 

* 

flexible,  mobile and remote working methods, for individuals and for cooperative and group working 
and working methods based on simulation and virtual reality; 

*  management systems for suppliers and consumers, including interoperable payment systems; 
* 

information  and  network  security,  including  the  technical  means  for  authentication  and  the 
protection of integrity and intellectual property and 'privacy enhancing technologies'. 

iii) 

Information  Society (HI): multimedia content 

The  aim  of  this  key  action  is  to  facilitate  life-long  education  and  training,  to  stimulate  creativity, 
promote  linguistic  and cultural  diversity  and  improve the functionality  and  user-friendliness  of  future 
information  products  and  services.  It  puts  emphasis  on  the  development  of  intelligent  systems  for 
education  and training  and of  innovative  forms  of  multimedia  content,  including  audiovisual  content, 
and tools for structuring and processing them.  It will focus on four main lines: 

* 

interactive electronic publishing with new methods for creating and structuring publications  and for 
the  personalised  dissemination  of  information  and  accessing  of  cultural  items  through  virtual 
libraries and museums; 

*  education and training: systems, services and software  enabling the development  and demonstration 

of new methods using multimedia, broad-band communications, simulation and virtual reality, 

*  new  language  technologies  which  help  to  make  information  and  communications  systems  more 

user-friendly, 

31 

*  advanced  technologies  for  accessing,  filtering  and  analysing  information  to  help  manage  the 
information  explosion and facilitate the use of multimedia contents, notably as regards geographical 
information systems. 

iv) 

Information Society (IV): essential technologies and infrastructures 

The  aim  of  this  key  action  is  to  promote  excellence  in  the  technologies  which  are  crucial  to  the 
Information  Society, to speed up their introduction and broaden their field of application.  This action 
will focus as a matter of priority on: 

*  computing,  communication  and  network  technologies,  together  with  their  implementation  and 

application; 
* 
technologies and engineering for software and systems including high-quality statistics; 
*  mobile and personal communications and systems, especially satellite-related services; 
* 
interfaces making use of the various senses; 
*  peripherals, subsystems and microsystems; 
*  micro-electronics  (technologies,  expertise,  equipment  and  hardware  necessary  for  the  design  and 

manufacture of circuits and the development of applications). 

b) 

Activities for the research and development of generic technologies 

Universal issues such as access, ease of use, cost-effectiveness  and interoperability  and  socio-economic 
impact will be fully addressed in all the key actions. 

From a visionary perspective, covering future and emerging technologies and applications, research will 
focus as a priority on: 

technologies for the representation, creation and handling of Imowledge; 

large-scale  simulation  and  visualisation 

technologies  and  virtual  presence 

* 
*  real-time  and 
technologies; 

*  quantum,  photonic, bio-electronic technologies,  and  technologies  for  very  large  scale  integration; 

ultra-high performance computers and super-intelligent networks. 

(c) 

Support for research  infrastructure 

The priority is to provide support for the advanced high-speed computer systems needed for research in 
all fields of science and technology, for example advanced INTERNET-2. 

32 

3. 

PROMOTING COMPETITIVE AND SUSTAINABLE  GROWTH 

The  objective  is  to  produce  and  disseminate  the  knowledge  and  technologies  needed  to  design  and 
develop processes  and produce  "clean", high-quality  products  that  will  be  competitive  on  tomorrow's 
market,  to  help  increase  growth  and  create  new jobs  in  Europe  and  to  give  firms  the  opportunity  to 
make the necessary  changes to their  activities. 

This goes  hand  in hand  with  the  development  of  high-performance  energy  systems  and  services,  and 
transport systems  which  are economic,  safe, and protective  of the environment  and quality  of  life. 

a) 

i) 

Key  actions 

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

The  aim  of  this  key  action  is  to  facilitate  the  development  of  high-quality  innovative  products  and 
services  that  meet  the  needs  of  the  citizen  and  the  market  and  new  methods  of  production  and 
manufacture  that  save  resources  and  are  environmentally  safe,  whatever  the  method  of  production. 
Research will focus as a matter of priority on: 

*  the elaboration, development and integration of new technologies for design, manufacturing,  control 

and production, in particular using microengineering; 

*  Information  Society  technologies  for  "intelligent"  manufacturing  (including  flexible  workshop 
systems and systems for flexible  management  of supply and distribution  chains,  embedded  systems 
and tele-services for operation and maintenance and simulation and shared-work technologies); 

*  technologies  to  reduce  resource  utilisation  and  promote  reuse  and  recycling  of  waste  and  the 

development of clean processes and products based on the concept of "life cycle analysis"; 

*  new  methods  of  organising  production  and  work  and  of  using  skills  (including  socio-economic 

analyses). 

ii) 

Competitive  and sustainable growth (H): sustainable mobility and  intermodality 

The  aim  is  to  ensure  the  mobility  of  people  and  goods  efficiently  and  without  damage  to  the 
environment  This  key  action  will  contribute  towards  this  by  helping  to  set  up  a  safe,  intelligent, 
efficient  and interoperable rail and road, air and maritime transport system for passengers and freight on 
a broadly intermodal basis at the European level to meet the  mobility needs of industry  and the public. 
This requires as a matter of priority: 

* 

the  development,  validation  and  demonstration  of  modal  and  intermodal  transport  management 
systems, including second-generation satellite navigation and positioning systems; 

*  research on infrastructures  and their interfaces with transport facilities  and systems, while  reducing 
the environmental impact and taking account of accessibility and the integration of regional planning 
and transport policies; 

*  the development of socio-economic scenarios for the mobility of people and goods. 

iii) 

Competitive and sustainable growth (HT):  new perspectives in  aeronautics 

The aim of this key action is to help the European Community consolidate  its position  in this  sector by 
developing  its  mastery,  in  an  environmentally  friendly  manner,  of  the  most  advanced  aeronautical 
technologies.  It will cover as a matter of priority: 

33 

* 

* 

* 

the development and demonstration of advanced technologies for integrated design and production, 
the reduction of energy consumption, emissions and noise for various aircraft concepts; 
the technological and economic feasibility of and the critical technologies for new-generation  aircraft 
concepts; 
the development of technologies to improve operational safety. 

iv) 

Competitive and sustainable growth (IV): marine technologies 

The  aim  is  to  encourage,  whilst  preserving  the  environment,  the  development  and  integration  of 
knowledge and technologies, specific to sea-based applications to enable the Community to fully exploit 
the  sea's  potential  and  to improve the competitiveness  of the marine  industry,  to  support  a  veritable 
"sea" policy. The priority emphasis will be on the technologies needed: 

*  for the development of advanced ships which are safe and  efficient; 
*  for the use of the sea as an economic means of transporting  goods and passengers  (advanced port 
infrastructure,  regional  maritime  transport  systems)  in  conjunction  with  the  key  action  on 
"sustainable mobility and intermodality; 

*  for the rational and sustainable exploitation of the sea as a source of energy and mineral resources (in 

particular off-shore and subsea technologies). 

v) 

Competitive and sustainable growth (V): advanced energy systems and services3 

The aim of this key action, taking into account market needs, is to help satisfy the Community's demand 
for  energy while minimising  the risks to the  environment.  It  helps  to promote  the  development  and 
improvement  of  advanced  energy  systems  that  are  efficient 
in  terms  of  both  production  and 
consumption, in particular  to achieve a  substantial  reduction  in  CO2 emissions and  other  greenhouse 
gases and to boost the Community's industrial competitiveness. Work will focus by way of priority on: 

* 

* 
* 
* 

the main new and renewable sources of energy and their integration, in particular, into decentralised 
systems; 
technologies for the storage and distribution of energy; 
technologies for the clean production and use of fossil fuels and for the rational use of energy; 
the elaboration of scenarios on economy/environment/energy interactions. 

vi) 

Competitive and sustainable growth (VT): the city of tomorrow 

The aim of this key action is the harmonious  development  of the citizens'  urban environment from  a 
global, innovative and resource-saving viewpoint, in an environmentally sound manner, using advanced 
models of organisation bringing together in particular the improvement of quality of life, the restoration 
of social equilibria and the protection and enhancement of the cultural heritage. Action will focus as a 
matter of priority on: 

*  new  models for  the  sustainable  development  of European  cities,  the  elaboration  of  medium-  and 
long-term socio-economic scenarios and research, development and demonstration activities focusing 
in  particular  on  problems  of  town  planning  and  architecture,  social  integration,  safety,  energy 
efficiency  and conservation  (in particular  in buildings and in  integrated  management  of transport) 
and democratic information networks (the concept of "digital cities"); 

Research activities relating to controlled thermonuclear fusion are described in detail in the proposal 
for the 5th Framework Programme of research and training under the Euratom Treaty. 

34 

•  development  and  demonstration  of  technologies  for  economic,  clean,  effective  and  sustainable 
recovery,  renovation  and  construction,  in  particular  for  large  groups  of  buildings  and  for  the 
protection of the cultural heritage; 

•  development and demonstration  in an urban context of tecltmologies for  economic, clean,  safe and 
intelligent vehicles (e.g. zero-emission vehicles), compatible with a context of sustainable  mobility 
(cf. key action on "sustainable mobility and intermodality"); 

b) 

Activities for the research and development of generic technologies 

The effort will be focused on the priority research needed*: 

• 

• 
• 

to support the development  of new and  improved  industrial  materials  and  the processes for  their 
manufacture: materials resistant to high temperatures and high pressure (e.g. 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; 
for the development of new materials and production technologies in the coal and steel  fields;3 
for  measurements  and tests to support  standardisation,  action  to combat fraud,  and  the  quality  of 
products,  and  services  (including  the  development  of  high-precision  measuring  instruments  and 
certified reference measures and materials). 

c) 

Support for research  infrastructures 

The priorities concern the networking and optimum use, at Community level, of computing centres for 
industrial  research,  high-power  wind  tunnels,  specialised  databases,  laboratories  and  facilities  for 
measurements and tests. 

1. 

CONFIRMING THE INTERNATIONAL ROLE OF COMMUNITY RESEARCH 

SECOND ACTIVITY 

ZJ 

The main purposes  of the  "international cooperation"  activity  are to contribute significantly  to the 
implementation  of  the  Community's external policy, especially  towards  the  Central and Eastern 
European accession candidates, and to help the Community establish industrial cooperation and open up 
new markets. 

In the context of the Community's external policy, and with the accession of new Member States in mind, the 
general objectives of the "international cooperation" activity are: 

-  to  promote  scientific  and  technological  cooperation  between  organisations  and  researchers  from  third 
countries  and  from  the  Community,  likely  to  produce  significant  and  balanced  benefits  for  both  sides 
(cooperation for "mutual benefit"); 

The research to support nuclear safety and security in the programme on promoting competitive and 
sustainable growth is outlined in the proposal for the 5th Euratom Framework Programme. 

In the perspective of an increasing implementation within the Framework Programme, of activities 
currently being carried out on the basis of the ECSC Treaty, which expires in 2002. 

35 

-  to  facilitate  access  for  research  centres  and  businesses  established  in  the  Commumty  to  scientific  and 
technological knowledge available outside the Community and useful to the Community's interests; 

-  to enhance the position and role  of  Commumty  research  in the  international  scientific  and technological 
arena; 

- to prepare for the accession of the associated Central and Eastern European countries (CEEQ, to support the 
Euro-Mediterranean partnership, to stabilise the human potential  of the CEEC and the Newly  Independent 
States of the former Soviet Union (NIS) and to support development policy; 

- to help European research players acquire information on research capacity, activity and priorities outside the 
Community (industrialised countries, "emerging economy" countries) so as to make Community industry more 
competitive and enhance its presence on the new markets. 

International  scientific  and  technological  cooperation  will  be  implemented  in  line  with  cooperation 
agreements, where these exist, through the specific  "international  coopération" activity and through account 
being taken of the international dimension of research in the other activities of the Framework Programme. 

(a) 

Specific actions in the "international cooperation" activity 

On the basis of the cooperation  policies  the  Community frames according to its  relations  with  its  various 
potential partners, three categories of action will  be implemented,  linked to  specific  problems facing  these 
countries and not covered by the other activities of the Framework Programme.  These actions will be financed 
through the specific "international cooperation" activity: 

- Cooperation with certain categories of country: 

CEEC: promotion of their centres of excellence. 
MEDITERRANEAN  THIRD  COUNTRIES:  notably,  regional  aspects  of  managing  the  Mediterranean 
Sea, support for socio-economic  development including the information society, preservation of cultural 
heritage. 
NIS:  support  for  their  research  and  technological  development  potential,  specific  targeted  actions 
(satellite applications, regional problems linked to the environment and health). 
DEVELOPING  COUNTRIES  (including  Mediterranean  and  'emerging  economy'  countries):  study  of 
the mechanisms and socio-economic conditions of sustainable development (for example agro-industrial 
research,  energy  systems);  support  for  integrating  productivity  requirements  and  respect  for  the 
environment  into  these  countries'  ecosystems  (for  example  water  management);  work  to  prevent  and 
combat major diseases specific to these countries and to make their public health systems more effective. 

-  Training  of  researchers:  a  system  of  fellowships  will  be  set  up  to  give  young  researchers  from 
developing  countries  (including  Mediterranean  and  'emerging  economy'  countries)  a  chance  to  spend 
time  in  Community  laboratories  and take part in Framework  Programme research  activities.  Another 
fellowship  scheme will be provided for young Community researchers to work in industrial  laboratories 
in Japan and South Korea. 

-  Coordination with COST actions, the EUREKA initiative and international  organisations  involved  in 
research  activity;  coordination  of  activities  pursued  through  the  other  programmes  of  the  Framework 
Programme  -  with  one  another,  and  with  those  pursued  througii  the  Community's  other  cooperation 
actions and with the Member States' cooperation activities. 

36 

(b) 

International cooperation pursued through the other Framework Programme activities 

Four types of participation in the specific programmes are foreseen: 

- full  association with the Framework Programme: participation and (Community funding for third country 
entities under similar conditions to Member State entities (EEA, some GEECs, Israel, Switzerland), 

-  participation  in programmes open to third countries on the basis of  bilateral  or multilateral  agreements: 
participation  without  Community  funding for third  country  entities,  on  a  project-by-project  basis  (certain 
industrialised  and  "emerging  economy'  countries).  Measures  will  be  taken  to  enhance  access  to  the 
Framework Programme for "emerging economy" countries, 

- participation in programmes open to third countries without specific cooperation agreements: participation, in 
principle without  Commumty funding for third country  entities,  on  a  project-by-project basis  (CEECs  not 
associated with the specific programmes, Eurorxan NIS, Mediterrariean partners), 

-  participation in projects in which it is  in the  Community's  interest ito involve  third country participants: 
participation funded in principle by the third country or, in certain duly justified cases, as defined in the rules 
on participation adopted under Article 130j of the Treaty, by the Commiinity through the specific programme 
concerned. 

| 

TfflRDACTrVTTY 

fl 

1. 

INNOVATION AND PARTICIPATION OF S M ES 

Innovation is the key factor  in industrial competitiveness and job  creation.  The aim  is to promote  it, 
facilitate the exploitation of research results and foster the creation of innovative enterprises. 

Small  and medium-sized businesses are important vectors and  actors in  innovation.  They should  be 
provided with easy access to the advanced technologies which they need, and to the possibilities offered 
by the Community's research programmes. 

The general objectives of Community action in this area are: 

- to improve the economic and social impact of programme research activities by reinforcing the mechanisms 
designed to ensure better exploitation of their results, as well as the transfer and dissemination of technology, 

-  to  facilitate  the  access  of programme  participants,  particularly  SMEs,  to  the  instruments  which finance 
innovation and support the creation of innovative enterprises (financial engineering; venture capital), 

-  to  stimulate  SME  participation  in  the  research  programmes  -  both  SMEs  active  in  research  and  high 
technology  and those with little or no  research capability but with  substantial  technological  needs; to help 
SMEs, notably in the least favoured regions, to develop their technological capabilities, 

-  to  help  implement  Community  innovation  policy,  notably by  adding; a  European  dimension  to  national 
innovation systems. 

Community efforts  to promote innovation and support  SME participation  in research programmes must be 
undertaken in the dual framework of the various Community actions and the  specific  innovation and SME 
activity.  The objectives and methods of these actions will be principally as follows: 

37 

(a) 

(i) 

Action specific to the "innovation and participation of SMEs" activity 

for innovation 

- rationalisation and coordination at Community level of networks providing information and assistance 
on the Community's research and innovation activities; management, in concert with the programmes, 
of the  support network for innovation and technology transfer,  consolidation  of the  mechanisms  for 
gathering  and  disseminating  information,  such  as  the  CORDIS  information  service  (joint  action: 
innovation/SMEs), 

- creation and development of assistance activities in the area of intellectual property rights and access to 
private finance, notably venture capital funds (joint action: innovation/SMEs), 

- definition, in concert with the programmes, of mechanisms (value analyses, market research, training) 
to facilitate, in the life-cycle of projects, the exploitation, private financing and transfer  of technologies 
and results produced, while guaranteeing protection of the knowledge acquired, 

- development, to this end, of the idea of "innovation units" to be set up in the programmes, coordination 
of their activities and help in creating innovative start-ups, principally via European organisations and 
funds (European Investment Fund, European Investment Bank, and the Eurotech Capital scheme), 

-  conception  and  definition  of  new  methodologies  for  technology  transfer  actions  integrating  the 
technological, economic and social aspects of innovation, 

- identification  and dissemination  of best practice in innovation  and technology transfer  (joint  action: 
innovation/SMEs) and coordination of studies and analyses, particularly in the area of innovation policy. 

(ii) 

for SMEs 

- management of a 'one-stop shop' - for all the research programmes - in the Commission's departments 
for project proposals to be implemented specifically  by SMEs; definition  and management of common 
tools facilitating  SME participation  in the programmes  (fullest  possible use of electronic  methods  for 
information dossiers, submission of proposals, "help line", etc.) 

(b) 

(i) 

Interaction with related actions in the other Framework Programme activities 

for innovation 

-  ensuring  that  the  setting-up  and  management  of  activities  under  the  thematic  programmes  are 
consistent  with  those  specific  to  the  "innovation  and  participation  of  SMEs"  activity;  encouraging 
preparation for the exploitation and dissemination of results dining the research phase. 

(ii) 

for SMEs 

Support  for  SME  participation  in  the  "cooperative  research''  activities  and  in  the  other  research, 
technological development and demonstration activities to be carried out in the programmes. 

-  "cooperative  research''  activities  enabling  at  least  three  mutually  independent  SMEs from  at  least two 
Member States to entrust jointly the resolution of their common technological problems to third legal entities.-
- activities to support and encourage SME participation in collaborative and cooperative research projects (for 

example on the basis of "exploratory awards"). 

38 

1. 

IMPROVING HUMAN POTENTIAL 

FOURTH ACTIVITY 

The world is increasingly based on knowledge  The Community *sprime asset in this area is the quality 
of its researchers, engineers and technicians.  The aim is to present  and help develop this knowledge 
potential  through  greater  support for  the  training  and  mobility' of  researchers,  including  towards 
enterprises, andby  supporting belter use of research infrastructure. 

The Community  also has a solid tradition of research in social and economic science which needs to be 
mobilised to identify economic and social trends and requirements, both current and future 

J 

The general objectives of this activity, to be realised in concert with related actions elsewhere in the Framework 
Programme, are: 

-  to  develop  the  Community's  human potential,  notably through  tlie  training  and  mobility  of  researchers 
(including towards industry and in particular SMEs) and through innovation in the methods and technologies 
of education and training with a view to creating new jobs; 

- to help make the Commumty an attractive location for researchers and for investment  in research and to 
promote European research in the international arena; 

- to encourage better use of research infrastructure; 

- to develop the socio-economic knowledge base for a better understanding of key social and economic topics 
linked to the objectives of the Framework  Programme and for the  (development  of  science  and technology 
policy and other Community policies. 

(a) 

Action specific to the "improving human potential" activity 

This activity is structured in five main lines: 

(i) 

Reinforcing the Community's human research capital 

The objective is to establish: 

-  research  training  networks,  created  in  advanced  and  emerging  fields  of  research,  on  topics  freely 
chosen by the  researchers.  The  accent will  be placed on the training  of young  researchers  at pre and 
post-doctoral level. 

-  a  coherent  system  of  "Marie  Curie"  fellowships  including:  fellowships  for  young  high-quality 
researchers with proven research experience,  awarded for topics chosen by the  researchers  themselves; 
industrial  host  fellowships  awarded  to  enterprises  (including  SMEs)  for  the  training  of  young 
researchers; host fellowships to help develop high-level  research capacity in the less favoured  regions of 
the  Commumty.  Supplementary  fellowship  measures  will  include  those  to  promote  the  mobility  of 
researchers in both directions between industry and academia, and to provide travel bursaries to centres 
of excellence for doctoral studies. 

39 

(ii) 

Improving the utilisation of major research infrastructures 

The aim is to promote optimum use of research infrastructuires Garge facilities,  networks of  distributed 
facilities,  centres  of  competence)  in  those  areas  (including  economic,  legal  and  social  sciences)  not 
covered  by  other  activities  of  the  Framework  Programme,  or  for  categories  of  infrastructure  not 
considered  by  those  activities.  To .this  end,  measures  are  envisaged  to  help  researchers  with 
transnational access, to set up networks between infrastructure operators and to support research projects 
to improve access to infrastructures. 

(iii) 

Promoting scientific and technological excellence 

The objective here is to stimulate, through exchange, scientific and technological excellence and to make 
the most of the achievements of research.  This will be achieved through support for high-level  scientific 
conferences,  the networking  of  Commumty  researchers  active  outside  the  Community,  distinctions  for 
high-level  research work,  and action to raise  public  awareness  and to  make  information  on  important 
scientific issues available to the public at Community level via electronic networks. 

(iv) 

Harnessing socio-economic research to the needs of society 

These  actions  cover  a  limited  number  of  subjects  linked  to  the  general  objectives  of  the  Framework 
Programme and aim at defining  the base for employment-generating  social  and economic  development 
and for building a European knowledge  society.  Work will  focus  primarily  on analysing the  interplay 
between  technological  progress,  employment,  innovation  in  education  and  training,  the  legal 
environment and economic competitiveness; studying the socio-economic  impact of the development  of 
services and the "non-tangible" economy; producing and validating new development  models  fostering 
growth, employment and quality of life. 

(v) 

Supporting the development of science and technology policies in Europe 

This will  be achieved by  setting up an exchange  forum  in  the form  of the ET AN  network  (European 
Technology  Assessment  Network),  bringing  together  political  decision-makers  and  researchers 
specialised  in  the  study  of  science  and  technology  policies,  by  technology  evaluation,  watch  and 
foresight  activities, by the  evaluation  of  scientific  and technological  choices; by the  development  of  a 
system of statistics and scientific, technological and innovation indicators. 

(b) 

Interaction with related actions in the other Fi-anieworkProgramnie activities 

This  activity  will  include  the  coordination,  support  and  accompanying  actions  needed  to  ensure 
consistency  with  related  actions  undertaken  elsewhere  in  ithe Framework  Programme  on  the  aspects 
referred to in 1(a) above. 

40 

ANNEXm 

5TH FRAMEWORK PROGRAMME (1998-2002) 
AMOUNTS AND BREAKDOWN 

First  activity  (research,  technological  development  and 
demonstration programmes) 

Second  activity  (cooperation  with  third  countries  and 

international organisations) 

Third activity (dissemination and optimisation of results) 

Fourth  activity  (stimulation  of  the  training  and  mobility  of 
researchers) 

MAXIMUM OVERALL AMOUNT 

ECU million 
(current prices) 
[] 

» . 

[ ] 

[ ] 

[ ] 

\Jl 

Indicative  breakdown  between  the  themes  olf  the  first 
activity: 

ECU million 

- unlocking the resources of the living world and the ecosystem 

- creating a user-friendly information society 

- promoting competitive and sustainable growth 

[ ] 

[ ] 

[ ] 

[] 

1  Of which ECU [  J for the JRC. 

41 

ANNEX IV 

PvULES FOR FINANCIAL PARTICIPATION BY THE  COMMUNITY 

The  European  Commumty  will  contribute  financially  to  the  research  and  technological 
development  activities,  including  demonstration  activities,  hereinafter  referred  to  as  "indirect 
RTD  actions" carried  out  under  the  programmes  implementing  the  Framework  Programme.  In 
addition, it will carry  out  directly  research  and  development  activities  hereinafter  referred  to  as 
"direct RTD actions". 

The key actions, the activities for the research and development of generic technologies,  support 
for  research infrastructures  and the activities carried out in the context of activities 2, 3 and 4, as 
described in Annex II, will be implemented through indirect RTD actions and direct RTD actions. 

1. 

Indirect RTD  actions 

The indirect RTD actions will comprise five categories:  shared-cost actions, training  fellowships, 
support for networks, concerted actions and accompanying measures. Shared-cost actions will be 
the main mechanism for implementing the programmes. 

The rate of financial participation by the Community in these actions will be as follows: 

(a) Shared-cost actions 

- Research  and  technological  development projects,  demonstration projects,  integrated 
projects: 

Research  and  technological  development  projects  are  projects  designed  to  obtain  new 
knowledge likely to be useful  either to develop or significantly improve existing products, 
processes and services or to meet the needs of society. They will be financed  in principle 
at  a  level  of 50%  of  the eligible  costs. In the special case of legal entities which do not 
keep analytical accounts, the additional costs generated as a result of the research will be 
financed  at the rate of 100%. 

Demonstration projects  are projects which are designed to prove the technical viability of 
technologies  and  which  cannot  be  commercialised  directly.  They  will  be  financed  in 
principle at a level of 35% of the eligible  costs. 

Integrated  projects  are  projects  with  both  a  research  and  technological  development 
component  and  a  demonstration  component,  lliey  will  be  financed  at  a 
level 
corresponding  to the weighted average of the levels applicable  to the two  components. 

- Support for  access to research  infrastructures: 

Support will be granted to existing research infrastructures  so that they can receive teams 
of Community researchers and enable them to optimise their research work. 

Community  funding  granted  as  a  contribution  towards  the  optimum  utilisation  of 
infrastructures  is  set  at  up  to  100%  of  the  additional  eligible  costs  connected  with 
receiving teams of Community researchers and maldng the facility  available. 

42 

-  Technology stimulation projects  to  encourage  and facilitate  SME participation  in 
RTD activities: 

"Cooperative research" activities will be financed up to 50% of the eligible project  costs. 

"Collaborative research" activities will be financed  in the form of an award covering up 
to  75%  of  the  eligible  costs  of  the  exploratory phase  of  an  RTD  activity,  including 
project validation and preparation, a feasibility study and partner search, during a period 
not exceeding  12 months. 

(b) Training fellowships 

In the context of the fourth activity, the Community  "Marie Curie" fellowships  scheme 
will  comprise  several  categories:  fellowships  for  young  researchers  with  proven 
experience,  industrial  host  fellowships  for  training  young  researchers  and  development 
host fellowships. 

Under the fellowship  scheme for young researchers with proven experience,  fellows  will 
receive  an  allowance  designed  solely  to  cover  their  subsistence  expenses  and  proper 
social  welfare  expenses.  They  will  also  receive  a.  contribution  designed  to  take  into 
account the costs involved in mobility. 

In the context of the second activity, the fellowship  schemes will on the one hand enable 
young researchers from developing countries to be given an opportunity to spend time in 
Community laboratories, and on the other enable young Community researchers to spend 
time in Japan and South Korea. 

Community  funding  will  cover  up  to  100%  of  the  eligible  fellowship  costs  and  a 
contribution to the eligible costs of the host institution when it is in the Community. 

(c) Support for networks 

The  thematic  networks  will  bring  together  manufacturers,  users,  universities,  research 
centres and organisations concerned with the diffusion  or transfer of innovation around a 
given  scientific  and  technological  objective  so  as  to  facilitate  the  incorporation  and 
transfer  of knowledge,  and cooperation between research players  and users,  ensure that 
market  needs  are  taken  into  account  more  effectively  and  promote  scientific  and 
technological  excellence.  Community  funding  will  œver  up  to  100%  of  the  additional 
eligible costs of coordinating and implementing the thematic networks. 

Research training networks will be created in advanced or emerging fields  of research on 
topics freely chosen by the researchers. Their main aim will be to train young researchers 
at pre-doctoral and post-doctoral level. Community funding will cover up to 100% of the 
additional  eligible  costs  connected  with  setting  up  and  maintaining  the  network.  The 
average maximum amount per partner per annum will be set in the specific programme to 
be adopted under the fourth activity. 

43 

(d) Concerted actions 

Concerted actions will be designed to coordinate natioiuil RTD projects already in receipt 
of funding,  in order to  exchange experience  acquired, to expand the  research efforts  of 
the various players  so  as to reach a critical  mass, to «disseminate results  and to  inform 
users.  Community  funding  will  cover  up  to  100%  of  the  additional  eligible  costs 
connected with concertation. 

(e) Accompanying measures 

Accompanying  measures  will  contribute  towards  the  implementation  of  the  specific 
programmes  or  the  preparation  of  future  activities,  with  a  view  to  enabling  them  to 
achieve or define their strategic objectives. They will also seek to prepare or support the 
other  indirect  RTD  actions.  Measures  devoted  to  tin;  commercialisation  of  products, 
processes or services, marketing activities and sales promotion are excluded.  Commumty 
funding may be up to 100% of the eligible costs of the measures. 

In the Decisions adopting the specific  programmes implementing the 5th Framework Programme 
there can be no derogations from the financial participation rati» set above, with the exception of 
d'Uy justified  special cases. The Decisions may spell out in more detail the indirect RTD actions 
described above, supplement them or subject them to additional conditions or limitations. 

The other rules for the financial participation of undertakings, research centres and universities in 
indirect RTD actions  and for the dissemination  of  results  are specified  in the  Council  Decision 
adopted pursuant to Article  130j of the Treaty. 

2. 

Direct RTD actions 

The  direct  RTD  actions to  be  implemented  by  the  Joint  Research  Centre  (JRC)  will  comprise 
research activities of an institutional character and scientific and technical support acthities of an 
institutional character. The research activities of an institutional character are those for which the 
JRC  has  special  or  even  unique  facilities  in  the  Community  and  which  contribute  to  the 
implementation of Community RTD policy.  The scientific  and technical  support activities  of an 
institutional character are activities necessary for the' framing and implementation of Community 
policies and tasks incumbent on the Commission pursuant to the Treaty which require the JRC s 
impartiality. Commumty funding will normally be 100% of the costs of the direct RTD action. 

3.  Any  Council  Decisions  taken pursuant to  Article  130o,  as  referred to  in Article 3(2)  of this 
Decision,  will  lay  down,  where  necessary,  the  rules  for  financial  participation  by  the 
Community. 

44 

PROPOSAL FOR A COUNCIL DECISION CONCERNING THE FIFTH 
FRAMEWORK PROGRAMME OF THE EUROPEAN ATOMIC ENERGY 
COMMUNITY (EURATOM) FOR RESEARCH AND TRAINING ACTTVnTES 
(1998-2002) 

(.../.../Euratom) 

97/0120 (CNS) 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Atomic Energy Community, and 
in particular Article 7 thereof, 

Having regard to the proposal from the Commission1, 

Having regard to the opinion of the European Parliament2, 

Having regard to the opinion of the Economic and Social Committee3, 

Whereas a multiannual framework programme covering aii research activities, including 
demonstration  activities,  and  training  activities  in  the  field  of  nuclear  energy,  to  be 
implemented by means of research and training programmes, can be adopted pursuant to 
Article 7 of the Treaty; 

Whereas  it  has  been  held  appropriate  to  adopt,  for  the  period.  1998-2002,  a  new 
framework programme  in  order  to  ensure  the  continuity  of  research  and  training 
activities in the field of nuclear energy; 

Whereas,  in  accordance  with  Article 4(2)  Council  Digcision  94/268/Euratom  of 
26 April 1994 concerning a framework programme of Community activities in the  field 
of research and training for the European Atomic Energy Community (1994 to  1998)4, 
amended by Decision 96/253/Euratom5, the Commission is required to have an external 
assessment  conducted  into the management  of and progress with  Community  activities 
carried  out  during  the  five  years  preceding  that  assessment,  prior  to  presenting  its 
proposal for the Fifth Framework Programme; whereas that assessment, the conclusions 
thereof  and  the  Commission's  comments  have  been  communicated  to  the  European 
Parliament, the Council and the Economic and Social Committee; 

Whereas  on  10 July 1996 the  Commission  adopted  a  communication6  setting  out  the 
preliminary  guidelines  for  the Fifth  Framework  Programme,  stressing  the  need  for  the 

4  OJNoL  115, 6.5.1994, p. 31. 

5  OJ No L 86, 4.4.1996, p. 72. 

6  COM (96) 332  final. 

45 

latter  to  meet  economic  and  social  needs  as  a  matter  of  priority;  whereas  that 
communication  was  followed  by  a first working  paper  of  20 November  1996,7  which 
implementation 
provided  more  details  about  the  proposed  objectives  and  the 
mechanisms,  and then a second working paper of  12 February 1997,8 which set  out the 
possible content of the Fifth Framework Programme; 

Whereas European  Atomic  Energy  Community  research  in the field of  nuclear  energy 
must  reflect  the  current  context  of  the  need  to  develop  safe  and  acceptable  energy 
systems  that  respect  standards  and  the  environment  and  are  competitive  in  terms  of 
production costs; 

Whereas  the  Fifth  Framework  Programme  should  therefore  focus  on  areas  covering 
activities for the research and development of generic technologies,  action which brings 
together this type of activities in a coherent whole, targeted strategically  on one and the 
same mobilising topic (hereinafter  referred to  as "key action"), and support for research 
infrastructures; 

Whereas,  furthermore,  the Fifth  Framework  Programme  should  include,  in  addition  to 
the  thematic  aspects,  horizontal  aspects  covering  cooperation  with  third  States  and 
international  organisations, the dissemination and exploitation  of the results  of research 
and training activities and the training and mobility of researchers; 

Whereas this approach presupposes the maintenance  and enhancing of the  potential  for 
scientific  and technological  excellence existing within the Community, whilst taking into 
account  the  efforts  of  its  main  international  partners; whereas  that  potential  concerns 
both the physical and non-tangible infrastructures and human resources; 

Whereas  cooperation  with  all  third  States  and  international  organisations  must  be 
stepped up, in particular in pursuit of the objective of the peaceful use of nuclear energy; 
whereas it is necessary that the  Community  continue to  play an important  international 
role in the field of nuclear fission safety, in particular with regard to the Central and East 
European  countries  and  the  States  that  have  emerged from the  former  Soviet  Union; 
whereas  it  is  also  important  to  continue,  where  appropriate,  international  cooperation 
activities with regard to third States in the field of controlled thermonuclear fusion; 

Whereas under Article 4(1)  of the Treaty Community research  and training  activities in 
the  nuclear  field  must  aim  to  complement  action  in  the  Member  States;  whereas 
Community  action  must  therefore  make it  possible  to bring  added  value  to  the  efforts 
undertaken in the Member States; 

Whereas  the  criteria  established  to  choose  the  areas  covered  by  the  Fifth  Framework 
Programme  and  the  related  scientific  and  technical  objectives  take  into  account  the 
above-mentioned  principles;  whereas  those  criteria  should  also  be  applied  to  the 
implementation of the Fifth Framework Programme in order to ensure consistency; 

7  COM (96) 595  final. 

8  COM (97) 47  final. 

46 

Whereas  the  Joint  Research  Centre  will  contribute  towards  the  implementation  of  the 
framework  programme in areas in which it provides impartial and independent  expertise 
and the  scientific  and  technical  support  needed  for  the  implementation  of  the  various 
Community policies; whereas, in addition, it will participate,  in the context of consortia, 
in carrying out research and training activities; 

Whereas the  annual report  to  be  submitted  to  the  Council  pursuant to  Article 7  of the 
Treaty  should  also  be  submitted  by  the  Commission  to  the  European  Parliament; 
whereas,  in  accordance  with  the  recommendations  to  be  implemented  in  respect  of 
transparency and sound and efficient  management,  arrangements should also be adopted 
for the systematic  examination  of the progress  of the  Fifth Framework Programme and 
its evaluation; 

Whereas a financial reference amount, within the meaning of point 2 of the declaration of 
the European Parliament, the Council and the Commission of 6 March  19959, is included 
in the  present  decision  for  the  whole  duration  of  the  Framework  Programme,  without 
prejudice to the responsibilities of the budgetary authority defined in the Treaty. 

Whereas in order to ensure consistency between the research activities undertaken under 
the  Euratom  Treaty  and those  carried  out  under the  Treaty  establishing  the  European 
Community,  the  Decision  concerning  the  framework  programme  of  the  European 
Community for research, technological  development  and demonstration activities should 
be adopted at the same time as and for the same period as this framework programme; 

Whereas the Scientific  and Technical  Committee has been consulted by the Commission 
and has delivered its opinion, 

HAS DECIDED AS FOLLOWS: 

Article 1 

1.  A  multiannual  framework  programme  for  all  research  activities, 

including 
demonstration  activities,  and  training  activities  in  the  field  of  nuclear  energy, 
hereinafter referred to as the "Fifth Framework Programme", is hereby adopted for 
the period  1998-2002. 

2. 

The Fifth Framework Programme  shall cover controlled thermonuclear  fusion and 
energy systems related to nuclear  fission. 

Those  two  areas  shall  include,  in  addition  to  the  thematic  aspects,  horizontal 
aspects  concerning  cooperation  with 
international 
organisations,  the  dissemination  and  exploitation  of  the  results  of  research  and 
training  activities,  and the  stimulation  of  the  traiining  and mobility  of  Community 
researchers. 

third  countries  and 

9  O J N oC  102, 4.4.1996, p.4. 

47 

3. 

4. 

The criteria used for selecting the areas referred to in paragraph 2  and the related 
objectives are set out in Annex I.  They  shall apply for the implementation  of the 
Fifth Framework Programme. 

The general outlines of the areas, the scientific and technological objectives and the 
related priorities are set out in Annex H. 

Article 2 

The financial reference amount for the implementation of this framework programme for 
the period 1998-2002 is ECU [...]  million.10 

The annual appropriations will bé authorised by the budgetary authority within the limits 
of the financial perspective. 

Article 3 

1. 

The Fifth Framework Programme  shall be implemented through two  research and 
training programmes, one of which shall be specific to the Joint Research Centre. 

Each  research  and  training  programme  shall  specify  the  detailed  rules  for  its 
implementation, fix its duration and provide for the necessary funds. 

2. 

Implementation  of  the  Fifth  Framework  Programme  may  give  rise,  where 
necessary, to  supplementary  programmes.  It may also give rise to the  conclusion 
of  agreements  with  third  countries  or  international  organisations  within  the 
meaning of Article 101 of the Treatv. 
meaning of Article 101 of the Treaty. 

Article 4 

The detailed rules for financial participation by the European Atomic. Energy Community 
in  the  Fifth  Framework  Programme  shall  be  those  laid  down  in  accordance  with  the 
special  provisions concerning  research and technological  development  appropriations in 
the Financial Regulation applicable to the general budget of the European Communities, 
as supplemented by Annex IH to this Decision. 

Article 5 

1. 

The Commission  shall examine each year, with the help of appropriately  qualified 
independent  experts,  the implementation  of the Fifth  Framework  Programme  and 
its research and teaching programmes in the light of the criteria set out in particular 
in  Annex I.  It  shall  assess,  in  particular,  whether  the  objectives,  priorities  and 
financial  resources  are  still  appropriate  to  the  changing  situation.  Where 
appropriate,  it  shall  submit  proposals  to  adapt  or  supplement  the framework 
programme and/or the research and training programmes. 

10  OfwhichECU[...]fortheJRC. 

48 

2. 

3. 

4. 

Before submitting its proposal for a Sixth Framework Programme, the Commission 
shall have an external assessment conducted by independent high-level  experts into 
the implementation of the activities in the areas referred to in Article 1(2), carried 
out  during the five years preceding that assessment, in the light  of the  criteria set 
out in particular in Annex I.  The Commission  shall  communicate the  conclusions 
thereof, together with its comments, to the European Parliament, the Council, and 
the Economic and Social Committee. 

The independent  experts referred to  in paragraphs  1 and 2  shall be chosen by the 
Commission,  which  shall  take  into  account,  in  a  balanced  fashion,  the  various 
research players. 

The Commission shall submjj a report to the European Parliament and the Council 
at the beginning of each year.  The report shall cover in particular the research and 
training activities  carried out  during the preceding year and the work  programme 
for the year in progress. 

Done at Brussels,... 

For the Council 
The President 

49 

ANNEXI 

CRITERIA FOR SELECTING THE AREAS AND OBJECTIVES 

The implementation of Euratom's research policy in the field of nuclear energy is based 
on  the  twin  principles  of  scientific  and  technological  excellence  and  the  relevance  of 
research and training activities to the objectives of the Treaty establishing the European 
Atomic Energy Community. 

In  pursuit  of  a  cost-benefit  approach  dictated  by  concern  for  optimum  allocation  of 
European public funding,  the choice  of themes for the  5th Framework Programme and 
the related objectives will be made on the basis of a set of common criteria, divided into 
three categories. 

•  Criteria related to social objectives 

- 

improving the employment situation, 

-  promoting  the quality of life and health, 

-  preserving  the environment, 

in order  to  attain  major  social  objectives  of Euratom reflecting  the expectations  and 
concerns of its citizens. 

•  Criteria related to economic development and scientific and technological prospects 

-  areas which are expanding and create good growth prospects, 

-  areas in which Community undertakings can and must become more competitive, 

-  areas in which prospects  of significant technological progress  are opening up. 

•  Criteria related to the Community "value added" and the subsidiarity principle 

-  need  to  establish  a  "critical  mass"  in  human  and  financial  terms,  and  the 
combination of the complementary expertise available in the various Member States, 

-  significant contribution to the implementation of one or more Euratom policies, 

-  addressing problems  arising at  Community level, or questions relating  to aspects  of 

standardisation or connected with the development of the European area, 

so as to select only objectives which cannot be achieved through private  research alone 
and are more effectively pursued at the Community level by means of research  activities 
conducted at that level. 

These criteria will be used, and where necessary supplemented, for the implementation of 
the 5th Framework Programme, in order to define the research and training programmes 
and  select  the  research  activities,  including  demonstration  activities,  and  training 
activities. 

50 

ANNEX II 

BROAD LINES OF THE AREAS 
SCIENTIFIC AND TECHNOLOGICAL  OBJECTIVES 

Nuclear  energy provides,  without  emission  ofC03,  more  than 35%  of the  electricity  generated  in  the 
European  Community.  It makes  an important  contribution  to the policy  of diversifying  energy  supply. 

Efforts  to  develop  the  safety  and  security  of  nuclear  energy  systems  strengthen  in  the  short  and 
medium  terms,  the  Community's  industrial  competitiveness.  The European  technological  advance  can 
be exploited, in particular  with a view to the emerging  export  markets. 

In the  longer  term,  technologies  with promising  prospects  will  require  a  large-scale  research  effort  at 
Community  and world  level. 

AREAS AND ORGANISATION  OF THE 5TH FRAMEWORK  PROGRAMME 

The 5th Framework Programme will cover controlled thermonuclear fusion and energy systems 
related to nuclear fission. 

With regard to the thematic aspects, the Framework Programme will centre on: 

- a "key action" defined in terms of explicitly formulated  economic and social objectives of the 
Community;  the  aim  of  this  key  action  is  to  implement,  in  a  European  framework,  general 
approaches based  on the  exploitation  of a broad  range  of  disciplines,  technologies  and know-
how; 
- activities for the research and development of generic technologies: 
- activities in support of research infrastructures. 

The horizontal aspects comprise: 

- cooperation with third countries and international organisations; 
- dissemination and optimisation of the results of research and training activities; 
- the training and mobility of researchers. 

The activities of the Joint Research Centre: 

The Joint Research Centre is the scientific  and technical body which the Commission  needs to 
perform the tasks that it is empowered to conduct  The scientific  and technological objectives of 
its activities are located more especially in areas requiring impartial and independent  expertise 
at European level and in areas related to the objectives of the Community's main policies. 

These activities correspond to the scientific  and technological  objectives of the 5th Framework 
Programme described bebw,  but must also respond to the requirements  of and changes  in the 
various  Community  policies  where  these  result  in  specific  research  and  development 
requirements, in particular where the Joint Research Centre's neutrality is essential. 

51 

IL 

a) 

SCIENTIFIC AND TECHNOLOGICAL  OBJECTIVES 

Key action: Controlled thermonuclear fusion1 

The long-term objective of this action, embracing all the research activities undertaken  in the Member 
States and Switzerland aimed at harnessing fusion,  is the joint creation of prototype reactors for power 
stations  to  meet  the  needs  of  society:  operational  safety,  environmental  compatibility,  economic 
viability. 

The proposed strategy to achieve this long-term objective includes the development of an experimental 
reactor (The Next Step) and then of a demonstration reactor (DEMO). 

Progress to date suggests the construction of the Next  Step during the next decade is both technically 
feasible and strategically necessary. This should preferably take place within the framework of the ITER 
(International Thermonuclear Experimental Reactor) international cooperation project. 

During the period from  1998 to 2002, implementation of the strategy will entail: 

* 

the fusion  physics  and technology  activities  needed for  the associations  and European  industry  to 
develop the capacity to construct the Next Step and prepare to operate it; Europe will continue to 
participate in the detailed design activities for the ITER with a view to its possible construction; 

*  activities in the field of physics to improve the basic concepts of fusion devices; 
* 

technological  activities  for  the  longer term  which  are  essential  to  make progress  with  harnessing 
fusion. 

The full-scale operation of the Joint European Torus (JET), the main instrument from which data can be 
extrapolated  for  the  experimental  reactor,  will be completed.  Once this  Joint  Undertaking  ends,  JET 
facilities could be used to obtain knowledge for use in the operation of the Next Step. 

This key action will also encompass a fresh assessment  of  safety  and  environmental  aspects;  further 
studies on the socio-economic aspects; coordination, in the context  of a keep-in-touch  activity,  of the 
Member  States'  civil  research  activities  on  inertial  confinement;  dissemination  of  results  and  the 
diffusion  of information to the public. 

b) 

Activities for the research and development of generic  technologies2 

Work will focus on the following priority research: 

* 

the operational safety of existing facilities, including issues relating to the extension of the lifespan of 
reactors,  the  technological  aspects  of  severe  accidents,  and  strategies  and  methods  for  the 
management of accident and post-accident situations; 

* 

the security and safety of the fuel  cycle; a joint, scientifically-founded  approach to the management, 
disposal and minimisation of radioactive waste; 

This activity supplements the key action "Competitive and sustainable growth (V): advanced energy 
systems  and  services''  described  in  the  proposal  for  the  5ith European  Community  Framework 
Programme for research and technological development. 

This  research  supplements,  in  the  field  of  nuclear  energy,  the  activities  for  the  research  and 
development  of  generic  technologies  in  the  thematic  programme  "Promoting  competitive  and 
sustainable growth" of the proposal for the 5th EC Framework Programme. 

52 

•  radiation  protection,  with the  emphasis  on understanding  and  awareness  of  the  hazards  related  to 
ionising  radiation,  more  especially  the  effects  of  low-dose  radiation,  the  management  of  nuclear 
emergencies and the restoration of contaminated environments; 

• 

• 

• 

studies on new nuclear facilities,  advanced and more efficient  fuels,  future  systems  and concepts  to 
increase the safety of the complete nuclear cycle and the competitiveness of industry, in particular in 
relation  to  outside  markets;  these  studies  will  cover  safety  analysis,  impact  on  man  and  the 
environment, and the most promising approaches from a technological and economic viewpoint in a 
sustainable development perspective; 

the  development  of  technologies  and  methods  for  nuclear  materials  safeguards  to  meet  the  new 
challenges:  changes  in the fuel  cycle,  the  sharp rise  in the  stock of  fissile  materials  due to  nuclear 
disarmament, the extra obligations arising out of  new  international  agreements,  the  illicit  traffic  in 
fissile materials; 

the encouragement of cooperation with the Central and East European countries and the countries of 
the  former  Soviet  Union:  development  of  specific  "international  cooperation''  research  activities 
which  will  help  improve  the  safety  of  nuclear  reactors,  waste  management  in  these  countries, 
radiation  protection,  and  the  control  of  fissile  materials;  development  of  coordination  and 
international cooperation activities carried out under the Framework Programme.  It will  be possible 
to  mobilise  Community  financing  to  facilitate  such  participation  in  accordance  with  rules  to  be 
adopted in the Decision on the specific programme. 

c) 

Support for research  infrastructures 

This  aims  at  optimum  utilisation  at  Commumty  level  of  nuclear  energy  research  test  facilities,  in 
particular those which are important as regards the safety and competitiveness of this form of energy. 

53 

A N N E Xm 

RULES FOR FINANCIAL PARTICIPATION BY  EURATOM 

The  European  Atoiric  Energy  Community  will  contribute financially to  the  research 
activities,  including  demonstration  activities,  and training  activities,  hereinafter  referred 
to  as  "indirect  RTDT  actions",  carried  out  under  the  programmes  implementing  the 
Framework  Programme.  In  addition,  it  will  carry  out  directly  research  activities, 
including  demonstration  activities,  and  training  activities,  hereinafter  referred  to  as 
"direct RTDT actions". 

The key action, the activities for the research and development  of generic technologies, 
support for research infrastructures and the activities carried out in the context of themes 
of  a horizontal  nature,  as  described  in Annex H,  will  be  implemented  through  indirect 
RTDT actions and direct RTDT actions. 

1. 

Indirect RTDT actions 

The  indirect  RTDT  actions  will  comprise  five  categories:  shared-cost  actions,  training 
fellowships,  support  for  networks,  concerted  actions  and  accompanying  measures. 
Shared-cost actions will be the main mechanism for implementing the programmes. 

The rate of financial participation by Euratom in these actions will be as follows: 

(a) Shared-cost actions 

-  Research  and  technological  development  projects,  demonstration  projects, 
integrated projects: 

Research and technological  development projects are projects designed to obtain 
new  knowledge  likely  to  be  useful  either  to  develop  or  significantly  improve 
existing  products,  processes  and services  or to  meet the needs  of  society.  They 
will be financed in principle at a level of 50% of the eligible  costs.  In the special 
case  of legal  entities which do not keep analytical  accounts,  the additional  costs 
generated as a result of the research will be financed at the rate of 100%. 

Demonstration  projects  are  projects  which  are  designed  to  prove  the  technical 
viability  of technologies  and which cannot be commercialised  directly.  They will 
be financed in principle at a level of 35% of the eligible  costs. 

Integrated  projects  are  projects  with  both  a  research  and  technological 
development  component  and a demonstration  component.  They will be  financed 
at a level  corresponding to the weighted average  of the levels applicable  to the 
two components. 

- Support for  access to research infrastructures 

Support  will  be  granted  to  existing  research  infrastructures  so  that  they  can 
receive teams of Euratom researchers and enable them to  optimise their research 
work. 

54 

Community funding granted towards the optimum utilisation of infrastructures is 
set at up to 1G0% of the additional eligible costs connected with receiving teams 
of Euratom researchers and making the facility available. 

(b) Training fellowships 

In  the  context  of  the  training  and  mobility  of  researchers,  the  "Mari? Curie" 
fellowships  scheme  will  comprise  several  categories:  fellowships  for  youn£ 
researchers  with  proven  experience,  industrial  host  fellowships  for  young 
researchers and development host fellowships. 

Under  the  fellowship  scheme  for  young  researchers  with  proven  experience, 
fellows  will  receive  an  allowance  designed  solely  to  cover  their  subsistence 
expenses  and  proper  social  welfare  expenses.  They  will  also  receive  a 
contribution designed to take into account the costs involved in mobility. 

In the  context  of  cooperation  with  third  countries,  the  fellowship  scheme  will 
enable  young  researchers  from  third  countries  to  be  given  an  opportunity  to 
spend time in Community laboratories. 

Community support will cover up to  100% of eligible costs of the fellowship and 
a contribution to the eligible costs of the host institution when it is located in the 
Community. 

(c) Support for networks 

The thematic networks will bring together manufacturers,  users, universities and 
research  centres,  and  organisations  concerned  with  the  difiusion  or  transfer  of 
innovation around a given scientific  and technological  objective so as to  facilitate 
the  incorporation  and transfer  of  knowledge  and cooperation  between  research 
players  and  users,  end  ensure  that  market  needs  are  taken  into  account  more 
effectively,  and  stimulate  scientific  and  technological  excellence.  Community 
funding  will  cover up to  100%  of  the additional  eligible  costs  of  coordinating 
and implementing the thematic networks. 

Research  training  networks  will  be  created  in  advanced  or  emerging  fields  of 
research  on  topics freely chosen  by the  researchers.  Their  main  aim will  be  to 
train  young  researchers  at  pre-doctoral  and  post-doctoral  level.  Community 
funding  will  cover  up  to  100%  of  the additional  eligible  costs  connected  with 
setting up and maintaining the network. 

(d) Concerted actions 

Concerted  actions will be designed  to  coordinate  national  RTD  projects  already 
in  receipt  of  funding,  in  order to  exchange  experience  acquired,  to  expand  the 
research  efforts  of  the  various  players  so  as  to  reach  a  critical  mass,  to 
disseminate  results  and  to  inform  users.  Community  funding  will  cover  up  to 
100% of the additional eligible costs connected with concertation. 

55 

(e) Accompanying measures 

Accompanying  measures  will  contribute  towards  the  implementation  of  the 
specific  programmes  or  the  preparation  of  future  activities  with  a  view  to 
enabling them to achieve or define their strategic objectives. They will also seek 
to  prepare  or  support  the  other  indirect  actions.  Measures  devoted  to  the 
commercialisation  of  products,  processes  or  services,  marketing  activities,  and 
the promotion of sales, are excluded. Community funding may be up to 100% of 
the eligible costs of the measures. 

In  the  Decisions  adopting  the  specific  programmes  implementing  the  5th  Framework 
Programme there can be no derogations from the financial participation rates set above, 
with the exception  of duly justified  special  cases, for  the activity concerned,  including 
those referred to in paragraph 3. The Decisions may spell out in more detail the indirect 
RTDT  actions  described  above,  supplement  them  or  subject  them  to  additional 
conditions or limitations. 

The  other  rules  for  the financial participation  of  undertakings,  research  centres  and 
universities  in  indirect  RTDT  actions  are  specified  in  the  Council  Decision  on 
participation rules adopted pursuant to Article 7 of the Treaty. 

2. 

Direct RTDT actions 

The direct  RTDT  actions to  be implemented  by the Joint Research  Centre  (JRC) will 
comprise  research  activities  of  an  institutional  character  and  scientific  and  technical 
support activities of an institutional character. The research activities of an institutional 
character  are  those  for  which  the  JRC  has  special  or  even  unique  facilities  in  the 
European  Atomic Energy  Community  and  which  contribute  to  the  implementation  of 
Euratom RTD policy.  The  scientific  and technical  support  activities  of  an  institutional 
character are activities necessary for the formulation  and implementation of Community 
policies and tasks incumbent  on the Commission pursuant to the Treaty which require 
the JRC's impartiality. The Community funding  will normally be 100% of  the costs of 
the direct RTDT action. 

3. 

Other actions 

The  rules  for  participation  by  the  Community  in  the  JET  Joint  Undertaking,  ITER 
activities, Contracts of Association  and in certain tasks which can only be performed by 
industry will be specified in the corresponding research and training programme. 

56 

ISSN 0254-1475 

COM(97) 142 final 

DOCUMENTS 

EN 

12  15  16 

Catalogue number  :  CB-CO-97-146-EN-C 

ISBN  92-78-18308-3 

Oifice  for  ijfficial  Publications of the European  Communities 

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